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VIETNAM
SECURITIES DEPOSITORY AND CLEARING CORPORATION
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 42/QD-VSDC
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Hanoi, April 29,
2025
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DECISION
GUIDELINES
FOR CONNECTING WITH ISO-MESSAGE BASED GATEWAY FOR BUSINESS OPERATIONS OF
VIETNAM SECURITIES DEPOSITORY AND CLEARING CORPORATION
GENERAL DIRECTOR
VIETNAM SECURITIES DEPOSITORY AND CLEARING CORPORATION
Pursuant to the
Law on Securities dated November 26, 2019;
Pursuant to the
Law on amendments to the Law on Securities, Law on Accounting, Law on
Independent Audit, Law on State Budget, Law on Management and Use of Public
Property, Law on Tax Administration, Law on Personal Income Tax, Law on
National Reserves, and Law on Penalties for Administrative Violations dated
November 29, 2024;
Pursuant to
Decree No. 155/2020/ND-CP dated December 31, 2020 of the Government of Vietnam
on elaboration on the Law on Securities;
Pursuant to
Decision No. 26/2022/QD-TTg dated December 16, 2022 of the Prime Minister of
Vietnam on establishment, organization, and operation of Vietnam Securities
Depository and Clearing Corporation;
Pursuant to Decision No. 1275/QD-BTC dated June
14, 2023 of the Minister of Finance of Vietnam promulgating the organizational
and operational Charter of Vietnam Securities Depository and Clearing
Corporation;
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Pursuant to
Resolution No. 104/NQ-HDTV dated April 29, 2025 of the Board of Directors on
the issuance of the guidelines for connecting with the ISO-message based
gateway for business operations of Vietnam Securities Depository and
Clearing Corporation;
At the request of
the Director of the Information Technology Department.
DECISION:
Article 1. The guidelines for connecting with the ISO-message based
gateway for business operations of Vietnam Securities Depository and Clearing
Corporation are promulgated together with this Decision.
Article 2. This Decision comes into force as of its date of signing and
replaces Decision No. 71/QD-VSDC dated August 11, 2023 and Decision No.
74/QD-VSDC dated August 11, 2023.
Article 3. The Director of the branch in Ho Chi Minh City, Directors of
Departments of Vietnam Securities Depository and Clearing Corporation, and
relevant organizations and individuals shall implement this Decision. /.
GENERAL
DIRECTOR
Ta Thanh Binh
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GUIDELINES
CONNECTING
WITH ISO-MESSAGE BASED GATEWAY FOR BUSINESS OPERATIONS OF VIETNAM SECURITIES
DEPOSITORY AND CLEARING CORPORATION
(enclosed with Decision No. …/QD-VSDC dated … of General Director of Vietnam
Securities Depository and Clearing Corporation)
Chapter I
GENERAL PROVISIONS
Article 1. Scope
1. This document provides
guidelines for connecting with the ISO-message based gateway for business
operations of Vietnam Securities Depository and Clearing Corporation
(hereinafter referred to as “VSDC”).
2. Any member who meets the
conditions for connecting with the ISO-message based gateway may register for
one, several, or all professional transactions through the ISO-message based
gateway according to the guidelines in this document.
Article 2. Interpretation of
terms
For the purpose of this document, the following
terms shall be construed as follows:
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2. Digital signatures:
refer to a form of electronic signature according to the law on electronic
transactions that may be used by competent persons of VSDC or members to verify
the information and data sent by them.
3. ISO-message based
gateway: refers to an application software environment that permits members
and VSDC to exchange information on business operations in the form of
professional messages or confirmation messages between the members’
professional systems and VSDC’s system.
4. Electronic certificates:
refer to information on business operations at VSDC, generated, sent, received,
and stored via electronic instruments according to the law on electronic
transactions in financial operations through the terminal-based gateway or
ISO-message based gateway or global network by the interface on the website of
VSDC and authenticated via digital signatures of competent persons of VSDC or
members. Electronic certificates in this document include:
a. Electronic reports and electronic transactions refer
to reports and transactions generated and implemented on VSDC’s system through
its terminal-based gateway;
b. Professional messages refer to data files
containing information on business operations with structure following ISO15022
exchanged through VSDC’s ISO-message based gateway. Professional message
standards are prescribed in Appendix 07 of this document.
5. Certificate authorities
(CA): refer to organizations providing digital signature authentication
services for agencies, organizations, and individuals regarding public
operations. The provision of public digital signature authentication services
is a conditional business operation as prescribed by the law.
Article 3. Transactions and
professional messages implemented through ISO-message based gateway
1. The list of professional
messages that may be implemented through the ISO-message based gateway is
prescribed in Appendix 01 of this document.
2. The application of
professional messages to business operation handling through the ISO-message
based gateway shall comply with the principles prescribed in Appendix 07 of
this document.
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REGULATIONS APPLICABLE
TO MEMBERS WHEN CONNECTING WITH ISO-MESSAGE BASED GATEWAY
Article 4. Conditions for
connecting with ISO-message based gateway
1. The primary location for
registering connection with the ISO-message based gateway shall be a Data
Center placed at the headquarters or branch of the member registered for
operations with VSDC or a Data Center hired by the member and placed at the
service provider. The backup location for connection with the ISO-message based
gateway shall be a Data Center at a geographical location independent from the
primary location of the member.
2. Conditions for technical
facilities at the primary and backup connection locations:
2.1. Data center shall:
- Ensure compliance with the
law on data center operations;
- Ensure the satisfaction of
the conditions for security, environment, and system safety: separate areas
with magnetic lock systems or equivalent access control devices and
surveillance systems; specialized fire alarm and firefighting systems; air
conditioning systems with temperature and humidity monitoring and control;
specialized uninterruptible power supply systems and backup generators; surge
protective systems.
2.2. Connection:
- Regarding new members:
Establish 1 MPLS connection with 3 Mbps provided by the VNPT-Vinaphone
Business Customer Company – VNPT Vinaphone and 1 MPLS connection with 3 Mbps
provided by FPT International Telecom Company Limited – Hanoi Branch with
VSDC’s system;
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2.3. IT devices and software:
- Regarding new members: Ensure the adequacy
of computer science devices, meeting the requirements for establishing
connection locations, including:
□ 2 routers with a minimum configuration equivalent
to Cisco ISR 1000 Series with 2 Ethernet ports;
□ 1 Switch with a minimum configuration equivalent
to Cisco Catalyst 1000 Series;
□ 2 optical-electrical converters with a minimum
configuration equivalent to FastEthernet 10/100Mbps;
□ 2 Gateway Client servers (1 using the ISO-message
based gateway for the share, government bond, and derivative markets (CSDR); 1
is used for the market of privately placed corporate bonds (TPRL)) with a
minimum configuration as follows: Server HP DL380G10 (Memory: 8GB,
Storage: 256GB Solid-State Drive, 02 Ethernet10/100).
- Regarding members currently using the
terminal-based gateway:
Add 2 Gateway Client servers with a minimum
configuration as follows: Server HP DL380G10 (Memory: 8GB, Storage: 256GB
Solid-State Drive, 02 Ethernet10/100).
2.4. Members shall integrate professional messages
elaborated in terms of the technical aspect in Appendix 07 into their
professional software systems in accordance with the transactions registered
for use through the ISO-message based gateway, complete test transactions with
VSDC, and acquire VSDC's approval before putting the systems into use.
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- Operating system: Windows server 2008 or 2012
version 32/64 Bit or newer;
- Anti-virus software: Kaspersky EndPoint Security
11 or newer;
- Intermediary software: Java Runtime Environment
(JRE 1.7);
- Application program: VSDC_GatewayClient_CSDR /
VSDC_GatewayClient_TPRL;
- File transmission between the Core of the members
and the Gateway Client.
2.6. Backup devices for all Gateway Client devices,
networks, electrical systems, and other computer science devices relevant to
the ISO-message based gateway system.
3. There must be 1 unexpired digital signature
representing the enterprise with a USB PKI Token or HSM to store the digital
signature provided by the public digital signature authentication service
provider to access VSDC's ISO-message based gateway.
4. There must be at least 2
computer science officials specialized in computer networks (with CCNA
certificates or equivalents) serving as contact points and conducting technical
cooperation with VSDC.
Article 5. Applications for
participation in ISO-message based gateway
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1. Written registration for participation in the
ISO-message based gateway at the main or backup connection location (form
prescribed in Appendix 02). Written registration for changes to the
connection location in case of changing the connection location (form
prescribed in Appendix 03).
2. Written registration of information on access to
the ISO-message based gateway (form prescribed in Appendix 04).
3. Copies of the certificate of digital signature
representing the enterprise provided by a public digital signature
authentication service provider and documents proving that the computer science
officials are eligible according to Clause 4 Article 4 of this document.
Article 6. VSDC’s support for
establishment of ISO-message based gateway
1. Within 3 working days from the receipt of the
adequate and valid application for participation in the ISO-message based
gateway, VSDC shall, based on the postmark or receipt date recorded in the
correspondence log at VSDC, conduct an on-site inspection of the technical
infrastructures and seal the member's devices connecting to the ISO-message
based gateway.
2. Within 3 working days after the inspection, VSDC
shall send the member a written notice of the testing plan and guidelines on
the system installation for using the ISO-message based gateway. Where the
member's technical conditions fail to meet the requirements, VSDC shall issue a
written notice specifying the items failing to meet the requirements.
3. Within 1 working day from the end of the planned
testing, VSDC shall send the member a written approval for the transactions
registered through the ISO-message based gateway. Where the testing results
fail to meet the requirements, VSDC shall notify the content and reasons for
the member’s improvements.
Article 7. Change/cancellation
of information on registration for participation in ISO-message based gateway
1. Members changing/canceling the access
information on the ISO-message based gateway shall follow the form in Appendix
05 of this document.
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Article 8. Rights and obligations
of members
1. Members’ rights:
1.1. To be connected and perform business
operations through the ISO-message based gateway when meeting the conditions
prescribed in Article 4 of this Regulation from 08:00 to 17:00 on working days.
1.2. To be issued representative accounts to log in
to the ISO-message based gateway and exchange information on professional
transactions among professional software systems of the members and VSDC’s
system.
1.3. To have login information and professional
information processed through the ISO-message based gateway kept confidential.
1.4. To participate in training programs and
functional testing of the ISO-message based gateway organized by VSDC.
1.5. To receive VSDC’s technical support when
connecting to the ISO-message based gateway.
1.6. To use digital signatures to confirm the data
exchanged between two parties for certain professional transactions stipulated
by VSDC.
1.8. To receive VSDC’s support in handling business
operations through documents if the members’ professional systems are unable to
operate through the ISO-message based gateway, provided that written requests
are submitted.
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1.10. To change the main and backup connection
locations when the new connection locations meet the conditions prescribed in
Article 4 of this document.
2. Members’ obligations:
2.1. To comply with the guidelines for connecting
with the ISO-message based gateway, policies on security and confidentiality,
regulations on business operations promulgated by VSDC, and other relevant
laws.
2.2. To comply with the regulations on professional
message standards prescribed in Appendix 07 of this document.
2.3. Not to take any actions that affect the VSDC’s
ISO-message based gateway system and other members’ participation in the
ISO-message based gateway.
2.4. To ensure the confidentiality of the system
login information provided by VSDC and not to use other members’ login
information to access the ISO-message based gateway.
2.5. To use only Gateway Client devices to connect
and use digital certificates with the ISO-message based gateway.
2.6. To notify VSDC in writing at least 2 working
days in advance regarding any plan to repair, maintain, or replace IT devices
and computers connected to the ISO-message based gateway.
2.7. To use the network address range for devices
according to VSDC’s planning and not to alter system parameters.
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2.9. To store professional messages bearing digital
signatures generated during transactions or reports on the ISO-message based
gateway according to regulations on electronic certificate storage. Such
professional messages shall be used to verify digitally signed data with VSDC.
2.10. To be subject to VSDC’s inspection and
supervision on matters related to members’ operations on the ISO-message based
gateway.
Chapter II
IMPLEMENTATION
Article 9. Implementation
provisions
1. For business operations not guided in this
document, members shall carry them out VSDC’s terminal-based gateway.
2. For members who have yet to register
participation in the ISO-message based gateway or professional transactions not
registered by members for use through the ISO-message based gateway,
registration shall be carried out through the terminal-based gateway and the
Regulation on business operations promulgated by VSDC.
3. Any difficulty arising during the implementation
of this Decision shall be promptly reported to VSDC for guidance and
settlement.
4. If any document cited in this Decision is
amended or replaced, comply with its new edition.
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