THE MINISTRY OF FINANCE
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 37/VBHN-BTC
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Hanoi, September 18, 2020
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CIRCULAR[1]
PROVIDING GUIDELINES FOR
E-TRANSACTIONS ON SECURITIES MARKET
The Circular No.
134/2017/TT-BTC dated December 19, 2017 of the Minister of Finance providing
guidelines for e-transactions on securities market, which comes into force from
March 01, 2018, is amended by:
The Circular No.
73/2020/TT-BTC dated December 19, 2017 of the Minister of Finance on amendments
to the Circular No. 134/2017/TT-BTC dated December 19, 2017 of the Minister of
Finance providing guidelines for e-transactions on securities market, which
comes into force from October 01, 2020.
Pursuant to the Law
on Securities dated June 29, 2006;
Pursuant to the Law
on amendments to the Law on Securities dated November 24, 2010;
Pursuant to the Law
on Electronic Transactions dated November 29, 2005;
Pursuant to the Law
on Information Technology dated June 29, 2006;
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Pursuant to the
Government’s Decree No. 58/2012/ND-CP dated July 20, 2012 elaborating and
providing guidelines for the Law on Securities and the Law on amendments to the
Law on Securities;
Pursuant to the
Government’s Decree No. 60/2015/ND-CP dated June 26, 2015 on amendments to some
articles of the Government’s Decree No. 58/2012/ND-CP dated July 20, 2012
elaborating and providing guidelines for the Law on Securities and the Law on
amendments to the Law on Securities;
Pursuant to the
Government’s Decree No. 42/2015/ND-CP dated May 05, 2015 on derivatives and
derivatives market;
Pursuant to the
Government’s Decree No. 27/2007/ND-CP dated February 23, 2007 on e-transactions
in financial operations;
Pursuant to the
Government’s Decree No. 156/2016/ND-CP dated November 21, 2016 on amendments to
some articles of the Government’s Decree No.27/2007/ND-CP dated February 23, 2007
on e-transactions in financial operations;
Pursuant to the
Government’s Decree No. 87/2017/ND-CP dated July 26, 2017 on functions, tasks,
entitlements and organizational structure of the Ministry of Finance;
At the request of
the President of the State Securities Commission;
The Minister of
Finance hereby promulgates a Circular to provide guidelines for e-transactions
on securities market2.
Chapter
I
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Article
1. Scope
This Circular provides
for online securities transaction, exchange of electronic information on
securities market and other activities related to e-transactions on securities
market.
Article
2. Regulated entities
This Circular applies
to:
1. The State
Securities Commission (SSC), Stock Exchange (SE), Vietnam Securities Depository
(VSD).
2. Organizations and
individuals participating in making securities transactions and activities on
the securities market by electronic means, including:
a) Issuers, listed or
registered organizations, public companies;
b) Securities
companies, fund management companies, securities investment companies;
c) Vietnam-based
representative offices and branches of foreign securities traders;
Vietnam-based representative offices and branches of foreign fund management
companies;
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dd) Investors;
e) Other organizations
and individuals engaging in securities transaction and market by electronic
means.
Article
3. Definitions
For the purposes of
this Circular, the terms below shall be construed as follows:
1. “online
securities transaction” means a securities transaction carried out through
information technology system and Internet, telecommunications network or other
open networks, including: securities transactions between investors and
providers of online securities transaction services; securities transactions
between transaction members and SE; securities-related transactions between
depository members, offsetting members and VSD.
2. “online
securities trading system” means a system intended to manage and carry out
online securities transactions, including: hardware, software, database,
telecommunications network, Internet, computer network.
3. “electronic
securities document” means a data message about e-transactions on
securities market, which is generated, sent, received and stored by electronic
means.
4. “electronic
order” means a data message recording data about a transaction order which
an investor has placed through online securities trading system at a specific
time when only that investor is able to access such system through access and
order placement authentication.
5. “two-factor
authentication” means an authentication method that requires two factors to
authenticate an identity. Two-factor authentication is based on information
that the user knows, such as PIN and secret key, information that the user has,
such as smart card, security tokens, mobile phone or user’s biometrics used to
authenticate his/her identity.
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7[2]. “identity of an order
placement device” means the information associated to each device to identify
that device when it is used for conducting online securities transactions.
8. “order placement telephone number” means the telephone number registered by the investor
with an online securities transaction service provider to place securities transaction
orders.
9. “online
securities transaction services” mean services provided by an online
securities transaction service provider to investors in order for them to open
accounts, place orders, provide their requirements regarding securities
transaction or receive transaction results via internet or by telephone.
10. “online
securities transaction service provider” means a securities company, fund
management company and distributor of fund certificates, which provides online
securities transaction services.
11. “depository
member” means a securities company or commercial bank operating in Vietnam
granted the Certificate of securities depository registration by SSC and
approved to be a depository member by VSD.
12. “offsetting
member” means a securities company, commercial bank or branch of a foreign
bank that may offset or settle derivative transaction service.
13. “serious
breakdown” means a technical breakdown occurring to the online securities
trading system, which results in termination or suspension of operation of the
system.
14[3]. “time of transaction”
means the time that the investor logs in to the online securities trading
system and executes online securities transaction orders.
Article
4. Rules for carrying out e-transactions on securities market
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Chapter
II
ONLINE
SECURITIES TRANSACTIONS
Section
1. REQUIREMENTS FOR SERVICES, TECHNICAL INFRASTRUCTURE, SECURITY AND
CONFIDENTIALITY, AND DATA STORAGE
Article
5. Service requirements
1. SEs and VSD
shall:
a) make and promulgate
regulations on connection of online securities trading system, procedures for
breakdown handling, system backup and management of risks during online
securities transactions in accordance with the Law on E-Transactions, Law on
Cyberinformation Security, guiding documents and regulations of this Circular;
b) ensure that online
securities transaction activities are provided in a public, equal, transparent,
safe and effective manner to members using the same type of service.
2. Every
securities company providing online securities transaction services shall:
a) directly provide
online securities transaction services to investors;
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c) issue procedures
for providing online securities transaction services, including: procedures for
daily operation, supervision and management; procedures for registration and
cancellation of online securities transactions; procedures for handling
breakdowns; procedures for data and system backup; procedures for control of
risks during provision of online securities transaction services for investors
and other procedures in accordance with the Law on E-Transactions, Law on
Cyberinformation Security, guiding documents and regulations of this Circular.
Responsibilities of entities participating in such procedures shall be
specified.
d) provide personnel
that have degrees or certificates of software administration, system management
and information security in order to manage and supervise activities of the
online securities trading system to ensure continuity;
dd) put the provision
and use of online securities transaction services with investors in a contract
or clause of the contract for opening a securities transaction account,
specifying methods of carrying out online securities transactions, risks
incurred during online securities transactions, which are specified in Clause 1
Article 15 of this Circular, responsibilities of each party for compensation
for risks and other responsibilities related to online securities transactions;
e) record information
on investor’s transaction request in online securities trading system. Such
information shall be archived in a way that it is retrieved by time, session,
transaction results and investor’s account balance arising before and after the
transaction with respect to accounts of investors;
g) report results of
execution of transaction orders to investors after the orders are matched on
the online securities trading system.
3. Fund management
companies and fund certificate distribution agents that provide online
securities transaction services shall comply with the requirements specified in
Points a, b, c, dd, e and g Clause 2 of this Article.
Article
6. Requirements for technical infrastructure of online securities trading
system
1. Regarding a
securities company providing online securities transaction services:
a) The online
securities trading system shall be physically separated from other business
systems of the company to ensure cyberinformation security, reduce risks and
avoid conflicts between the systems;
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c) The area where the
online securities trading system is located shall comply with security,
environment and safety requirements: it must be a separate area, there must be
a system of smart keys or equivalent devices to control access, a video
recording system, a specialized fire alarm and fighting system, an air
conditioning system, a temperature and humidity monitoring and control system,
an uninterruptible power supply and specialized backup generator system, and a
lightning protection system;
d) The company may
rent space for placing the online securities trading system at a data center.
The data center shall comply with regulations on operation of data centers. The
online securities trading system located in a data center shall have solutions
for preventing unauthorized access and exploitation of data;
dd)5 The online securities trading system must be integrated
with solutions whereby investors can use digital certificates or digital
signatures of public certification authorities when executing online securities
transaction orders. It may be also integrated with other solutions prescribed
in Point a and Point c Clause 1 Article 8 of this Circular. Application of
digital certificates and digital signatures to investors’ securities
transactions shall comply with specific guidelines given by the SSC;
e)6 When
rendering transaction services via telephone, the telephone exchange or another
device with call recording, management and search functions must be equipped.
Any calls for placing orders of investors must be recorded and stored in a
manner that ensures information and data security;”
g) Technical or
regulatory measures shall be adopted in order to set limits on purchase and
sale of securities by investors using online securities transaction services as
prescribed by law. These limits shall be disclosed to investors on the online
securities transaction page and there must be a procedure for approving changes
to such limits.
2. Fund management
companies and fund certificate distribution agents that provide online
securities transaction services shall comply with the requirements specified in
Points a, b and e Clause 1 and Clause 3 of this Article.
3. SEs, VSD and online
securities transaction service providers shall formulate a backup plan for the
online securities trading system and adopt an alternative transaction method in
case the online securities trading system has any breakdown.
Article
7. Regulations on information security and confidentiality and data storage by
online securities transaction service providers
1. Websites and email
systems of online securities transaction service providers shall be
authenticated by digital certificates.
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3. Before putting application
software into operation, it is required to review and scan any confidentiality
vulnerability and there must be an assessment report. The environment for
operating the online securities trading software system shall be separated from
the testing environment and the software development environment.
Cyberinformation security risks of the online securities trading system shall
be assessed once a year.
4. The online
securities trading system shall have technical solutions for ensuring
cyberinformation and confidentiality of data of the system.
5. Electronic
documents, orders and data, and call recordings of orders placed by clients,
including cancellation orders shall be retained for at least ten (10) years in
their original form.
6. Information about
online transaction service users, transaction orders and information exchanged
on the system must be encrypted on the transmission line and at the application
level, and must be kept confidential in accordance with regulations of law
unless requested by competent authorities.
Article
8. Regulations on authentication
1. The safety level of authentication solutions applied
to online securities transactions shall be at least equivalent to that of the
multi-factor authentication solution or higher, including:
a) Two-factor
authentication solution;
b) Authentication
solution using digital certificates;;
c)
Other authentication solutions permitted by law and in accordance with
regulations of competent authorities.
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3. Investors are entitled to select the authentication
solutions offered by online securities transaction service providers when
registering to use online securities transaction services and are entitled to
re-register authentication solutions if needed.
4[5]. Investors are
required to carry out authentication as prescribed in this Article whenever
they conduct online securities transactions.
Article
9. Regulations on electronic orders
1[6]. An electronic order
shall, inter alia, include the following information: Number and type of
order, number of the account whose holder places the order, transaction method,
ticker symbol or name of security, quantity and transaction price, transaction
date and time, identity of order placement device.
2. A cancellation
order shall include the following information: serial number of the order, volume
to be
3[7]. An electronic order
must bear a digital signature or logically associated or combined with the
investor’s identity as prescribed in Article 8 hereof and comply with
legislative documents on e-transactions.
4. Electronic orders
intended for fund certificate transactions shall include all information
according to regulations of law on fund certificate transactions and comply
with Clause 3 of this Article.
Section
2. REGISTRATION FOR AND REVOCATION OF APPROVAL FOR PROVISION OF ONLINE
SECURITIES TRANSACTION SERVICES
Article
10. Applicants for provision of online securities transaction services
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1. be under
dissolution or bankruptcy process, have its operation or transaction suspended
to terminate its membership at the SE.
2. have its brokerage
terminated or be following the procedures for terminating its brokerage.
3. be under control or
special control.
4. Other cases of
suspension of its operation as prescribed by law.
Article
11. Application for provision of online securities transaction services
An application for
provision of online securities transaction services includes:
1. An application
form, which is made using the form in the Appendix 01 hereof.
2. A list and
curriculum vitae of experts managing the online securities trading system,
which are made using the form in the Appendix 02 hereof.
3. A report on design
of the online securities trading system, which is made using the form in the
Appendix 03 hereof.
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Article
12. Procedures for approving provision of online securities transaction
services
The securities company
shall make an application as prescribed in Article 11 of this Circular and
submit it to SSC through SSC’s online public service system or in person or by
using public postal services.
1. Within five (05)
working days from the receipt of the application prescribed in Article 11 of
this Circular, the SSC shall request the applicant in writing to supplement the
application if the application is required to be supplemented or provide a
written explanation if the application is invalid.
2. Within ten (10)
working days from the receipt of the written request, the securities company
shall complete the application as requested and submit it to the SSC. If, upon
expiry of the aforesaid period, the securities company fails to supplement the
application as requested, the SSC may refuse to grant approval.
3. Within twenty (20)
working days from the receipt of a sufficient and valid application, the SSC
shall consider granting approval for provision of online securities transaction
services to the securities company. In case of refusal, the SSC shall provide
explanation in writing.
Article
13. Revocation of decision on approval and suspension of provision of online
securities transaction services
1. In the cases where
a securities company has its operation, brokerage or entire operation
suspended, it shall suspend the provision of online transaction services until
such situation is handled.
2. A securities
company shall have its decision on approval for provision of online securities
transaction services revoked in the following cases:
a) The company has
applied for termination of securities brokerage and has been granted approval
by the SSC;
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c) The company has its
membership at the SEs terminated;
d) The company is
merged, fully divided or consolidated;
dd) The company is
dissolved, goes bankrupt or has its establishment and operation license
revoked;
e) The company fails
to maintain satisfaction of or satisfy the regulations specified in Clause 2
Article 5, Clauses 1 and 3 Article 6, Article 7, Clause 1 Article 8 and Clause
3 Article 9 of this Circular;
g) The application for
provision of online securities transaction services contains untruthful
information;
h) Other cases where
any regulatory agency requests or the company voluntarily submits an
3. The securities
company whose decision on approval for provision of online securities
transaction services is revoked as prescribed in Points b, c, e and g Clause 2
of this Article may re-apply for provision of online securities transaction
services.
4. The securities
company whose decision on approval for provision of online securities
transaction services is revoked as prescribed in Clause 2 of this Article shall
maintain and ensure the duration of storage of data of the online securities
trading system to fulfill obligations in accordance with regulations of law.
5. The sequence of
revoking the decision on approval for provision of online securities
transaction services shall comply with the SSC’s guidelines.
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Article
14. Regulations on reporting during online securities transaction activities
1. A securities
company granted approval for provision of online securities transaction services
shall submit the following reports to the SSC:
a) Annual report on
online securities transaction activities, which is prepared using the form in
the Appendix 04 hereof. The report shall be submitted within thirty (30) days
from the end of the year;
b) Report enclosed
with relevant documents when there is any upgrade or change of the online
securities trading system: change of the core of the system, change of the
transaction method, changes of information technology personnel and change of
the location of the system, which is prepared using the form in the Appendix 08
hereof. The report shall be submitted within seven (07) working days after the
securities company upgrades or changes the system.
2. An SE shall submit
the following reports to the SSC:
a) Annual report on
online securities trading system, which is prepared using the form in the
Appendix 05 hereof. The report shall be submitted within thirty (30) days from
the end of the year;
b) Report on changes
to the regulations on technological standards applied to transaction members of
the SE. The report shall be submitted within seven (07) working days after the
change is made.
3. The VSD shall
submit to the SSC an annual report on the status of online securities
transaction prepared using the form in the Appendix 06 hereof within thirty
(30) days from the end of the year.
4. Within twenty-four
(24) hours since the occurrence of a serious breakdown related to the online
securities trading system, the SE, the VSD or the securities company shall
submit a report thereon prepared using the form in the Appendix 07 hereof.
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6. Reports shall be
submitted electronically through electronic information exchange systems under
the SSC’s guidance.
Article
15. Publishing information during online securities transaction activities
1. Regulations on
online securities transaction services and risks that may be incurred when
investors conduct online securities transactions shall be published on
securities companies’, fund management companies’ and fund certificate
distribution agents’ official websites and application software serving online
securities transaction services for investors. These risks include:
a) A risk that during
internet transmission, transaction orders may be suspended, stopped or
b) A risk that that he
identification of organizations or investors may be inaccurate, and errors
arising from protection of confidentiality may occur;
c) A risk that that
market prices and other information relating to securities may be incorrect or
contain errors;
d) A risk that may be
incurred during adoption of a method of authenticating orders placed by
investors;
dd) Other risks that
competent authorities, securities companies, fund management companies or fund
certificate distribution agents consider necessary to publish.
2. Every SE shall
publish on its website the regulations on electronic transactions on securities
market and documents providing for electronic transactions promulgated by the
SE.
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4. The SSC shall
publish on its website the list of securities companies licensed to provide
online securities transaction services, procedures for and regulations on
applications for registration of provision of online securities transaction
services and the list of securities companies whose decisions on approval for
provision of online securities transaction services are revoked.
Chapter
III
ELECTRONIC
INFORMATION EXCHANGE
Article
16. Regulations on electronic information exchange
1. The electronically
exchanged information comprises information to be exchanged via the internet
a) Public offer of
securities, securities registration, securities depositing, listing,
transaction registration and securities transaction;
b) Management of
organizations and individuals prescribed in Clause 2 Article 2 of this
Circular;
c) Disclosure of
information on securities market;
d) Other activities
related to securities market in accordance with regulations of law on
securities.
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a) create a website
that is used as a portal for electronic information exchange services;
b) keep
confidentiality of information for applicants for services and ensure
information safety for the electronic information exchange system;
c) issue regulations
and guidelines for electronic information exchange services.
3. Participants in
exchange of electronic information shall apply for services and comply with
regulations and guidelines of electronic information exchange service
providers.
4. The use of digital
certificates and digital signatures in exchange of electronic information shall
comply with regulations of the law on e-transactions in financial operations.
Chapter
IV
RESPONSIBILITIES
OF ORGANIZATIONS AND INDIVIDUALS PARTICIPATING IN E-TRANSACTIONS ON SECURITIES
MARKET
Article
17. Responsibilities of organizations and individuals participating in
e-transactions on securities market
1. Comply with
regulations on securities transaction activities and securities market.
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3. Sufficiently
archive documents relating to online securities transactions of the company.
Prepare applications for provision of online securities transaction services
and confirm that they contain accurate information, amend or supplement these
applications if any inaccurate information is found and do not ignore any
important content in accordance with regulations. Store reported information in
accordance with regulations of law.
4. A securities
company is not allowed to provide online securities transaction services if the
SSC is yet to grant approval or the approval decision is revoked.
5. Submit reports on
schedule and report sufficient contents in accordance with regulations of law
or at the request of the SSC.
Article
18. Inspection and supervision of e-transactions on securities market
1. The SSC shall carry
out periodic or unscheduled supervision and inspection of implementation of
e-transactions on securities market by SEs, VSD, securities companies, fund
management companies, fund certificate distribution agents and other
organizations and individuals according to regulations or when there is any
breakdown that affects the investors’ interests and safety of the securities
market.
2. SEs and VSD shall
cooperate in supervising online securities transaction activities of online
securities transaction service providers and relevant organizations and
individuals at the request of the SSC.
3. Organizations and
individuals participating in e-transactions on securities market shall
sufficiently and promptly provide information, data and documents on
e-transactions at the request of competent authorities.
Chapter V
IMPLEMENTATION
CLAUSE[8]
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This Circular comes
into force from March 01, 2018 and replaces the Circular No. 87/2013/TT-BTC
dated June 28, 2013 of the Minister of Finance.
Article
20. Implementation
1. Within six (06)
months from the effective date of this Circular, any securities company granted
by the SSC the approval for provision of online securities transaction services
before the effective date of this Circular shall complete the online securities
trading system, satisfy the requirements for services, technical
infrastructure, security and confidentiality, data authentication and storage
in accordance with regulations of this Circular.
2. The SSC shall
provide guidance and issue technical standards for application of information
technology to e-transactions on securities market.
3. The SSC, SEs and
VSD and organizations and individuals participating in e-transactions on
securities market are responsible for the implementation of this Circular./.
CERTIFIED BY
PP. THE MINISTER
THE DEPUTY MINISTER
Huynh Quang Hai
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[1]
This is the consolidated document of:
- The Circular No.
134/2017/TT-BTC dated December 19, 2017 of the Minister of Finance providing
guidelines for e-transactions on securities market, which comes into force from
March 01, 2018.
- The Circular No.
73/2020/TT-BTC dated December 19, 2017 of the Minister of Finance on amendments
to the Circular No. 134/2017/TT-BTC dated December 19, 2017 of the Minister of
Finance providing guidelines for e-transactions on securities market
(hereinafter referred to as “the Circular No. 73/2020/TT-BTC”), which comes
into force from October 01, 2020.
This document does not
replace the 02 abovementioned Circulars.
[2] This Clause is
amended by Clause 1 Article 1 of the Circular No. 73/2020/TT-BTC, which comes
into force from October 01, 2020.
[3] This Clause is
added by Clause 1 Article 1 of the Circular No. 73/2020/TT-BTC, which comes
into force from October 01, 2020.
[4] This Clause is
amended by Clause 3 Article 1 of the Circular No. 73/2020/TT-BTC, which comes
into force from October 01, 2020.
8 This Clause is added by Clause 3 Article 1 of the
Circular No. 73/2020/TT-BTC, which comes into force from October 01, 2020.
9 This Clause is amended by Clause 4 Article 1 of the
Circular No. 73/2020/TT-BTC, which comes into force from October 01, 2020.
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[8] Article 2 of the
Circular No. 73/2020/TT-BTC stipulates that:
“Article
2. Implementation clause
1. This
Circular comes into force from October 01, 2020.
2. The SSC,
SEs and VSD and organizations and individuals participating in e-transactions
on securities market are responsible for the implementation of this
Circular./.”