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THE MINISTRY OF
FINANCE
THE STATE SECURITIES COMMISSION
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 132/QD-UBCK
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Hanoi, March
06, 2013
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DECISION
ON
GUIDING WORKING OFFICES, MATERIAL FACILITIES IN SERVICE FOR ACTIVITIES OF
SECURITIES BUSINESS
THE CHAIRPERSON OF STATE SECURITIES COMMISSION
Pursuant to the Law on Securities,
of June 29, 2006;
Pursuant to the Law on amending
and supplementing a number of articles of Law on Securities, of November 24,
2010;
Pursuant to the Government's
Decree No. 58/2012/ND-CP, of July 20, 2012 detailing and guiding the
implementation of a number of articles of the Securities Law and the Law
amending and supplementing a number of articles of Securities Law;
Pursuant to the Decision No.
112/2009/QD-TTg, of September 11, 2009 of the Prime Minister defining the
functions, tasks, powers and organizational structure of the State Securities
Commission affiliated the Ministry of Finance;
Pursuant to the Circular No.
210/2012/TT-BTC, of November 30, 2012 of the Ministry of Finance guiding on the
establishment and operation of securities companies;
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DECIDES:
Article 1. Guidance on working offices of securities companies
1. Head offices, branches,
transaction offices (hereinafter referred to as working offices) of securities
companies must be in Vietnam’s territory, at a defined address with number of
room (if any), number of storey, name of building (for leased Office
Buildings), house number, name of street or name of commune (ward or township),
district (district, town or provincial-level city), province
(central-affiliated cities).
2. The right to use working offices
of a securities company is not less than one year, from the day when such
securities company files dossier for grant of the establishment and operation
permit or dossier for change of location of its working office.
3. The minimum floor area used for
securities transaction at head office of a securities company with professional
activity on securities broker is 100m2.
Article 2. Guidance on material facilities in service for securities business
activities of securities companies
1. Area, arrangement of ground of
working offices:
1.1. Total area:
1.2. Arrangement of offices, divisions, transaction premises (according to the securities
business operations in the request for permit or acceptance):
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- Office of securities broker;
- Office of securities self-business;
- Office of guarantee for securities
issuance;
- Office of securities investment
advisory;
- Office of securities depository;
2. Technical material facilities
executing securities business operations:
2.1. General material facilities:
a. System of office equipment;
b. System of provision;
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d. Confidential and security system.
2.2. Material facilities in service
for activities of securities broker:
a. System of counters; seats for
investors;
b. System of information disclosure:
Projectors, projection screens; Television sets; tables to stick information
disclosure on, atbles and checks, computers connected with internet servicing
for investors in accessing information; cupboards, shelves containing documents
of information disclosure;
c. System of servers: Servers,
firewall, switch, router;
d. Storage system: Warehouses,
safes, tools, devices for saving and storage of data; file cabinet;
e. System of receipt of the order and
entering the order in computer: Telephones, equipment of sound recording,
camaras; internet system; workstations to enter the orders;
f. Command system: Command
lines connecting with the Stock Exchanges and Stock Depository Centers; command
lines connecting among head offices, branches and transaction offices;
g. Software system: Software of
account management; transaction software; software of depository transaction
management in case being allowed to perform depository transaction; software in
service for depository activities.
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a. System of servers:
b. Command system;
c. Software system;
d. Storage system.
3. For material facilities in service
for securities business activities of branches, transaction offices of
securities companies, comply with authorization of securities companies.
Article 3. This Decision takes effect on the day of its signing.
Article 4. The Chief of office, director of Securities Business Management
Department, general directors of the Hochiminh city the Stock Exchange, the
Hanoi city the Stock Exchange and the Vietnam Stock Depository Center,
directors general (directors) of securities companies and relevant parties
shall implement this Decision.
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