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MINISTRY OF
FINANCE
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SOCIALIST REPUBLIC
OF VIETNAM
Independence – Freedom – Happiness
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No. 07/2016/TT-BTC
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Hanoi, 18 January
2016
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CIRCULAR
ON
AMENDMENTS AND SUPPLEMENTS TO CERTAIN ARTICLES OF THE CIRCULAR NO.
210/2012/TT-BTC DATED 30 NOVEMBER 2012 ON GUIDELINES FOR THE ESTABLISHMENT AND
OPERATION OF SECURITIES COMPANIES
Pursuant to the Securities Law dated 29 June
2006;
Pursuant to the Law on amendments and supplements
to certain articles of the Securities Law dated 24 November 2010;
Pursuant to the Companies Law dated 26 November
2014;
Pursuant to the Government’s Decree No.
58/2012/NĐ-CP dated 20 July 2012 on details and guidelines for the enforcement
of certain articles of the Securities Law and the Law on amendments and
supplements to the Securities Law.
Pursuant to the Government’s Decree No.
60/2015/NĐ-CP dated 26 June 2015 on amendments and supplements to certain
articles of the Government’s Decree No. 58/2012/NĐ-CP dated 20 July 2012 on
details and guidelines for the enforcement of certain articles of the
Securities Law and the Law on amendments and supplements to the Securities Law;
Pursuant to the Government’s Decree No.
215/2013/NĐ-CP dated 23 December 2013 on functions, missions, authority and
organizational structure of the Ministry of Finance;
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Minister of Finance issues the Circular on
amendments and supplements to certain articles of the Circular No.
210/2012/TT-BTC dated 30 November 2012 on guidelines for the establishment and
operation of securities companies.
Article 1. The following amendments and supplements are adopted to
certain articles of the Circular No. 210/2012/TT-BTC dated 30 November 2012 on
guidelines for the establishment and operation of securities companies:
1. Sections 6 and 7 and
Sections 8 and 9 in Article 2 are amended and supplemented,
respectively, as follows:
“6. Consolidation refers to two or
some securities companies (referred to as consolidating securities companies)
consolidating into one new securities company (referred to as the consolidated
securities company), which terminates the existence of consolidating securities
companies.
7. Merger means one or some securities
companies (referred to as acquired securities companies) merging into another
securities company (referred to as the acquiring securities company) by
transferring all assets, legitimate rights, duties and interests to the
acquiring securities company, which terminates the existence of acquired
securities companies.
8. Loan refers to a securities company’s
provision or undertaking to provide a beneficiary or user with a sum of money,
an asset or a security for a defined length of time on agreed principles for
reimbursement of original loan with or without interest(s).
9. An approved audit organization is
permitted by the State Securities Company to conduct audits and examine
financial statements, financial data and other reports made by organizations
holding public interests in the sector of securities.”
2. Article 12 is amended as
follows:
“Article 12. Adjustment of Charter capital
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a) The letter of application for amendments to the
license for establishment and operation of the securities company (as per the
Appendix VII of this Circular);
b) The written confirmation, by the bank opening
the escrow account or an approved audit organization, of the capital increment
or the financial statement upon the securities company’s completion of the
augmentation of its charter capital, which has been audited by an approved
audit organization. This clause does not apply to securities companies that
raise charter capital with funds from their equity;
c) The report on ownership structure before and
after the increase of the charter capital, plus documents as stated in Point d,
Section 2, Article 30 of this Circular for capital increase that results in the
addition of new shareholders or members who hold five percent (5%) or more of
the charter capital.
2. The application for decrease of Charter capital
shall comprise:
a) The letter of application for amendments to the
License for establishment and operation of the securities company (as per the
Appendix VII of this Circular);
b) The report on repurchase and cancellation of
stocks or decrement of contributions for diminution of charter capital, which
has been endorsed by an approved audit organization, or the financial statement
audited by an approved audit organization upon the securities company’s
completion of its repurchase and cancellation of stocks or decrement of
contributions for diminution of charter capital;
c) The report on ownership structure before and
after the shrinkage of the charter capital.
3. In twenty (20) days upon the receipt of valid
documents as defined in Section 1 and 2 of this Article, the State Securities
Commission shall amend the license for establishment and operation of the
securities company. State Securities Commission, if rejecting the application,
must respond in writing and specify its justifications.”
3. Article 14 is amended and
supplemented as follows:
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1. A securities company shall be suspended in the
following events:
a) There is intentionally distorted information in
the application for issuance of or amendments to the license for establishment
and operation.
b) Upon the expiration of the warning period (under
ordinary or special control) as per regulations on financial safety norms and
treatments against securities traders that fail such norms, the securities
company fails to provide evidences of its rectification of alert situations
(disposable fund ratio has reached at least one hundred eighty percent (180%)
in three (03) consecutive months and such ratio in the last reporting period
has been audited by an approved audit organization) and of annual gross loss on
fifty percent (50%) or more of the charter capital or of the inferiority of the
equity in the latest financial statement audited or examined to the legal
capital as per business lines licensed.
c) Its activities are contrary to purposes or
inconsistent with contents as defined in the license for establishment and
operation;
d) It does not continuously abide by one of the
requirements for licensing of establishment and operation as per Section 1, 2,
3 and 4, Article 3 of this Circular;
dd) Other situations of suspension as per the laws
on administrative sanctions in the sector of securities and stock market.
2. In situations of suspension as per Point a, b,
c, d, Section 1 of this Article, the State Securities Commission considers the
formation and degree of violations to suspend one, some or all securities-related
activities including brokerage, proprietary trading, investment consultancy,
underwriting and depository services. Moreover, suspension time and scope must
be clarified.
3. A securities company under suspension is not
permitted to make or extend contracts related to business lines suspended. It
shall bear the obligation to settle and transfer accounts at clients’ requests
(if any), to have rectification plans and to report its execution of such plans
at the request of the State Securities Commission. A securities company, if
suspended from proprietary trading, has permission to only sell but not to
increase business investments, except for indispensable purchases, which
rectify transaction errors, odd-lot transactions or acquisition of interests from
securities in its holding as per current laws."
4. Article 15 is amended and
supplemented as follows:
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1. A securities company's license for establishment
and operation shall be revoked in the following events:
a) Pursuant to circumstances as defined in Point a,
b, c, Section 2, Article 70 of the Securities Law; situations of revocation as
stated in Section 1, Article 46 of this Circular or a court’s rulings on
dissolution;
b) Violations as prescribed in Point a, c, d,
Section 1, Article 14 of this Circular have not been rectified in sixty (60)
days upon the suspension of activities;
c) Situations as stated in Point b, Section 1,
Article 14 of this Circular have not been rectified in six (06) months upon the
suspension of activities;
d) The securities company's period of operation
expires as per its Charter or it undergoes voluntary dissolution;
dd) The securities company goes bankrupt;
e) The securities company consolidates or is
acquired.
2. During the progress of dissolution or
bankruptcy, the securities company must conform to these principles:
a) Members of the Board of directors or Members’
council, Owners, Director or General director, and the legal representative of
the securities company shall be held liable for the integrity and accuracy of
documents on dissolution as per Point h, Section 3 of this Article;
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3. The formalities for revocation of a license for
establishment and operation in situations as stated in Point a, b, c, Section 1
of this Article shall include:
a) In thirty (30) days upon the compulsion to
revoke the license for establishment and operation, the State Securities
Commission shall issue a decision on termination of the securities company’s
entire business activities licensed to facilitate the formalities for
revocation of such license;
b) In twenty four (24) hours upon the receipt of
the State Securities Commission's decision, the securities company is held
responsible for announcing such decision. The securities company is responsible
for discontinuing all business lines licensed and not engaging in new contracts
related to its business activities;
c) In seven (07) working days upon the securities
company’s receipt of the State Securities Commission’s decision, the former’s
Board of directors or Members’ council must convene an extraordinary General
shareholders’ meeting or Members’ council’s extraordinary conclave to ratify
the dissolution and decide settlement solutions for creditors and bearers of
relevant interests and duties. In twenty four (24) hours upon the decision by
the General shareholder meeting, Member’s Council or Owner on the dissolution
of the securities company, such company shall be responsible for announcing its
dissolution and settlement plans for creditors and bearers of relevant
interests and duties;
d) In fifteen (15) days upon the receipt of the
State Securities Commission’s decision, the securities company must report to
the State Securities Commission about the plans for settlement of proprietary
trading accounts and clients' contracts in effect in connection with securities
trading operations in progress and clients’ securities trading accounts (if
any) at such company. Basic details of the said plans include:
- Time and methods of dissemination of information
and notice to every client about the termination of all securities-related
business activities licensed;
- The expected and minimum time for final
settlement of transaction accounts (to be closed or transferred) at clients’
requests shall be thirty (30) days;
- The time for desistance of new accounts;
- The expected time for discontinuance of
transactions on stock exchanges;
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- The expected time for finalization of the balance
of clients’ accounts not due for final settlement;
- Plans for settlement of clients' accounts not due
for final settlement or disputed accounts;
- Plans for settlement of proprietary trading
accounts;
- Plans for clients’ contracts in effect in
relation to securities business operations in progress.
dd) In forty five (45) days upon the State
Securities Commission’s expression to the plans as defined in Point d of this
Section, the securities company must implement such plans in the following
order:
- Publish information and give notice to every
client according to plan;
- Settle accounts and remit (transfer) money and
securities in full at clients' requests;
- At the end of the time limit for final settlement
of accounts, a full list of clients' accounts, whose owners have not appeared
for final settlement, and of each account's current balance of money and
securities shall be made;
- In five (05) working days upon the expiration of
the time limit for final settlement of accounts at clients’ requests, the
securities company shall report to the State Securities Commission about the
accounts settled and not settled, plus each unsettled account's balance of
money and securities, the implementation of plans for closure of proprietary
trading accounts and clients’ contracts in effect in relation to securities business
operations in progress;
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In situations of license revocation as stated in
Point b, Section 2, Article 70 of the Securities Law, the State Securities
Commission is entitled to designate an alternative securities company to
acquire clients’ accounts unresolved from the securities company stripped of
the license for establishment and operation. In this event, a proxy between two
companies mentioned above is automatically enacted.
If the legal representative of the securities
company has limited or no legal capacities, the company shall have members of
the Board of Director or Members’ council or other members of the Control
committee (in case such company is deprived of any member of neither Board of
directors nor Members’ council) assign members of the Board of directors or
Executive Board or internal controllers to cope with formalities for return of
all clients’ possessions.
e) In five (05) working days upon the completion of
the return of all clients’ possessions, the securities company reports to the
State Securities Company about the settlement of clients’ securities trading
accounts unresolved. This clause does not apply to securities companies
settling all clients' accounts within the time limit for final settlement of
accounts at clients’ requests;
g) In five (05) working days upon the State
Securities Commission’s notice of its receipt of the report as prescribed in
Point dd and e of this Section, the securities company shall go through
dissolution formalities as per the Companies Law. State Securities Commission
shall publish its notice on its website.
h) In seven (07) working days after such
formalities complete, the securities company shall have its legal
representative or another individual, according to Point dd of this Section, to
submit the following documents on dissolution to the State Securities
Commission:
- The report on dissolution process and settlement
of debts and payables, plus the original of the license for establishment and
operation of the securities company;
- Papers on police’s revoking the corporate seal,
on fulfillment of taxes and duties with tax authorities, and on affirmation of
debts and payables fully settled;
- The financial statement audited by an approved
audit organization upon the fruition of the dissolution process.
i) In seven (07) working days upon the receipt of
all valid documents as defined in Point h of this Section, the State Securities
Commission shall issue a decision to revoke the license for establishment and
operation and announce information as per regulations.
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a) In twenty four (24) hours upon the decision by
the General shareholder meeting, Member’s Council or Owner on the dissolution
of the securities company, such company shall be responsible for announcing the
information on its dissolution;
b) A securities company licensed for brokerage
shall set up plans for settlement of clients’ securities trading accounts as
per Point d, Section 3 of this Article;
c) In ten (10) working days, the State Securities
Commission shall respond in writing about such plans;
d) The securities company, when receiving the State
Securities Commission's reply, shall settle clients' accounts as per Point dd,
Section 3 of this Article;
dd) After settling and transferring clients'
accounts to other securities companies on written agreements, the securities
company shall submit the application for approval of dissolution.
- Such application shall be made in one (01) set of
originals and presented to the State Securities Commission by hand or by post,
including:
- The letter of application for approval of
dissolution (as per Appendix VIII of this Circular);
- The written decision by the General shareholders’
meeting, Members’ council or Owner on the dissolution of the securities
company;
- The report on final settlement of clients’
securities trading accounts and plans for finalization and settlement of
contracts, interests and financial duties of the company's.
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g) In twenty four (24) hours upon the receipt of
the State Securities Commission's decision, the securities company is held
responsible for announcing the approval of its dissolution;
h) The formalities for dissolution are subject to
the Companies Law;
i) In seven (07) working days after the dissolution
process completes, the securities company fulfills procedures as defined in
Point h, Section 3 of this Article;
k) In seven (07) working days upon the receipt of
all valid documents as defined in Point h, Section 3 of this Section, the State
Securities Commission shall issue a decision to revoke the license for
establishment and operation and announce information as per regulations.
5. The following formalities apply to the revocation
of a license for establishment and operation in the event stated in Point dd,
Section 1 of this Article:
a) In twenty four (24) hours upon a securities
company’s obtainment of a decision to initiate or declare bankruptcy through
summary procedures as per Section 1, Article 105 of the Bankruptcy Law, such
company must announce such decision;
b) In five (05) working days from the date of
announcement, as stated in Point a of this Section, the securities company
licensed brokerage shall set up plans for settlement of clients’ securities
trading accounts as per Point d, Section 3 of this Article;
c) The securities company shall settle clients’
accounts as per Point dd, Section 3 of this Article;
d) The securities company shall execute the
bankruptcy formalities according to the Bankruptcy Law;
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6. The following formalities apply to the
revocation of a license for establishment and operation in the event stated in
Point e, Section 1 of this Article:
State Securities Commission shall decide to revoke
the license for establishment and operation of a securities company
consolidating or being acquired while reissuing the aforesaid license to the
securities company consolidated or acquiring as per Section 6, Article 67 of
this Circular.”
5. Volume 5 is added to Chapter
III as follows:
"Volume 5. OUTWARD INVESTMENT
Article 26a. Outward investments by securities
companies
1. A securities company, when setting up a branch
or representative office abroad or making an outward investment, must fulfill
these requirements:
a) It carries out a project to open an overseas
branch or representative office or to make an outward investment, which was
approved in writing by the General shareholders’ meeting, Members’ council or
Owner;
b) It satisfies financial safety regulations after
funds for the overseas branch or outward investment have been deducted;
c) It maintains the equity’s balance, less the
funds for the overseas branch or outward investment, not to go beneath the
legal capital as defined for business lines being licensed;
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2. The securities company’s application for
approval of overseas branch or representative office, or outward investment
shall be executed in one set of originals and submitted to the State Securities
Commission by hand or by post, including:
a) The letter of application for approval of
overseas branch or representative office or outward investment by the
securities company as per Appendix X(a) of this Circular;
b) The written record of the meeting and resolution
by the General shareholders’ meeting, Members’ council or Owner on the
establishment of the overseas branch or representative office or on the outward
investment in conformity to the securities company’s Charter;
c) Plans of overseas operations or outward
investments, that state the expected amount of investment, source of fund,
business partners (if available), investment fields, details and scope of
operations, business operation schemes and other relevant information in the
first three years.
3. In seven (07) working days upon the receipt of
valid documents as prescribed in Section 2 of this Article 2, the State
Securities Commission shall approve the securities company’s outward investment
in writing. State Securities Commission, if rejecting the application, must
respond in writing and specify its justifications;
4. The securities company, after obtaining the
State Securities Commission's written approval, shall proceed to set up the
overseas branch or representative office or make the outward investment as per
the laws on investment and foreign exchange management.
5. In fifteen (15) days upon the foreign
authorities’ consent to the establishment of the branch or representative
office or their approval of the foreign investment project, the securities
company must report to the State Securities Commission. Such report shall
include:
a) The address and personnel of the branch or
representative office, investment value, date of opening, plus written
approvals by Vietnamese competent governmental authorities in charge of
investment and foreign exchange management;
b) Documents given to foreign governmental authorities,
with valid copies of licenses, written approvals or equivalent papers that have
been issued by foreign competent authorities.
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a) The name and address of the overseas branch or
representative office and reasons for shutdown;
b) The securities company’s liabilities for assets,
rights, duties and interests related to the overseas branch or representative
office or the investment, plus valid copies of written approvals or equivalent
papers, if available, from foreign competent authorities.”
6. Section 3 of Article 28 is
amended as follows:
“3. A securities company can have one (01) or
many legal representatives according to its Charter. The charter of the
securities company shall define responsibilities, quantity, managerial titles,
rights and duties of each legal representative. If a securities company changes
its legal representative, it shall apply for the State Securities Commission's
amendment to the license for establishment and operation as per Article 13 of
this Circular. Specific circumstances regarding a securities company’s legal
representative:
a) The legal representative, if only one (01)
exists, of a securities company shall be the chairman of the Board of directors
or the Members’ council, or the Director of General director. Unless otherwise
stated in the company’s Charter, its legal representative shall be the chairman
of the Board of directors or Members’ council;
b) If a securities company has more than one legal
representative, the chairman of the Board of directors or the Members’ council
and the Director or General director shall represent such company legally. The
securities company shall register the chairman of the Board of directors or
Members’ council or Director or General director as its legal representative
before the State Securities Commission. The legal representative registered
shall be held responsible for providing documents and handling matters with the
State Securities Commission. If the securities company changes the legal
representative registered, the securities company shall have the State
Securities Commission reported in twenty four (24) hours upon the occurrence of
such change.”
7. Section 1 of Article 30 is
amended as follows:
“1. State Securities Commission's approval
shall be required for transactions that alter the ownership of shares or
capital contributions making up 10% or more of the existing charter capital,
and for transactions that fluctuate the ownership ratio of shareholders or
contributors above or below 10%, 25%, 50%, 75% of the securities company’s existing
charter capital. However, it does not apply to a securities company's stocks,
which are listed or traded on a Stock Exchange, or transfers ruled by a court.”
8. Section 4 is added to
Article 31 as follows:
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9. Article 39 is amended and
supplemented as follows:
“Article 39. Charter capital increase,
swap of stocks or capital contributions
1. Increase of Charter capital
a) A securities company cannot increase its charter
capital before undertaking securities business activities in official manner;
b) A limited liability securities company can raise
its charter capital in these manners:
- The owner or contributing members contribute
additional finances to the charter capital of a single-member limited liability
company or a limited liability company with two members or more, respectively;
- Mobilize investments from new contributing
members. If a single-member limited liability securities company augments its
charter capital by gaining investments from other entities, the company must
convert its legal type according to Article 64 and 65 of this Circular;
- Deliver profits undistributed and other valid
funds for the increment of the charter capital: If the charter capital is
increased by profits undistributed and other valid funds from the equity, the
company must maintain sufficient finances for such increase after deducting
adequate provisions as per the laws on securities companies’ financial systems.
The company cannot utilize financial reserve and differentials arising from
asset revaluation for the increase of the charter capital;
- Convert debts to capital contributions according
to agreements between the company and creditors; Debts eligible for conversion
shall be those specified in the latest financial statement, audited or
examined, and ratified by the Owner or Members’ council.
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- Sell shares to existing shareholders and other
entities through an offering passed by the General shareholders’ meeting;
- Deliver profits undistributed and other valid
funds for the increment of the charter capital: If the charter capital is
increased by profits undistributed and other valid funds from the equity, the
company must maintain sufficient finances for such increase after deducting
adequate provisions as per the laws on securities companies’ financial systems.
The company cannot utilize financial reserve and differentials arising from
asset revaluation for the increase of the charter capital; If the company uses
share premium composed of differentials between the selling price and purchase
price of treasury stocks, such method shall only be permissible upon the
company's selling all treasury stocks. If the company uses share premium
composed of differentials between the face value and the selling price in an
offering, such method shall only be permission one year after the end of the
offering.
- Convert debts to capital contributions according
to agreements between the company and creditors; Debts eligible for conversion
shall be those specified in the latest financial statement, audited or
examined, and ratified by the General shareholders’ meeting;
- The company shall have convertible bonds
converted to stocks upon the fulfillment of requirements for conversion as per
the laws.
d) Prior to the increase of the charter capital as per
Point b, Section 1 of this Article, the securities company must apply for
registration with the State Securities Commission. Such application comprises:
- The letter of application for charter capital
increase, which include details of the method and value of capital increase;
- The written decision by the company’s Members’
council or Owner on the capital increase and the capital mobilization plan
approved by the Members' council or Owner;
- The list of new contributing members and those contribute
ten percent (10%) or more of the securities company's charter capital, plus
documents as defined in Point d, Section 2, Article 30 of this Circular (if
available);
- The latest financial statement audited or
examined in case undistributed profits and valid funds are spent on the
increase of the charter capital or in case such increment derives from the
restructuring of debts converted to capital contributions according to
agreements between the company and creditors. If a single-member limited liability
company converts debts to capital contributions, such conversion must abide by
Article 64 and 65 of this Circular.
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- Sale of shares to existing shareholders and other
entities: If stocks are offered to one hundred (100) or more defined
shareholders, the securities company must abide by regulations on public
offering. If stocks are offered to less than one hundred (100) defined
shareholders, the securities company must abide by regulations on private
placement;
- Deliver profits undistributed and other valid
funds for the increment of the charter capital: Requirements, documents and
formalities shall be governed by regulations on public offering of additional
stocks;
- If the charter capital is increased by
restructuring of debts that are converted to capital contributions as per
agreements between the company and creditors: The securities company shall
conform to regulations on private placement for debt swap in publicly traded
corporations;
- Conversion of bonds to shares: In three (03)
working days upon the complete conversion of bonds to shares, the securities
company must report to the State Securities Commission about the result of such
conversion.
2. Swap of share capital or capital contributions,
or private placement for equitization:
a) A securities company issues stocks to swap
shares or capital contributions for its consolidation or merger with another
securities company or its acquisition of a fund management company:
- If a company issues stocks to swap shares or
capital contributions with one hundred (100) or more defined shareholders:
Requirements, documents, and formalities shall be governed by regulations on
public offering for stock swap subject to contracts for consolidation or
merger;
- If a company issues stocks to swap shares or
capital contributions with less than one hundred (100) defined shareholders:
Requirements, documents and formalities shall be regulations on private
placement for stock swap.
b) Private placement for equitization: A securities
company must obtain the approval by its Owner or Members’ council of its
equitization and private placement for such purpose, and plans for swap and
offering ratified by the Owner or Members’ council. Formalities of private
placement for equitization by a securities company shall be governed by
regulation on publicly traded corporations’ private placement.
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4. In seven (07) working days upon the complete
increase of the charter capital, the securities company shall execute
formalities for amendments to the license for establishment and operation
according to Article 12 of this Circular."
10. Article 40 is amended and
supplemented as follows:
“Article 40. Financial securities norms
1. Securities companies must abide by financial
safety norms as per the Ministry of Finance’s regulations on financial
securities norms and treatments against securities dealing organizations.
2. The minimum equity of a securities company must
be equal to the legal capital as defined by the Government for each line of
business. If the equity is lower than the legal capital (according to the
latest month's activity report), the Board of directors or Members' council of
the securities company, in thirty (30) days upon the inferiority of the equity
to the legal capital, shall be responsible for:
a) Developing and implementing response plans
(capital increase, removal of business lines) to maintain the equality of the
minimum equity and the legal capital;
b) Reporting to the State Securities Commission in
writing about response plans as stated in Point a of this Section and the
undertaking to implement such plans. Such report must at least indicate:
- The value of the equity at the time of reporting;
- Causes of the inferiority of the equity to the
legal capital;
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3. In six (06) months upon the inferiority of the
equity to the legal capital as shown in the monthly activity report, the
securities company’s equity must at least be equal to the legal capital. If the
equity is still lower the legal capital after six (06) months, the securities
company shall suffer prohibitions in:
a) Profit distribution, establishment of branches,
transaction offices or representative offices, outward investments, addition of
securities-related business lines, registration of margin trading;
b) If the securities company continues or fails to
rectify situations that lead to ordinary and special control or gross loss
below fifty percent (50%) of its charter capital, the State Securities
Commission, in fifteen (15) days from the expiry date of the six (06) months’
time for capital increase or removal of securities business lines as per this
Section, shall decide to suspend one or some business activities of such
company on the basis of the equality of the minimum equity and the legal
capital in accordance with business lines remaining. Formalities for suspension
of one or some business lines of a securities company shall be governed by
Article 14 of this Circular. If the securities company’s equity does not match
the legal capital after suspension, the State Securities Commission, in five
(05) working days, shall decide to remove business lines of the company being
suspended.
4. Annual financial statements and disposable fund
ratio reports made on the 30th of June or on 31st
December must be, respectively, examined or audited by an approved audit
organization.
5. State Securities Commission shall be responsible
for publishing information on securities companies under ordinary or special
control and relevant data on the State Securities Commission’s website in
twenty four (24) hours upon its decision to exercise ordinary or special
control.”
11. Article 41 is amended and
supplemented as follows:
“Article 41. Treasury stock
1. A joint-stock securities company can buy back at
most ten percent (10%) of common stocks issued for its own treasury, except for
odd lot purchases requested by clients or purchases for error correction as per
the Securities Depository Center’s regulations or repurchase of stocks at
shareholders’ requests as per Article 129 of the Companies Law.
2. A securities company can purchase treasury
stocks with finances from undistributed net profits, share premium and other
funds from the equity, which are permissible contributions to the charter
capital (excluding financial reserve) according to the laws. The securities
company, after purchasing treasury stocks, must maintain the equality of the
minimum equity and the legal capital as per the laws.
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3. Requirements, documents and formalities for
securities companies’ repurchase and sale of treasury stocks shall be governed
by regulations on publicly traded corporations.
4. If a securities company completes its repurchase
of treasury stocks or cancellation of treasury stocks for charter capital
decrease, it must make adjustments to reduce the charter capital according to
Article 12 of this Circular.”
12. Section 3 is added to
Article 42 as follows:
“3. Securities companies offering bonds must
abide by the laws on the offering of corporate bonds and conform to the ratio
as stated in Section 1 and 2 of this Article. A securities company, when
offering convertible bonds to the public, must comply with regulations on
public offering of convertible bonds. Formalities and documents for private
placement of convertible bonds shall comprise:
a) The original application for private placement
of convertible bonds, submitted to the State Securities Commission by hand or
by post. The application includes:
- The letter of application for private placement
of convertible bonds, indicating the offering value and target buyers;
- The written approval by the General shareholders’
meeting of the plans for offering of convertible bonds, use of net proceeds
from the offering and bond conversion. The bond conversion plan must indicate
requirements, time limit and ratio of conversion and price formula;
- The written undertaking by the securities company
to conduct its duties, to investors, regarding conditions for issuance and
payment, assurance of investors' legitimate rights and interests and other
conditions;
- The scheme for issuance of stocks upon
convertible bond’s maturity and the plan for recompense for owners of
convertible bonds.
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c) The securities company must implement and
complete the offering according to the registered plan in ninety (90) days upon
the State Securities Commission’s notice of its admission of sufficient
documents for registration of private placement of convertible bonds;
d) The securities company must open an escrow
account, which receives net proceeds from the offering, at a commercial bank
that has no connection with such company or with the offering according to
Section 3, Article 21 of the Securities Law;
dd) In five (05) working days upon the completion
of the offering, the securities company must deliver the offering report to the
State Securities Commission, with the written confirmation, by the bank opening
the escrow account, of finances raised from the offering;
e) In three (03) working days upon the receipt of
the offering report, the State Securities Commission shall inform the
securities company of the former’s assent to the result of the company’s
offering;
g) Upon the State Securities Commission’s assent to
the result of the offering, the issuer can request the release of net proceeds
from the offering.”
13. Article 43 is amended and
supplemented as follows:
“Article 43. Lending limit
1. Securities companies cannot lend money or
securities in any manner, except for the situations as stated in Section 4 and
Section 5 of this Article.
2. Securities companies cannot use its or its
clients’ money or assets to guarantee a third party’s payments.
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4. Securities companies, which are permitted to
carry out margin transactions as per the laws, can lend clients money for
purchase of securities on margin according to the Ministry of Finance’s
guidelines.
5. Securities companies can lend securities for
correction of transaction errors or for trading of exchange trade funds
certificates or other forms as per relevant laws.”
14. Amendments to Section 3
and Points d and e, Section 4 and addition of Point g to Section 4 of Article
44:
“3. Total value of investments in a
securities company's corporate bonds must not exceed seventy percent (70%) of
the equity. A securities company licensed for proprietary trading of securities
can resell and repurchase listed bonds according to regulations on resale and
repurchase of bonds.”
“4. Securities companies cannot directly or
commission other entities to:
d) Make investments in more than fifteen percent
(15%) of an unlisted organization’s stocks and fund certificates in circulation.
This clause does not apply to certificates from private funds, exchange traded
funds and open funds;
e) Make investments or capital contributions whose
value exceeds fifteen percent (15%) of the equity of an organization or
business project;
g) Make investments, whose value exceeds seventy
percent (70%) of the equity, into stocks, capital portion and business
projects. Moreover, only investments valued less than twenty percent (20%) of
the equity can be poured into unlisted stocks, capital portion and business
projects.”
15. Amendment to Section 4 and
addition of Sections 9, 10 and 11 to Article 45:
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“9. Securities companies, when conducting
securities business, must directly sign clients' contracts via its legal
representative or an individual authorized by the legal representative.
Securities companies must assume all liabilities and execute contracts as per
their provisions and in conformity to the laws on securities, contracting and
securities business activities that are stipulated in such contracts.
10. Clients’ possessions under securities
companies' management shall comprise pecuniary deposits for securities
transactions as per Article 50 of this Circular and securities deposited and
retained at securities companies as per Article 51 of this Circular, including
those held in specialized accounts under the company's name. When securities
companies undergo dissolution or bankruptcy, clients’ possessions must be
returned after clients’ payables to the company have been settled.
11. Securities companies and their personnel
cannot:
a) Facilitate borrowing and lending of possessions
among clients or between a client and a third party, except for lending of
securities for correction of transaction errors or for trading of exchange
traded fund certificates;
b) Make investments on clients' behalf, except for
mandated management of individual investors’ securities trading accounts as per
Article 61 of this Circular."
16. Article 68 is amended and
supplemented as follows:
“Article 68. Reporting
1. Securities companies’ reports must be
sufficient, timely and reflective of their actual circumstances.
2. Securities companies must send periodic reports
in electronic format to the State Securities Commission by the time and rules
below:
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b) Securities companies must submit a quarter's
financial report in twenty (20) days from the last day of that quarter.
Securities companies that have to make consolidated quarterly financial reports
must submit a quarter's consolidated financial report in thirty (30) days from
the final day of that quarter.
c) Securities companies must submit the half-year
financial statement and financial safety ratio report made on the 30th
of June and examined by an approved audit organization in forty five (45) days
from the end of the first 6 months of the fiscal year. Securities companies
that have to make consolidated half-year financial statements must submit the
consolidated half-year financial statement in sixty (60) days from the end of
the first 6 months of the fiscal year;
d) Annual report:
- Securities companies must send the general
activity report in a year by the 20th of January in the following
year (the form is available in Appendix XXIII of this Circular);
- Securities companies must submit the year’s
financial statement and financial safety ratio report made on the 31st
of December and audited by an approved audit organization to the State
Securities Commission by the 31st of March in the subsequent year.
Securities companies that have to make consolidated yearly financial statements
must submit the year’s consolidated financial statement in one hundred (100)
days from the last day of the fiscal year.
dd) Financial statements, which securities
companies send to the State Securities Commission according to Point b, c, d of
this Section, must contain all parts and details as per the accounting law's
articles applicable to securities companies;
e) If a financial statement bears the auditor’s
qualified opinions that do not indicate qualified sections and justifications,
the securities company must provide explanations in writing, with the auditor’s
endorsement, to the State Securities Commission in no later than thirty (30)
days from the statement's date of sending as per Point c and d of this Section.
3. In three (03) working days upon the following
occurrences, securities companies must report to the State Securities
Commission in writing:
a) Loans or investments exceed the limit defined in
Article 42 and Article 44 of this Circular;
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4. Reports upon requests:
State Securities Commission is entitled to request
securities commissions to make written reports, if deemed necessary. The
request must specify the content and time limit of such reports.
17. Appendix X(a) and Appendices
XI, XXII, XXIII, under the Circular no. 210/2012/TT-BTC dated 30 November 2012
by Minister of Finance on guidelines for establishment and operation of
securities companies, are added and amended, respectively.
18. Article 38 of the Circular
no. 210/2012/TT-BTC dated 30 November 2012 by Minister of Finance on guidelines
for establishment and operation of securities companies is abrogated.
Article 2. Enforcement
1. This Circular comes into force as of 15 March 2016.
Previous regulations contrary to this Circular are nullified.
2. In 01 years after this Circular takes effect,
securities companies whose equity is lower than the legal capital specified for
business lines being licensed must implement measures necessary and legitimate
to sustain the equity on par with the legal capital as defined in this
Circular. Moreover, securities companies must revise their charters according
to the sample in Appendix XI of this Circular.
3. Minister of Finance shall decide amendments and
supplements to this Circular.
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FOR MINISTER
DEPUTY MINISTER
Tran Xuan Ha
APPENDIX X(a)
THE APPLICATION FORM FOR THE APPROVAL OF THE
OUTWARD INVESTMENT OR THE ESTABLISHMENT OF THE OVERSEAS BRANCH OR
REPRESENTATIVE OFFICE
(Under the Circular No. 07/2016/TT-BTC dated 18 January 2016 by Minister of
Finance)
SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom - Happiness
....., … … … [date]
THE FORM OF
APPLICATION BY THE SECURITIES COMPANY FOR THE OUTWARD INVESTMENT OR THE
ESTABLISHMENT OF THE OVERSEAS BRANCH OR REPRESENTATIVE OFFICE
To: State Securities
Commission
The applicant is:
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- License for establishment and operation no
… as issued by the State Securities Commission on … … … [date]
- Main address:
- Telephone: ....
Fax:
We petition for the State Securities Commission’s
approval of our outward investment or establishment of our overseas branch or representative
office:
For the establishment of an overseas branch or
representative office
- Name of the country where the overseas branch or
representative office expectedly locates
- Name of the overseas branch or representative
office: …
- Address of the overseas branch, transaction
office or representative office: ..........
- Level of capital investment: …
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For an outward investment
- Name of the country where the investment is
expectedly made: ..........................
- Name of the organization that the investment is
intended for: ...
- Address of the organization that the investment
is intended for: ..........
- Level of investment: … Ratio of capital
contribution: .......................
- Field of investment: …
- Form of investment: .........................
Financial information after the overseas branch or
representative office is established or the outward investment is made (as
shown in the financial statement and financial safety ratio report audited or
examined):
- Financial safety ratio: .........
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Reason(s) for the outward investment or the
establishment of the overseas branch or representative office: ............
We undertake to assume legal liabilities for the accuracy
of this letter of application and documents enclosed.
Documents
enclosed:
(List all papers)
Corporate
representative
(Sign, seal and write full name)
APPENDIX XI
A SECURITIES COMPANY’S MODEL CHARTER
(Under the Circular No. 07/2016/TT-BTC dated 18 January 2016 by Minister of
Finance)
… COMPANY
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CHARTER
… JOINT-STOCK/
LIMITED LIABILITY SECURITIES COMPANY
….. [Name of the
company]
… [place], … …
… [date]
TABLE OF CONTENTS
Legal foundation
Chapter I. General provisions
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Article 2. Name, legal constitution, office,
operational network and duration of the Company
Article 3. Legal representative
Article 4. Scope of business
Article 5. Objectives
Article 6. Principles of operation
Article 7. Rights
Article 8. Duties
Article 9. Prohibition and restriction
Chapter II Charter capital, share/ capital
contribution; shareholder/ member/ owner
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Article 10. Charter capital
Article 11. Types of shares (for joint-stock
companies)
Article 12. Member/ shareholder register
Article 13. Stocks (applicable to joint-stock
companies)
Article 14. Transfer of capital contribution/ share
Article 15. Repurchase of capital contribution/
share
Article 16. Methods for increase or decrease of
charter capital
Volume 2. Owner/ founding members/ founding
shareholders; rights and duties of the owner/ members/ shareholders
Article 17. Information on the Owner/ founding
members/ founding shareholders
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Article 19. Duties of the Owner/ members/
shareholders
Article 20. Representatives mandated by the owner/
members/ shareholders that is (are) organization(s)
Chapter III. Corporate Management
Volume 1. Management of the joint-stock company
Article 21. Corporate management system
Article 22. Powers of the General shareholders’
meeting
Article 23. Assemblage of the General shareholders’
meetings
Article 24. Agenda and details of the General
shareholders’ meeting
Article 25. Conditions for the occurrence of the
General shareholders’ meeting
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Article 27. Decisions by the General shareholders’
meeting
Article 28. Effect of resolutions by the General
shareholders’ meeting
Article 29. Record of the General shareholders’
meeting
Article 30. Rights and duties of the Board of
directors
Article 31. Quantity, formation and incumbency of
the Board of directors
Article 32. Nomination, criteria and requirements
for members of the Board of directors
Article 33. Independent members of the Board of
directors
Article 34. Chairman of the Board of directors
Article 35. Board of directors’ conclaves and meeting
records
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Article 37. Board of directors' committees for
internal audit and risk management
Article 38. Formation and incumbency of the
Executive Board (Chief Executives Board); rights and duties of the Director
(General Director) and members of the Executive Board (Chief Executives Board)
Article 39. Criteria and requirements for the
Director (General Director)
Article 40. Dismissal or deposition of the Director
(General Director)
Article 41. Internal control and risk management
divisions of the Executive Board (Chief Executives Board)
Article 42. Quantity, incumbency and structure of
members the Control Committee
Article 43. Rights and duties of the Control
Committee
Article 44. Control Committee's operation and
assembly
Article 45. Criteria and requirements for
Controllers
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Volume 2. Management of the limited liability
company
Article 47. Corporate management system
Article 48. Rights and duties of the Members'
council
Article 49. Meetings of the Members’ council
Article 50. Requirements and procedures for the
meetings of the Members’ council
Article 51. Decisions by the Members’ council
Article 52. Record of the meetings of the Members’
council
Article 53. Chairman of the Members’ council
Article 54. Divisions for internal audit and risk
management under the Members’ council
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Article 56. Criteria and requirements for the
Director (General Director)
Article 57. Dismissal or deposition of the Director
(General Director)
Article 58. Internal control and risk management
divisions of the Executive Board (Chief Executives Board)
Article 59. Quantity, formation and incumbency of
the Control Committee
Article 60. Rights and duties of the Control
Committee/ Controllers
Article 61. Control Committee's operation and
meeting
Article 62. Criteria and requirements for members
of the Control Committee
Article 63. Dismissal and deposition of members of
the Control Committee
Chapter IV. Handling of relationships with
partners
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Article 65. Settlement of disputes
Article 66. Mandatory approval of contracts and
transactions
Article 67. Reporting and announcement
Chapter V. Financial and accounting management
Article 68. Fiscal year
Article 69. Accounting system
Article 70. Audit
Article 71. Principles for distribution of profit
Article 72. Settlement of business losses
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Chapter VI. Extension of duration,
restructuring, dissolution and bankruptcy
Article 74. Extension of duration
Article 75. Restructuring
Article 76. Dissolution
Article 77. Bankruptcy
Chapter VII. Amendment and supplement to the
Charter
Article 78. Supplement and amendment to the Charter
Chapter VIII. Effect of the Charter
Article 79. Date of effect
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Pursuant to:
- Companies Law No. 68/2014/QH13 passed by the
National Assembly of the Socialist Republic of Vietnam on 26 November 2014 and
written guidelines for the enforcement of the Companies Law;
- Securities Law No. 70/2006/QH11 passed by the
National Assembly of the Socialist Republic of Vietnam on 29 June 2006, and the
Law on amendments and supplements to certain articles of the Securities Law,
which was passed by the National Assembly on 24 November 2010 and written
guidelines for the enforcement of the Securities Law;
- Decisions by the General shareholders’ meeting/
Members’ Council of … [company] via the Resolution No. … dated …,
Chapter I
GENERAL
Article 1. Terminology
1. In this Charter, the following terminologies
pertain:
a) "Company” means ... Joint-stock/ Limited
liability Securities Company. (The company’s full name in Vietnamese);
...
...
...
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c) “Securities Law” comprises the Securities Law
passed by the National Assembly of the Socialist Republic of Vietnam on 29 June
2006 and the Law on amendments and supplements to certain articles of the
Securities Law, which was passed by the National Assembly on 24 November 2010;
d) “Companies Law" means the Companies Law No.
68/2014/QH13 passed by the National Assembly of the Socialist Republic of
Vietnam on 26 November 2014;
e) “Corporate management” includes members of the
Members’ council, members of the Board of directors, members of the Executive
Board (Chief Executives Board), branch directors and competent managerial
individuals who seal the Company’s deals on the Company’s behalf according to
this Charter;
f) “Concerned entities" refer to people or
organizations connected according the Securities Law and Companies Law;
g) “Vietnam” is the Socialist Republic of Vietnam;
h) “SSC" stands for the State Securities
Commission;
i) … (Other terminologies defined by the company).
2. In this Charter, a reference to one or some
regulations or documents shall comprise amendments to or replacements of such
provisions or documents.
3. Titles (in chapters and articles of the Charter)
facilitate comprehension and do not alter meanings and contents of the Charter.
...
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Article 2. Name, constitution, offices,
operational network and duration of the Company
1. Name of the Company:
a. Full name in Vietnamese:
b. Name in English:
c. Trading name:
d. Abbreviated name:
2. Legal constitution of the Company:
Single-member limited liability company/ Limited
liability company with two members or more/ Joint-stock company are
incorporated and operated according to the Securities Law.
3. Corporate offices:
...
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b. Telephone:
Fax:
Email:
c. Web address:
4. Operational network:
a. The company can have branches, transaction
offices and representative offices to fulfill its objectives in conformity to
decisions by the Owner/ Board of directors/ Members' council in compliance with
the laws;
b. Branches, transaction offices and representative
offices are direct units of the Company that assume all liabilities for
activities of its branches, transaction offices and representative offices;
c. The company only trades in securities and
provides securities-related services at the head office, branches and
transaction offices that have been approved by the SSC;
d. Names of branches, transaction offices and
representative offices must contain the Company's name, phrases such as
"branch, transaction office or representative office", and
distinctive name.
5. Duration:
The duration of the Company shall commence on the
date of incorporation and last in ... year(s)/ be unlimited, unless otherwise
terminated early or extended according to this Charter.
...
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1. The legal representative of the Company is the
person, on the Company’s behalf, executing the Company’s rights and duties
arising from its transactions, representing the Company as a defendant,
plaintiff and bearer of relevant interests and duties before an Arbitral
tribunal or a Court, and handling other rights and duties as per the laws.
2. The legal representative of the Company is:
a. The legal representative’s title: …
b. The legal representative’s rights:
.................
c. The legal representative’s responsibilities and
duties: .............
3. When the legal representative exits Vietnam, he
has to commission another person in writing to enforce the legal
representative’s rights and missions. In such event, the legal representative
bears the same liabilities for the enforcement of rights and missions that were
mandated.
4. If the term of commission as per Section 3 of
this Article expires but the legal representative is still absent from Vietnam
and does not give any other mandates, the person mandated shall carry on the
legal representative’s rights and missions within the scope of commission until
the legal representative’s resumption of work at the Company or until the
appointment of another legal representative by the Owner/ Members’ Council/
Board of directors.
5. If the legal representative is not present in
Vietnam for over 30 days but does not commission another person to carry out
the legal representative's rights and missions, the Members' council/ Owner/
Board of directors shall appoint another legal representative. The same
consequence applies if the legal representative is deceased, missing, held in
detention, sentenced to incarceration or deprived of legal capacity.
6. For limited liability companies with two
members: If a member, as a natural person and legal representative of the
Company, is held in detention, is sentenced to prison, absconds from current
residential place, is missing or deprived of legal capacity or is stripped by a
Court of occupational permissions against his smuggling, production of
counterfeit goods, illegal business, tax evasion, customer fraud and other
crimes as per the laws, the other member shall automatically become the legal
representative until the Members’ council issues a decision on the legal
representative.
...
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(Notes: If the company has more than one
legal representative, its Charter must stipulate each legal representative’s
responsibilities and duties and indicate the legal representative registered to
provide documents and handle matters with the State Securities Commission.
Moreover, it must indicate the bonds between legal representatives, transfer of
responsibilities among legal representatives in case that a legal
representative is absent from Vietnam, absconds from current residential place,
remains in detention, receives prison sentence, relinquishes or lacks legal
capacity or loses occupational permissions, etc.)
Article 4. Scope of business
1. The company’s business lines include (select
one, some or all of these business lines according to the license for
establishment and operation as issued by the SSC);
a. Securities brokerage;
b. Proprietary trading of securities;
c. Securities underwriting;
d. Securities investment consultancy.
2. Apart from securities-related business lines as
stated in Section 1 of this Article, the Company can provide services for
securities depository, financial consultancy, mandated management of investors’
securities trading accounts and other financial services as per the Ministry of
Finance’s regulations.
3. The company can add or remove one or some
business lines as stated in Section 1 of this Article upon the SSC’s approval.
...
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The company’s objectives comprise: …
Article 6. Principles of operation
1. Abidance by the laws on securities and stock
markets and relevant laws.
2. Fair and honest performance of business
activities.
3. Issuance of procedures for professional
operations, internal control and risk management, code of ethics pertinent to
the Company’s business lines.
4. Maintenance of human resources, capital and
facilities necessary for securities business and compliance with the laws.
5. Separation of work space, personnel, data
systems and reports of specialized divisions in order to prevent conflicts of
interest between the Company and clients and among customers. The company must
inform clients in advance of possible conflicts of interest, which involve the
Company, practitioners and clients.
6. Appointment of securities practitioners
according to business lines. Securities practitioners who perform proprietary
trading of securities shall not concurrently act as securities brokers.
7. Elucidation of analysis grounds and information
sources for price forecast or recommendations on transactions related to a
particular security, given on mass media.
...
...
...
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Article 7. Rights of the Company
1. Every right stated in the Companies Law, which
does not contradict to the Securities Law.
2. Provision of securities services and financial
services according to the laws.
3. Collection of fees according to the Ministry of
Finance’s regulations.
4. Prioritization of local workers, maintenance of
workers' rights and benefits as per the Labor Law, and recognition of the right
to organize trade unions as per the laws.
5. … (Other rights defined by the company as per
current laws).
Article 8. Duties of the Company
1. General principles:
a. Fulfill all duties as prescribed in the
Companies Law;
...
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c. Conform to corporate management principles as
per the laws and the company’s Charter;
d. Comply with financial safety regulations defined
by the Ministry of Finance;
e. Purchase occupational liability insurance for
the Company’s securities business or establish investor protection funds to
make amends for investors’ damage caused by technical errors or employees’ mistakes;
f. Retain full papers and accounts that reflect
accurate details of transactions performed by clients and the Company;
g. Sell securities or, upon its possession of no
securities, facilitate clients’ sale of securities and lend securities to
clients for their sale of such securities according to the Ministry of
Finance's regulations;
h. Abide by the Ministry of Finance’s regulations
on securities business transactions;
i. Carry out schemes for accounting, audit,
statistics and financial duties as per relevant laws;
j. Announce information, make reports and retain
documents as per the Companies Law, Securities Law and written guidelines;
k. Contribute to the payment support fund as
regulated;
...
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2. Duties towards shareholders/ members:
a. Differentiate responsibilities of the General
shareholders’ meeting/ Members’ council and of the Board of directors, Chairman
of the Board of directors/ Members’ council, and Control committee for proper
management as per the laws;
b. Establish a communications system for
shareholders/ members to assure full information and equality given to
shareholders/ members, and maintain legitimate rights and benefits of
shareholders/ members;
c. Perform none of the following actions:
- Make commitments on earnings and profits for
members/ shareholders (except for shareholders possessing preferred stock);
- Hold shareholders’/ members’ interests and
earnings from shares/ capital contributions in illegal manners;
- Provide finances or guarantee to shareholders/
members in direct or indirect manners; make loans in any manners to major
shareholders, members of the Control committee, members of the Board of
directors/ Members’ council, members of the Executive Board (Chief Executives
Board), chief accountant or managerial individuals appointed by the Board of
directors and their related people;
- Generate earnings for shareholders/ members
through repurchase of their shares/ capital contributions in manners contrary
to the laws;
- Violate the rights of shareholders/ members, such
as ownership, freedom of choice, business equality, access to information, and
other legitimate rights and interests;
...
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3. Duties towards clients:
a. Maintain credibility towards clients and commit
no violation of clients’ possessions, legitimate rights and benefits;
b. Manage each client’s money and securities
separately and segregate clients’ money and securities from those of the
Company. The company must conduct every of clients’ pecuniary transactions must
through a bank. Misuse none of clients’ assets under the Company's mandated
management and clients’ payments and securities deposited in the Company;
c. Engage in written contracts with clients for
provision of services, give adequate and equitable information to clients when
providing services;
d. Give proper counsels to clients, subject to
their information collected with great efforts: Gather and seek information on
clients’ financial conditions, investment goals, risk tolerance, profit
expectation and updates as per the laws. Assure that the Company’s
recommendations and counsels on clients’ investments correspond with each
client;
e. Assume liabilities for the reliability of
information given to clients. Assure that clients’ investment decisions
consider information adequately provided, including details and risks of
products and services. Fraud and announcement of false information are
prohibited in any manners;
f. Exercise caution and generate no interest
conflict with clients. The company must inform clients in advance of
ineluctable circumstances and implement measures necessary to maintain equality
for clients;
g. Prioritize clients’ orders over the Company’s;
h. Establish a unit specialized in communicating
with clients and handling their inquiries and complaints;
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j. Maintain confidentiality of clients’
information:
- The company is responsible for maintaining
confidentiality of information on clients' securities ownership and money and
for rejecting investigation, blockade, seizure or extraction of clients'
possessions without clients' permission;
- This provision shall not apply in the following
events:
+ Auditors audit the Company’s financial
statements;
+ Competent governmental authorities request
information.
k. … (Other duties defined by the company according
to current laws).
Article 9. Prohibition and restriction
1. The company is:
a. Not permitted to provide opinions or commitments
to clients on earnings or profits attainable from their investments or to
guarantee clients’ safety against losses except for investments in securities
that generate fixed incomes;
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c. Not permitted to directly or indirectly
establish locations rather than those approved by the SSC for signing of
contracts, receipt and processing of securities orders or settling payments for
securities with clients;
d. Not permitted to take orders and process
payments with individuals who do not own the related accounts without clients’
written proxy;
e. Not permitted to use clients’ names or accounts
to register or transact securities;
f. Not permitted to appropriate clients’ securities
or money or withhold their securities by depositing them under the Company’s
name;
g. Not permitted to disclose clients’ information
without their permission or without requests from competent governmental
authorities;
h. Not permitted to perform actions that lead to
clients’ and investors’ misapprehending securities prices;
i. Contracts for opening of securities accounts do
not arrange the Company’s evasion of legal duties, limit the Company’s
compensations, shift the Company’s risks to clients, force clients to incur
unfair liabilities for restitution or stipulate clients’ unjust disadvantages;
j. … (Other provisions defined by the company as
per current laws).
2. For securities practitioners:
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- Work concurrently for another organization that
has proprietorial relation with the Company;
- Work concurrently for another securities company
or fund management company;
- Hold a concurrent position of Director (General
Director) in an organizing listing securities or making public offering(s);
b. Open securities account(s), if any, on his name
elsewhere but not in the Company. This clause does not apply when the Company
is not a member of a Stock Exchange;
c. Securities practitioners, when conducting the
Company’s professional operations, shall represent the Company to handle
clients' transactions and the Company must be held liable for all of its
securities practitioners’ activities. Use money and securities from clients'
accounts without the Company’s authorization that derives from clients’ written
commission;
d. … (Other provisions defined by the company as
per current laws).
3. For members of Board of directors/ Members’
council, Head of the Control Committee and members of the Executive Board (Chief
Executives Board):
a. Members of Board of directors/ Members’ council
of the Company shall not concurrently participate in a Board of directors or
Members' council or hold position of Director (General Director) in another
securities company;
b. Head of the Control Committee shall not
concurrently be a member of a Control Committee or manager in another
securities company;
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e. … (Other provisions defined by the company as
per current laws).
Chapter II
CHARTER CAPITAL,
SHARE/ CAPITAL CONTRIBUTION; SHAREHOLDER/ MEMBER/ OWNER
Volume 1
CHARTER CAPITAL,
SHARE/ CAPITAL CONTRIBUTION
Article 10. Charter capital
The charter capital of the Company is … VND (in
word: ……..).
Article 11. Types of shares (for joint-stock
companies)
1. Total quantity of shares from the company’s
Charter capital is … Face value of a share is … Vietnam dongs.
...
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a. Ordinary share: … shares;
b. Voting preference share: … … shares;
c. Dividend preference share: … … shares;
d. Redeemable preference shares: ... … shares;
e. Preferred … share: ... … shares (as defined by
the company according to the laws).
3. Eligible buyers of preferred shares:
4. Ordinary share cannot be converted to preferred
share. Preferred share can be converted to ordinary share according to
decisions by the General shareholders' meeting. The general shareholders‘
meeting shall endorse the approach and ratio of conversion as per the laws.
5. Characteristics of share types:
a. Ordinary share: A joint stock company must have
ordinary shares. A holder of ordinary shares is an ordinary shareholder. One
ordinary share gives one vote;
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c. Dividend preference share: This type of share
pays higher dividend than ordinary share or pays steady dividend on annual
basis. Annual dividend comprises fixed dividend and bonus dividend. Fixed
dividend is not dependent on the Company’s business result. Fixed dividend
level and bonus dividend determination method shall be inscribed on the
dividend preference share;
d. Redeemable preference shares: This type of share
stipulates the Company’s refund of capital contributions to shareholders at the
latters’ request or according to requirements inscribed on the share.
Article 12. Member/ shareholder register
1. The company must create and maintain a register
of members/ shareholders upon the issuance of the license for establishment and
operation.
2. Such member/ shareholder register must contain
essential information as per the Companies Law.
3. A register of members/ shareholders is made in
the form of: A document, an electronic file or both (at the company's
discretion).
4. The register of members/ shareholders shall be
retained at the Company’s head office or Vietnam Securities Depository Center
(for the register of shareholders).
5. Chairman of the Members’ council or Board of
directors (if the company’s stocks are not centrally deposited in Vietnam
Securities Depository Center) shall be held responsible for timely and full
asseveration of the registration of members' contributions/ shareholders'
shares. Furthermore, the chairman shall be held responsible for the retention
and accuracy of the register in order to preclude any damage to members/
shareholders or a third party due to failure of such duty.
6. … (Other provisions defined by the Company as
per current laws).
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1. Stock is a certificate that the Company issues
and records shareholders’ ownership of one or certain amount of shares in the
Company in book entry or electronic database.
2. Stock must bear essential information as per the
Companies Law. Errors in the content and format of stocks that the Company has
issued contain errors shall not affect holders’ benefits and rights. The
company’s legal representative shall be held liable for damage caused by such
errors.
3. Shareholders can request the Company to reissue
stocks lost, ruined or damaged in other manners according to the Companies Law.
Article 14. Transfer of capital contributions/
shares
1. For single-member limited liability companies:
The company can transfer parts or all of its
charter capital three (03) years after the issuance of the license for
establishment and operation.
2. For limited liability companies with two members
or more/ joint-stock companies:
a. Capital contributions/ shares in the Company are
transferrable, except for transfer restriction circumstances as defined in the
Companies Law, Securities Law and this Charter;
b. Founding members/ founding shareholders cannot
transfer their capital contributions/ shares in three (03) years’ time upon
incorporation. However, transfers among founding members/ founding shareholders
of the Company are permissible. Moreover, the transfer of their ordinary shares
to entities who are not founding members/ founding shareholders must acquire
the approval of the Members' council/ General shareholders' meeting and abide
by the laws. Such transfers must maintain founding members’/ founding
shareholders’ ratio of holdings as per current laws. Upon the expiration of
such time, restrictions imposed on founding members’ capital contributions/
founding shareholders’ ordinary shares shall be lifted. Transfer restrictions
against founding members/ founding shareholders shall only apply to capital
contributions/ shares purchased upon the incorporation of the Company.
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Article 15. Repurchase of capital contributions/
shares
1. The company shall only buy back capital
contributions/ shares upon the satisfaction of requirements and repurchase
ratio as per the laws.
2. Events of repurchase of capital contributions/
shares
a. Repurchase requested by members/ shareholders:
Members/ shareholders are entitled to requisition
the Company’s buyback of their capital contributions/ shares if they dissent
from decisions by the Members’ council/ General shareholders’ meeting on:
Corporate restructuring, amendments and supplements to the company’s Charter
regarding the rights and duties of members of the Members’ council and shareholders’
duties and rights. Requisitions for repurchase of capital contributions/ shares
must be presented in writing to the Company in … working days upon the Members’
council’s/ General shareholders’ meeting’s validation of decisions on such
matters.
b. Repurchase at the Company's discretion (for
joint-stock companies):
The company can buy back ordinary shares and
dividend preference shares that have been sold. Ratio, approach and formalities
of share repurchase shall be subject to the laws on securities and securities
market.
Article 16. Approach to adjustment of charter
capital
1. The company, when launching its official
operations, can adjust the charter capital according decisions by the Owner/
Members’ council/ General shareholders’ meeting in conformity to current laws.
...
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a. For limited liability companies:
- Members’/ Owner's additional capital
contributions;
- New members’ capital contributions;
- Delivery of undistributed profit or valid funds
as per the laws;
- Conversion of debts to capital contributions as
per agreements between the company and creditors.
b. For joint-stock companies:
- Issuance of shares for capital mobilization as
per the laws;
- Delivery of undistributed profit or valid funds
as per the laws;
- Conversion of bonds to shares;
...
...
...
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- Conversion of debts to capital contributions as
per agreements between the company and creditors.
3. The decrease of the charter capital is subject
to decisions by the Members’ council/ General shareholders’ meeting provided
that legal capital requirements after capital reduction are met as per current
regulations.
Volume 2
OWNER/ FOUNDING
MEMBERS/ FOUNDING SHAREHOLDERS; RIGHTS AND DUTIES OF OWNERS/ MEMBERS/
SHAREHOLDERS
Article 17. Information on the Owner/ founding
members/ founding shareholders
1. The owner of the Company (for single-member
limited liability companies)
a. Name of the owner:
b. Nationality:
c. License for establishment/ Certificate of
business registration:
...
...
...
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e. Basic characteristics:
2. Founding members/ founding shareholders (for
limited liability companies with two members or more and for joint-stock
companies):
a. Founding shareholders/ founding members are
buyers of shares/ capital contributors who conduced to preparing, ratifying and
signing the initial charter of the Company.
b. Basic information of founding members/ founding
shareholders:
- Name:
- Permanent address:
- Nationality:
- License for establishment/ Certificate of
business registration (for juridical person) or Identification Card (for
natural person): ... date of issue: ... place of issue: ....
- Value and ratio of capital contributions by
founding members (for limited liability companies with two members or more);
quantity and value of shares by face value, ratio of holdings, share type,
quantity of authorized shares by share type for each founding shareholder (for
joint-stock companies).
...
...
...
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Article 18. Rights of the owner/ members/
shareholders
1. Rights of the company's owner (for single-member
limited liability companies)
a. Make decisions on details of the company’s
Charter and its amendments and supplements;
b. Make decisions on the Company's annual
development strategies and business plans;
c. Make decisions on the Company’s organizational
structure, appointment, dismissal and deposition of managerial personnel;
d. Make decisions on investment and development
projects;
e. Make decisions on solutions for market
development, marketing and technology;
f. Ratify contracts for lending or borrowing and
for ... (at the Company’s discretion), whose value reaches or exceeds ...% of
total value of assets as shown in the Company's latest financial statement;
g. Make decisions on the sale of assets whose worth
reaches or exceeds …% of total value of assets as shown in the Company’s latest
financial statement;
...
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i. Make decisions on the establishment of
subsidiaries or contributions to other companies' capital;
j. Organize the supervision and evaluation of the
Company’s business activities;
k. Make decisions on the use of profits upon the
fulfillment of taxes and financial duties of the Company;
l. Make decisions on the restructuring, dissolution
and bankruptcy of the Company;
m. Reclaim the Company's assets upon the completion
of its dissolution or bankruptcy;
n… (Other provisions defined by the Company as per
current laws).
2. Members’ rights (for limited liability companies
with two members or more)
a. Participate in meetings of the Members’ council,
discuss, propose and vote on matters within its powers;
b. Have the amount of votes in correlation with the
value of capital contributions;
...
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d. Receive the divided part of the Company’s
remaining assets after its dissolution or bankruptcy;
e. Have priority to make additional contributions to
the company’s Charter capital, when increased;
f. Determine their capital contributions by making
partial or full transfer or donation or activities as per the laws;
g. File civil lawsuits, by themselves or on the
Company’s behalf, against the chairman of the Members’ council, Director
(General Director), legal representative and managerial personnel as per the
Companies Law;
h. Members or group of members holding at least …%
of the charter capital possess these additional rights, unless otherwise stated
in Section i of this Article:
- Convene the Members’ council to settle intra
vires matters;
- Inspect, examine and consult transaction
journals, accounting journals and annual financial statements;
- Inspect, examine, consult and photocopy the
member register, meeting records and written resolutions of the Members’
council and other documents of the Company;
- Request a Court to negate a resolution of the
Members' council in 90 days upon the end of a conclave of the Members' council
if the procedures or conditions of such meeting or the content of such
resolution does not comply or correspond with the Companies Law and the
company’s Charter.
...
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j. … (Other rights defined by the Company as per
current laws).
3. Shareholders’ rights (for joint-stock
companies):
a. Ordinary shareholders’ rights:
- Participate and speak in the General
shareholders’ meetings and exercise their voting rights directly or via
delegate(s) or in other manners as per the laws and the company’s Charter. Each
ordinary share generates one vote;
- Receive dividend(s) as specified by the General
shareholders' meeting;
- Examine, consult and extract information from the
list of shareholders entitled to vote, and request amendments to incorrect
details;
- Examine, consult, transcribe or photocopy the
company’s Charter, journal of the General shareholders' meeting records and
resolutions of the General shareholders’ meeting;
- Transfer their shares to other entities, unless
otherwise stated in the Companies Law and this Charter;
- Have the priority right to purchase an amount of
newly offered shares in proportion to the ordinary share ratio of each
shareholder in the Company;
...
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- Shareholders or group of shareholders holding at
least …% of total ordinary shares in at least 06 consecutive months shall have
the following rights:
+ Nominate individuals into the Board of directors
and the Control Committee.
+ Examine and transcribe the journal of records of
the Board of directors’ meetings and resolutions, half-year and annual
financial statements made according to the Vietnam accounting system, and the
Control Committee’s reports;
+ Convene the General shareholders’ meetings in
these circumstances:
· Board of directors commits serious breach of
shareholders’ rights or managerial duties or issue ultra vires decisions;
· An election of a new Board of directors has not
occurred though the incumbency of the current Board of directors exceeds 06
months;
· …. (Other circumstances defined by the Company as
per the laws).
(A assemblage of a General shareholders’
meeting must be executed in writing and indicate full names, permanent
addresses, citizen identification card numbers or ID card numbers, passport
numbers or other valid identity papers for natural persons holding shares;
names, company numbers or establishment decision numbers, main business
addresses for organizations holding shares; quantity of shares and share
registration time for each shareholder, total amount of shares for groups of
shareholders and ratio of holdings to total shares in the company, grounds and
reasons for such assemblage of a General shareholders' meeting. Documents and
evidences of the Board of directors' violations, degree of infringement or
ultra vires decisions must be enclosed).
+ Requisition the Control Committee to inspect each
particular matter related to corporate management, when deemed necessary. Such
requisition must be executed in writing and indicate full names, permanent
addresses, nationality, citizen identification card numbers or ID card numbers,
passport numbers or other valid identity papers for natural persons holding
shares; names, permanent addresses, nationality, company numbers or
establishment and operation license numbers for organizations holding shares;
quantity of shares and share registration time for each shareholder, total
amount of shares for groups of shareholders and ratio of holdings to total
shares in the company, matters to be inspected and purposes of the inspection;
...
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- Shareholders or groups of shareholders holding at
least 1% of total ordinary shares in 06 consecutive months are entitled to, by
themselves or on the Company’s behalf, file civil lawsuits against members of
the Board of directors, Director (General Director) in circumstances as defined
by the laws. Procedures for such lawsuits are governed by the laws on civil
procedure.
- .... (Other rights defined by the Company as per
current laws).
b. Rights of holders of voting preference shares:
- Vote on matters within the powers of the General
shareholders’ meeting with the number of votes as prescribed in Article … of
this Charter;
- Ordinary shareholders' rights, except for the
right to transfer voting preference shares to other entities.
c. Rights of holders of dividend preference shares:
- Receive dividend(s) as per Article … of this
Charter;
- Receive part(s) of remaining assets in proportion
to their ratio of holdings after the Company's settlement of all debts and
redeemable preference shares upon its dissolution or bankruptcy;
- Ordinary shareholders’ rights, except for the
rights to vote, to attend the General shareholders’ meetings and to nominate
individuals to the Board of directors and the Control Committee.
...
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...
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- Retrieve contributions from the Company according
to Article … of this Charter;
- Ordinary shareholders’ rights, except for the rights
to vote, to attend the General shareholders’ meetings and to nominate
individuals to the Board of directors and the Control Committee.
Article 19. Duties of the Owner/ members/
shareholders
1. Duties of the Owner (for single-member limited
liability companies):
a. Make adequate contributions to the company’s
Charter capital in timely manner;
b. Conform to the company’s Charter;
c. Determine and differentiate the Owner's property
with the Company's assets;
d. Conform to the laws on contracts and relevant
laws on purchase, sale, loan, borrowing, lease, rent and other transactions
between the Owner and the Company;
e. The company’s owner can only withdraw
contributions by transferring parts or all of the charter capital to other
entities. If partial or full withdrawal(s) is (are) executed in other manners,
the Owner and concerned entities shall be jointly liable for the Company’s
debts and asset-related duties;
...
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g. Perform other duties as defined in the Companies
Law and the company’s Charter.
2. Members’ duties (for limited liability companies
with two members or more)
a. Make adequate and timely capital contributions
as per commitments and assume liabilities for the Company’s debts and
asset-related duties in proportion to their capital contributions;
b. Withdraw no contributions given to the Company
in any manners, unless otherwise stated in the Companies Law;
c. Conform to the company’s Charter;
d. Abide by decisions by the Members’ council;
e. Members holding at least ten percent (10%) of
the company’s Charter capital and related individuals cannot own more than five
percent (5%) of total shares or capital in another securities company. Such
members cannot exploit their superiority to impair the rights and interests of
the Company and other members. Furthermore, they must inform the Company of
certain circumstances as per the laws in timely and adequate manners;
f. Assume personal liabilities when committing
these acts on the Company’s behalf:
- Breach of laws;
...
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- Repay debts not yet due in case of financial
risks that may affect the Company;
g. Execute other duties according to the laws.
3. Shareholders’ rights (for joint-stock
companies):
a. Make full and timely payments for the shares
undertaken and assume liabilities for the Company’s debts and asset-related
duties in proportion to their investments; Capital contributions into the
Company cannot be withdrawn in any manners, except for repurchases done by the
Company or other entities according to the laws. If a shareholder withdraws
part(s) or all of his share capital contributed in violation of this Section,
such shareholder and related individuals in the Company shall be jointly liable
for the Company’s debts and asset-related duties in proportion to the value of
shares withdrawn and damage caused;
b. Abide by the Charter and Internal management
regulations of the Company;
c. Conform to decisions by the General
shareholders’ meeting and Board of directors;
d. Perform other duties as defined in the Companies
Law, Securities Law and the company’s Charter.
Article 20. Representatives mandated by
the owner/ member/ shareholder
1. A representative mandated by the owner/ member/
shareholder shall be a natural person delegated in writing to, on behalf of the
Owner/ member/ shareholder, execute rights and duties as per the laws and the company’s
Charter.
...
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3. If the owner/ member/ shareholder, which is an
organization, mandates several representatives, each representative’s capital
contributions/ shares must be specified. If the owner/ member/ shareholder does
not determine each mandated representative’s capital contributions/ shares,
each of them shall represent an equal amount of capital contributions/ shares.
4. A mandated representative must satisfy criteria
and requirements as defined in …
5. The appointment, removal or replacement of a
mandated representative shall be notified to the Company in writing and take
effect only upon the Company’s receipt of such notification. A written mandate
must contain essential information as per the Companies Law.
6. Responsibilities of a mandated representative
- A mandated representative shall, on behalf of the
owner/ member/ shareholder, execute the rights and duties of the owner/ member/
shareholder in the Members’ council/ General shareholders’ meeting according to
the laws. Every limitation that the owner/ member/ shareholder imposes on a
mandated representative in the latter's execution of the former's relevant
rights and duties in the Members' council or General shareholders’ meeting
shall have no effect on a third party;
- A mandated representative shall be responsible
for attending all meetings of the Members’ council/ General shareholders'
meeting, for executing rights and duties mandated with integrity, prudence and
best practices, and for protecting legitimate interests of the owner/ member/
shareholder giving the mandate;
- A mandated representative shall be liable before
the owner/ member/ shareholder giving the mandate for the former's breach of
duties as stated in this Article. The owner/ member/ shareholder giving the
mandate shall be responsible before a third party for liabilities related to
the rights and duties executed by the mandated representative.
Chapter III
CORPORATE
MANAGEMENT
...
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MANAGEMENT IN
JOINT-STOCK COMPANY
Article 21. The management in the Company
1. General shareholders’ meeting.
2. Board of directors.
3. Executive Board (Chief Executives Board).
4. Control Committee (if available).
(Notice: If the company selects a management
model without a Control Committee as per Article 134 of the Companies Law, it
must supplement regulations on functions, missions and criteria of members of
the Internal audit committee.)
I. General shareholders’ meeting
Article 22. Powers of the General shareholders’
meeting
...
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2. Rights and duty of the General shareholders’
meeting:
a. Ratify the Company’s growth directions;
b. Make decisions on types and quantity of
authorized shares;
c. Make decisions on annual dividends for each type
of share;
d. Elect, dismiss and depose members of the Board
of directors and the Control Committee;
g. Make decisions on investments and sale of assets
worth at least … % of total value of assets, as shown in the Company’s latest
financial statement;
f. Make decisions on amendments and supplements to
the company's Charter;
g. Make decisions on repurchase of more than …% of total
… [share type] shares sold (Notice: The company can only repurchase at most 10%
of ordinary shares);
h. Ratify annual financial statements;
...
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j. Make decisions on restructuring and dissolution
of the Company;
k… (Other rights and duties defined by the Company
as per current laws).
Article 23. Assemblage of the General
shareholders’ meetings
1. Quantity, time and location of meetings
a. The annual General shareholders’ meeting occurs
once (01) a year. However, there may be extraordinary General shareholders’
meetings. A general shareholders’ meeting must be located in Vietnam's
territories. If a General shareholders’ meeting is held simultaneously at
various sites, the location of the General shareholders' meeting shall be the
site where the meeting president is present.
b. The annual general shareholders’ meeting must
occur in four (04) months upon the end of a fiscal year. The company may, at
the Board of directors' request, request the SSC to prolong the time limit for
the annual General shareholders’ meeting for at most 06 months from the last
day of the fiscal year.
2. The authority to convene the General
shareholders’ meeting
a. Board of directors is responsible for convening
the General shareholders' meeting. Board of directors must convene an
extraordinary General shareholders’ meeting in these events:
- Board of directors deems such meeting necessary
for the Company’s sake;
...
...
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- At the request of a shareholder or group of
shareholders as per Section …, Article … of this Charter;
- At the request of the Control Committee;
- .... (Other events defined by the Company as per
the current laws).
b. The time limit for the assemblage of an
extraordinary General shareholders’ meeting is … days after the number of
members of the Board of directors is lower than that required by the laws or
upon the request of a shareholder or group of shareholders according to Point a
of this Section. If the Board of Director does not convene a meeting as per
regulations, the chairman and members of the Board of directors shall assume
liabilities and must make restitution of damage to the Company.
c. If the Board of directors does not convene an
extraordinary General shareholders' meeting according to Point b of this
Section, the Control Committee shall, in the next 30 days, summon the General
shareholders’ meeting in lieu of the Board of directors. If the Control
Committee does not summon the General shareholders’ meeting as per regulations,
the Head of the Control Committee shall assume liabilities and make amends for
damage caused to the Company.
d. If the Control Committee does not summon the
General shareholders’ meeting according to Point c of this Section, the
shareholder or group of shareholders as stated in Section …, Article … of this
Charter is entitled to, on the Company's behalf, convoke the General
shareholders’ meeting as per the Companies Law.
Article 24. Agenda and details of the General
shareholders’ meeting
1. The annual General shareholders’ meeting shall
discuss and ratify these matters:
a) Annual corporate business plans;
...
...
...
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c) Board of directors' reports on management and
activities of the Board of directors and each of its members;
d) Control Committee’s reports on the Company’s
business results and activities of the Board of directors and Executive Board
(Chief Executives Board);
e) Dividend level for each share type;
f) Total remunerations for the Board of directors
and the Control Committee;
g) … (Other matters specified by the Company as per
the current laws).
2. The person summoning the General shareholders’
meeting must prepare the meeting’s agenda and details.
3. The shareholder or group of shareholders as
stated in Section ..., Article ... of this Charter is entitled to propose
discussions for the agenda of the General shareholders' meeting. Such
propositions must be presented to the Company in writing no later than …
working days before the commencement of the meeting. Such propositions must
indicate shareholders’ names and quantity of their shares by type or similar
information and details of discussions proposed to the agenda. The person
summoning the General shareholders’ meeting is entitled to reject such
propositions:
a. if the propositions are overdue, insufficient or
incorrect; or
b. if the discussions are beyond the powers of the
General shareholder’s meeting; or
...
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Article 25. Conditions for the occurrence of the
General shareholders’ meeting
1. A general shareholders’ meeting shall occur when
the shareholders present represent at least …% of total votes. (Notice: The
company shall specify the percentage as per the Companies Law)
2. If the first arrangement of the meeting does not
meet the condition as stated in Section 1 of this Article, the second
arrangement of the meeting shall be made in ... days from the expected date of
the first arrangement. A general shareholders’ meeting shall occur when the
shareholders present represent at least …% of total votes. (Notice: The company
shall specify the percentage as per the Companies Law)
3. If the second arrangement of the meeting does
not meet the condition as stated in Section 2 of this Article, the third
arrangement of the meeting shall be made in ... days from the expected date of
the second arrangement. In this event, the General shareholders’ meeting shall
happen regardless of the number of votes held by the shareholders present.
Article 26. Procedures for the General
shareholders’ meeting
1. Registration of shareholders attending the General
shareholders’ meeting: ...
2. Election of the President of the meeting,
Secretary and members of the Vote counting committee: …
3. Ratification of the agenda and contents of the
meeting: ...
4. The president is entitled to implement measures
rational and necessary to chair the meeting in order according to the agenda
ratified and reflective of the desires of the majority of attendees.
...
...
...
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6. Announcement of the poll result: …
7. Shareholders or mandated attendees who arrive at
the meeting after its opening session are still eligible for registration and,
upon their registration, for voting. In this event, the effect of the contents
voted shall remain unaffected.
8. The person summoning a General shareholders’
meeting shall be entitled to: …
9. The president shall be entitled to adjourn or
relocate the General shareholders' meeting that convenes sufficient registered
attendees as per regulations in these circumstances: …
10. An alternative president shall be elected if
the previous one adjourns or suspends the General shareholders' meeting in
violation of Section 9 of this Article: ...
Article 27. Ratification of decisions by the
General shareholders’ meeting
1. The general shareholders’ meeting shall ratify
intra vires decisions through voting during the meeting or written
consultation.
2. (Optional provision recommended) The company can
employ information technology on a grand scale for voting, such as absentee
voting through a secured electronic system, Internet-based or phone-based
voting, in order to facilitate shareholders' participation in the General
shareholders' meeting.
3. Resolutions by the general shareholders’ meeting
must be voted in the General shareholders’ meeting in these circumstances: …
...
...
...
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a. Types of shares and total amount of shares by
type;
d. Investment project(s) or sale of asset(s) worth
at least …% of total value of assets as shown in the Company’s accounting
journals;
e. Corporate restructuring or dissolution;
f. … (Other matters specified by the Company as per
the current laws).
5. Resolutions on the following matters shall be
ratified if voted for by representative shareholders that occupy at least ...
of total attendees' votes. (Notice: The company shall specify the ratio as per
the Companies Law)
6. The approach for the election of members of the
Board of directors and the Control Committee: …
7. If a resolution is ratified through written
consultation, it shall be validated with at least …% of total votes. (Notice:
the Company shall specify the ratio as per the Companies Law) Written
consultation for shareholders’ ratification of resolutions of the General
shareholders' meeting shall follow these procedures: …
8. Resolutions by the General shareholders' meeting
must be announced to shareholders, who have the right to attend such meeting,
in fifteen (15) days upon the validation of such resolutions. Resolutions may
be published on the Company’s website in lieu of manual delivery.
Article 28. Effect of resolutions by the General
shareholders’ meeting
...
...
...
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2. Resolutions by the General shareholders’
meeting, which are validated by 100% of the shareholders entitled to vote,
shall have immediate validity and effect despite procedural errors in the
ratification of such resolutions.
3. If a shareholder or group of shareholders
petitions a Court or Arbitral tribunal for the annulment of the resolutions by
the General shareholders’ meeting according to Article 147 of the Companies
Law, the effect of such resolutions shall persist until otherwise ruled Court
or Arbitral tribunal. However, such effect shall immediately wear off upon the
implementation of temporary emergency measures by competent authorities.
Article 29. Record of the General shareholders’
meetings
1. Essential details of the General shareholders'
meetings shall be recorded in writing and, permissibly, by sound or in other
electronic formats as per the Companies Law. Written records shall be made in
Vietnamese and, permissibly, in foreign languages. Such records, regardless of
languages, bear equal validity. If there are differences in such written
records, the record in Vietnamese shall prevail.
2. Written record(s) of the General shareholders’
meetings must be completed and ratified prior to the end of such meetings.
3. The president and secretary of the meeting(s)
shall be jointly responsible for the integrity and accuracy of such written
records;
4. Written record(s) of a General shareholders'
meeting must be sent to every shareholder in fifteen (15) days upon the end of
the meeting. The written record of vote counting may be published on the
Company’s website in lieu of manual delivery. Written record(s) of the General
shareholders’ meetings, attached list(s) of shareholders attending the
meetings, annex(es) on resolutions validated and relevant documents that were
enclosed to meeting invitations must be retained in the Company’s main office.
II. Board of directors
Article 30. Rights and duties of the Board of
directors
...
...
...
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2. Powers of the Board of directors:
a. Make decisions on the Company's medium-term
strategies and development plans and annual business plans;
b. Propose share types and total amount of
authorized shares by type;
c. Make decisions on the sale of newly issued
shares by the quantity of authorized shares for each type; and make decisions
on other measures of capital mobilization.
d. Make decisions on selling prices of the
Company’s shares and bonds;
e. Make decisions on repurchase of …% or more of
total … shares sold (Notice: in conformity to Point g, Section 2, Article 22 of
the sample Charter); make decisions on the sale and remunerative distribution
of treasury stocks in manners that accord with current laws;
f. Make decisions on investment plans and projects
within its powers and in conformity to the laws;
g. Make decisions on solutions for market
development, marketing and technology;
h. Ratify contracts for sales, procurement, lending
and borrowing and other activities, whose value reaches or exceeds ...% of
total value of assets as described in the Company’s latest financial statement,
except for contracts that stipulate the Company’s transactions with concerned
entities as per the Companies Law and this Charter;
...
...
...
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j. Supervise and direct the Director (General
Director) and managerial personnel in daily corporate management;
k. Make decisions on the Company's organization
structure and internal control regulations; on the establishment of
subsidiaries, branches, transaction offices and representative offices; on purchases
of other shares in other companies as per the laws and the company’s Charter;
l. Ratify the agenda and documents of the General
shareholders’ meetings, convene the General shareholders’ meeting or facilitate
the ratification of decisions by the General shareholders' meetings;
m. Present the annual financial accounting reports
in the General shareholders’ meeting;
n. Propose dividend level, decide time and
procedures for dividend payout or treatments against business losses;
o. Propose the restructuring, dissolution or
bankruptcy of the Company;
p. Establish a standard procedure for assemblage of
and voting in Board of directors’ conclaves for subsequent ratification by the
General shareholders’ meeting; procedures for nomination, candidacy, election,
dismissal and deposition of members of the Board of directors; regulations on
procedures for selection, appointment and dismissal of the Company's managerial
personnel and procedures for collaboration for the Board of directors, Control
Committee and Executive Board (Chief Executives Board), policies on assessment,
remunerations and disciplinary measures against members of the Board of
directors, Executive Board (Chief Executives Board) and managerial personnel of
the company;
g. Establish divisions or assign individuals to
implement internal control and risk management in order to regulate risk
management policies and strategies for the Company's activities and to inspect
and evaluate the conformity and efficiency of the Company's existing risk
management system
r. Preclude and settle disputes between
shareholders and the Company. Board of directors can assign personnel to deploy
requisite systems or establish division(s) specialized in settling internal
disputes or facilitating this objective;
...
...
...
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t. (Optional provision) Board of directors is
entitled to veto decisions by the Director (General Director) and Executive
Board (Chief Executives Board) on any standardized activities provided that
such vetoes are justified;
u. (Optional provision) Board of directors must
immediately inform shareholders in these events:
- The company or its Management is suspected to be
involved in illegal activities;
- The company’s financial conditions continuously
worsen and fail requirements as defined in the laws;
- The company’s business losses are worth at least
…% of the equity;
- The company proposes replacements of the Chairman
of the Board of directors and the Head of the Control Committee;
- Emergencies occur and impair the benefits of the
Company and clients.
v. … (Other rights and duties defined by the
company as per current laws).
3. Board of directors validates decisions by voting
during its meetings or written consultation or ... Each member of the Board of
directors shall have one vote.
...
...
...
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5. Board of directors, when executing its
functions, rights and duties, must abide by the laws, the company’s Charter and
decisions by the General shareholders’ meeting. If the Board of directors’
decisions violate the laws or the company's Charter and cause damage to the
Company, its members who consent to such decisions must jointly assume personal
liabilities and make amends to the Company. The members who dissent from such
decisions shall be exempt from liabilities.
6. If the Board of directors validates decisions
contrary to the laws and the company's Charter, shareholders holding shares in
the Company continuously in at least 01 year shall be entitled to demand the
Board of directors' suspension of such decisions.
7. Members of the Board of directors, when
conducting their missions, bear the following rights and duties:
a. Rights of the members of the Board of directors:
- Access to information:
+ Members of the Board of directors are entitled to
request members of the Executive Board (Chief Executives Board) and managerial
personnel to provide information and documents on financial situations and
business operations of the Company and its units;
+ Managerial personnel, at requests of the members
of the Board of directors, must promptly provide full and precise information
and documents;
+ Procedures for request and provision of
information: … (as defined by the Company as per current laws).
- Receipt of remunerations and benefits:
...
...
...
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+ Remunerations for members of the Board of
directors shall abide by these regulations: …;
- .... (Other rights defined by the Company as per
current laws).
b. Duties of the members of the Board of directors:
- Execute managerial personnel’s duties as per the
laws;
- Exercise transparency of interests and persons
involved according to: ...;
- Bear other duties as per the laws and the
company’s Charter.
Article 31. Quantity, formation and incumbency
of the Board of directors
1. Quantity and formation of the Board of directors
a) Board of directors of the Company has … members.
(Notice: The company shall specify the number according to the Companies Law
and legal guidelines for corporate management). In the Board of directors,
there is (are) ... independent member(s).
...
...
...
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(Notice: The structure of the Board of directors
must balance members knowledgeable and experienced in laws, finance and
securities, members in managerial and non-managerial positions, their age,
gender, etc.)
2. Incumbency of the Board of directors
a. Members of the Board of directors have terms of
office at ... year(s) and can be re-elected to ... term(s). (the Company shall
specify number and term limit as per current laws)
b. If the incumbency of all members in the Board of
directors ends simultaneously though the General shareholders' meeting does not
elect new ones: ...
c. The incumbency of members supplemented or
replacing those who relinquish membership or acquiesce to dismissal during
their terms of office: .....
Article 32. Nomination, criteria and
requirements for members of the Board of directors
1. Individuals are nominated into the Board of
directors via the following procedure: … (Notice: In conformity to the
Companies Law).
2. Nomination procedures or methods for the Board
of directors in office, Control Committee and other shareholders to recommend
nominees to the Board of directors must be announced evidently and be approved
by the General shareholders’ meeting prior to the nomination.
3. (Optional provision) The information of nominees
recommended to the Board of directors must be announced prior to the
General shareholders' meeting, including: the identity of candidates and
shareholders or groups of shareholders nominating them, candidates’ age and
educational level, their experience and expertise, positions that they have
occupied in the last five (05) years, their incumbent positions, assessment
reports on their contributions to the Company as re-elected members of the
Board of directors, nature of their relationship with the Company, positions in
the Board of directors or other crucial posts held by or offered to them in
other companies, their relationships with concerned entities of the Company,
their relationships with the Company’s main business partners, details of their
financial conditions and other matters that may influence their missions and
independence as members of the Board of directors, their refusal of disclosure
against the Company’s requests (if any).
...
...
...
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5. Nominees for the Board of directors must meet
criteria and requirements as defined in Section 6 of this Article.
6. Criteria and requirements for members of the
Board of directors:
a. Have legal capacity to the fullest extent and
incur no prohibitions on corporate management as per the Companies Law;
b. Possess expertise and experience in business
administration or experience in securities, finance and banking;
c. Have not occupy a post of Director (General
Director) or membership in a Board of directors or a Members' council of
another securities company; or membership in a Board of directors for over five
(05) years in another enterprise (for listed companies);
d. Have not been a member of a Board of directors
or a legal representative in a company that went bankrupt or encountered bans
for serious breach of laws;
e. Members of the Board of directors must not be
spouses, biological parents, biological children, adoptive parents, adopted
children, siblings by blood or in law of the Director (General Director) and
managerial personnel of the Company. Members of the Board of directors must not
be related to managerial personnel or individuals empowered to appoint managers
in the parent company (for securities companies, 50% of whose charter capital
is stated owned);
f. (Optional provision) Members of the Board of
directors must possess these qualities and capacities:
- Be trusted by shareholders (by receiving their
votes of consent), by other members of the Board of directors, managerial
personnel and employees of the Company;
...
...
...
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- Possess expertise and academic knowledge
necessary for efficient corporate management;
- Have experience in international business and
knowledge of local affairs, markets, products and competition;
- Be capable for exploiting knowledge and
experience in practical solutions.
g. .... (Other criteria and requirements defined by
the Company as per current laws).
7. Criteria and requirements as defined in this
Article shall also apply to members supplemented to or replacing others in the
Board of directors.
Article 33. Independent members of the Board of
directors
1. Independent members of the Board of directors
must meet criteria and requirements as defined in legislative documents on
corporate management of companies listed in Stock Exchanges.
2. Independent members of the Board of directors
must notify the Board of their failure of requirements as stated in Section 1
of this Article. Upon their failure of such requirements, their independent
membership in the Board of directors shall automatically ends. Board of
directors must announce their independent members, who become ineligible, in the
most recent General shareholders' meeting or convene a General shareholders'
meeting to supplement members or replace those ineligible members in 6 months
upon the notification by independent members of the Board of directors.
3. (Optional provision) Independent members of the
Board of directors hold term of office equal to others’ though they are not
eligible for reelection.
...
...
...
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a. Propose the Board of directors or, if turned
down by the Board of directors, the Control Committee to convene extraordinary
General shareholders’ meeting;
b. Recruit a consulting or audit organization to
perform their assignments;
c. Provide independent opinions on plans of
remunerations for members of the Board of directors and the company's
managerial personnel;
d. Provide independent opinions on relevant major
transactions and report to the authorities, if necessary.
5. Methods for the organization and collaboration
of activities of independent members of the Board of directors: …
Article 34. Chairman of the Board of directors
1. Chairman of the Board of directors is elected
from one of its members.
2. Chairman of the Board of directors cannot concurrently
be the Director (General Director) unless otherwise approved by the General
shareholders’ meeting. Chairman of the Board of directors, if concurrently
holding the position of Managing Director (General Director), must obtain
approval from the annual General shareholders' meeting. (Notice: This provision
does not apply to joint-stock companies, in which the Government holds 50% of
the votes)
3. Chairman of the Board of directors shall bear
these duties and rights:
...
...
...
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b. Prepare agenda, details and documents of the
Board of directors' conclaves and summon its meetings;
c. Organize the ratification of the Board of
directors’ decisions;
d. Supervise the implementation of the Board of directors’
decisions;
e. Preside at the General shareholders’ meetings
and the Board of directors’ conclaves;
f. Lead and maintain the Board of directors'
activities in effective manner;
g. Set up, execute and examine formalities that
govern the Board of directors’ activities;
h. Attend regular meetings with the Director
(General Director) and maintain communication between the Board of directors
and Executive Board (Chief Executives Board);
i. Maintain adequate, precise, timely and clear
communication between members of the Board of directors and its Chairman;
j. Maintain efficient communication with
shareholders;
...
...
...
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l. Support independent members of the Board of
directors to perform in effective manner and build up constructive connections
between managerial and non-managerial members in the Board of directors;
m. Execute other missions and duties upon requests
of the General shareholders and Board of directors according to actual demands
and circumstances;
n. .... (Other rights and duties defined by the
Company as per the laws).
4. If the Chairman of the Board of directors is
absent or incapable of performing his missions, he shall mandate the Vice
Chairman of the Board of directors (if available) or one of its members in
writing to execute the rights and duties of the Chairman of the Board of
directors in principles as prescribed in this Charter. If mandate is not given,
members shall elect one (01) of them to temporary post of Chairman by plurality
rule.
5. Chairman of the Board of directors can recruit a
corporate secretary, if deemed necessary, to support the Board of directors and
its Chairman to execute intra vires duties as per the laws. The corporate
secretary shall bear rights and duties as per the Companies Law.
6. Chairman of the Board of directors can be
deposed at the Board of directors’ discretion.
Article 35. Board of directors’ conclaves and
meeting records
1. Board of directors shall conduct regular or
extraordinary conclaves. Chairman of the Board of directors shall convene
regular meetings, when deemed necessary; however, one (01) meeting must occur
on quarterly basis.
2. Chairman of the Board of directors shall be
elected in the first conclave of a new Board of directors in seven (07) working
days upon the election of that Board of directors. The first conclave shall be
summoned and chaired by the member gaining the highest number or ratio of
votes. If two or more members gain equally high number or ratio of votes, the
members shall elect one (01) of them by plurality rule to convene the Board of
directors’ conclave.
...
...
...
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a. Requisitions are made by the Control Committee
or an independent member;
b. Requisitions are made by the Director (General
Director) or at least five (05) managers;
c. Requisitions are made by at least two (02)
managerial members of the Board of directors;
d. .... (Other events defined by the Company as per
current laws and the company’s Charter).
Requisitions for conclaves must be made in writing
and must specify purposes, matters to be discussed and decisions within the
Board of directors' powers.
4. Chairman of the Board of directors must convene
a conclave in 07 working days upon his receipt of a requisition as stated in
Section 3 of this Article. If the Chairman of the Board of directors does not
convene a conclave requested, he shall assume liabilities for any damage to the
Company. In this case, the requester shall be entitled to summon the Board of
directors' conclave in lieu of its Chairman.
5. Chairman of the Board of directors or the person
summoning the conclave must send invitations to members of the Board of
directors and Control Committee and the Director (General Director) no later
than … working days prior to the date of meeting. Such invitations must
indicate meeting time, location, agenda, matters to be discussed and decisions.
Documents for the conclave and voting card must be enclosed. The form of
delivery of such invitations shall be subject to the Companies Law.
6. Controllers shall be entitled to attend the
Board of directors and engage in discussions; however, they cannot vote.
7. The first arrangement of the Board of directors’
conclave shall occur upon the presence of at least three fourths (3/4) of its
members. If the number of members does not suffice for the first arrangement as
per regulations, the second arrangement shall be made in ... days from the
first one. In this case, the conclave shall occur upon the presence of more
than half of the Board of directors’ members.
...
...
...
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a. They appeared and voted in person in the
conclave;
b. They mandated other people to attend the
conclave as per Section 10 of this Article. c.
They participated and voted in an online meeting or in similar manners.
d. They sent their voting cards to the conclave by
mail, fax or email. Voting cards mailed to the conclave must be put in sealed
envelopes and delivered to the Chairman of the Board of directors no later than
one hour prior to the start of the conclave. Voting cards shall only be taken
out of envelopes in the presence of all attendees.
9. Board of directors’ decisions shall be validated
if … of members present consent. If split vote occurs, decisions supported by
the Chairman of the Board of directors shall be come final.
10. Members must attend all conclaves of the Board
of directors. A member can mandate another attendee if approved by most of the
members of the Board of directors.
11. Board of directors’ conclaves must be recorded
in writing and, permissibly, by sound or other electronic formats in the
Company's office. Meeting records must be made in Vietnamese and, permissibly,
in foreign language. Such records must contain essential information as per the
Companies Law. Written records in Vietnamese and foreign language(s) have equal
validity. If there are differences in such written records, the record in
Vietnamese shall prevail. The president of the meeting and maker of such
records shall be responsible for the integrity and accuracy of written records
of the Board of directors’ conclaves.
Article 36. Dismissal, deposition and addition
of members of the Board of directors
1. Dismissal of members of the Board of directors:
a. Members of the Board of directors have failed to
meet criteria and requirements as per Article ... of this Charter;
...
...
...
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c. Members resign;
d. .... (Other events defined by the Company as per
current laws).
2. Members of the Board of directors may be deposed
at the discretion of the General shareholders’ meeting.
3. Board of directors must convene the General
shareholders’ meeting to vote on additional members for the Board in these
events:
a. The number of members of the Board of directors
declines by more than one third (1/3) of the quantity defined in the company’s
Charter. In this event, the Board of directors must convene the General
shareholders’ meeting in at most sixty (60) days upon the decline of the number
of members by over one third;
b. The number of independent members of the Board
of directors is lower than the quantity defined in Article ... of this Charter.
4. In other circumstances, the latest General
shareholders’ meeting shall elect new members to replace those dismissed and
deposed.
Article 37. Board of directors’ committees for
internal audit and risk management (mandatory requirement for publicly traded
corporations or companies licensed in securities brokerage).
1. Internal audit committee performs its functions
in independent, upright, unbiased and confidential manners. Internal audit
committee carries the following functions and missions:
...
...
...
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b. Inspect, examine and evaluate the adequacy,
efficiency and upshot of the internal control system of the Executive Board
(Chief Executives Board) for its improvements;
c. Assess business activities’ abidance by internal
policies and procedures;
d. Provide counsels for the establishment of
internal policies and procedures;
e. Evaluate legal compliance and administrate
financial security measures;
f. Undertake internal assessments and audits
through financial information and business operations;
g. Appraise procedures, identify, evaluate and
manage business risks;
h. Assess the effectiveness of activities;
i. Evaluate the observance of contracted
undertakings;
j. Manage the information technology system;
...
...
...
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l. Perform internal audits in the Company and its
subsidiaries;
m. … (Other functions defined by the Company as per
current laws).
2. Functions and operational principles of the Risk
management division:
a. Define policies and strategies for risk
management; risk assessment standards; and general risk levels in the Company
and each of its divisions;
b. Evaluate the congruity of and compliance with
risk policies and procedures of the Company in an independent manner;
c. Inspect, examine and evaluate the adequacy,
efficiency and upshot of the risk control system of the Executive Board (Chief
Executives Board) for its improvements;
d. … (Other functions defined by the Company as per
current laws).
3. Requirements for members of the Internal audit
committee:
a. Have not incurred pecuniary fines or severe
penalties for violations in the sectors of securities, banking or insurance in
the last five (05) years before the year of appointment;
...
...
...
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c. Have no intimacy with heads of specialized
divisions, specialized professionals, Director (General Director), Vice
Directors (Deputy General Directors), or branch directors in the Company;
d. Possess credentials in fundamental knowledge of
securities and stock market, and legal certificates in securities and stock
market or securities practitioners’ licenses;
e. Hold no concurrent positions in the Company.
III. Executive Board (Chief Executives Board)
Article 38. Formation and incumbency of the
Executive Board (Chief Executives Board); rights and duties of the Director
(General director) and members of the Executive Board (Chief Executives Board)
1. Executive Board (Chief Executives Board) of the
Company is composed of the Director (General Director), Vice Directors (Deputy
General Directors) and … (other essential managerial titles as defined by the
Company).
2. Board of directors shall recruit or appoint
members of the Executive Board (Chief Executives Board). The longest term of
office for the Director (General Director) shall be five (05) years.
Reappointment is permissible and unlimited.
3. Executive Board (Chief Executives Board) must
institute and maintain a risk management system in order to preclude probable
risks against the interests of the Company and clients. Furthermore, it must
establish and sustain the organizational structure, independent and specialized
personnel of the internal control system. Internal procedures and regulations
shall govern every position, unit, division and activity of the Company with
the aim of legal compliance.
4. Executive Board (Chief Executives Board) must
set up occupational regulations to be ratified by the Board of directors.
Minimum occupational regulations shall stipulate:
...
...
...
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b. Procedures for meeting organization and
attendance;
c. Responsibilities of the Executive Board (Chief
Executives Board) for reporting to the Board of directors and Control
Committee.
5. Rights and duties of the Director (General
Director)
Director (General Director) manages the Company’s
daily business activities under the Board of directors’ supervision and assumes
liabilities before the Board of directors and the laws for his execution of
rights and duties imposed, as follows:
a. Make decisions on the Company’s daily business
activities without the Board of directors’ resolutions;
b. Organize the adoption of the Board of directors’
resolutions;
c. Organize the execution of the Company’s business
and investment plans;
d. Propose corporate structuring plans and internal
management regulations;
e. Appoint, dismiss and depose managerial titles,
except for those falling within the Board of directors' authority;
...
...
...
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g. Recruit employees;
h. Make decisions on salary and benefits for the
Company's employees and managerial positions that come within the Director's
(General Director's) authority;
i. (Optional provision) Director (General Director)
shall engage only in business activities related to the management and
operation of the Company and its subsidiaries but not in other business-related
activities.
j. … (Other rights and duties defined by the
Company as per current laws).
6. Director (General Director) must manage the
Company’s daily business activities in conformity to the laws, the company's
Charter, his signed labor contract, and the Board of directors' resolutions. If
the Director’s (General Director's) management violates this clause and causes
damage to the Company, he shall assume legal liabilities and make amends to the
Company.
7. Interests and responsibilities of members of the
Executive Board (Chief Executives Board):
a. Interests of members of the Executive Board (Chief
Executives Board):
- Members of the Executive Board (Chief Executives
Board) shall earn salary subject to business results and performance. Salary
and other benefits for members of the Executive Board (Chief Executives Board)
shall be paid as follows: …
- Salary for members of the Executive Board (Chief
Executives Board) shall be included in the Company’s business expenditure as
per the laws and separately indicated in its annual financial statement. Such
salary shall be reported in the annual General shareholders' meeting.
...
...
...
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- Take on responsibilities of corporate managers
according to the laws;
- Disclose benefits and relevant persons according
to: ... (As specified by the Company as per current laws).
- Bear other duties as per the laws and the
company’s Charter.
Article 39. Criteria and requirements for the
Director (General director)
1. Have legal capacity to the fullest extent and
incur no prohibitions on corporate management as per the Companies Law;
2. Have expertise and experience in business
administration or ... (As specified by the Company as per current laws).
3. Have not been a member of a Board of directors
or Members' council in another securities company; and have not worked
concurrently for other enterprises.
4. Satisfy requirements for the Director (General
Director) of a securities company as per legal guidelines for the organization
and operation of securities companies.
5. Director (General Director) must not be spouse,
biological parent, biological child, adoptive parent, adopted child, sibling by
blood or in law of managerial personnel in the parent company or the
representative of the state-owned shares in the Company (for subsidiaries of a
company whose shares are state-owned by over 50% of the Charter capital).
...
...
...
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Article 40. Dismissal and deposition of the
Director (General Director)
Director (General Director) shall be dismissed and
deposed if:
1. Having failed criteria and requirements for the
Director (General Director) as per Article … of this Charter.
2. Petition for resignation.
3. Board of directors issues a decision on such
matter.
4. … (Other events defined by the Company as per
the laws).
Article 41. Internal control and risk management
divisions of the Executive Board (Chief Executives Board)
1. Internal control division is responsible for:
a. Supervising the compliance with the laws, the
company’s Charter, decisions by the General shareholders’ meeting and the Board
of directors, professional regulations and procedures, corporate risk
management procedures by relevant divisions and securities practitioners in the
Company;
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
c. Inspecting details of occupational ethics and
supervising the implementation of such details;
d. Supervising calculations and conformity to
financial security regulations;
e. Separating clients' property;
f. Maintaining and retaining clients' possessions;
g. Administrate the abidance by the laws on
prevention of money laundering;
h. Other assignments given by the Director (General
Director).
2. Requirements for members of the Internal control
division:
a. Head of the internal control division must
possess expertise in law, accounting and audit. Moreover, the holder of such
position must have sufficient experience, prestige and authority to carry out
assignments;
b. Have no intimacy with heads of specialized
divisions, specialized professionals, Director (General Director), Vice
Directors (Deputy General Directors), or branch directors in the Company;
...
...
...
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d. Hold no concurrent positions in the Company;
e. … (Other requirements defined by the Company as
per the laws).
3. Missions of the risk management system:
a. Determine the Company’s risk policies and
tolerance;
b. Identify the Company's risks;
c. Measure risks;
d. Supervise, prevent, detect and handle risks.
IV. Control Committee
Article 42. Quantity, incumbency and structure
of members of the Control Committee
...
...
...
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2. The incumbency of a Controller is … year(s).
Re-election is permissible and unlimited. If the Controllers' terms of office
expire simultaneously though new ones have not been elected, the Controllers
whose terms expired shall continue executing their rights and missions until
new ones are elected and assume duty.
3. Members of the Control Committee shall be
elected by the General shareholders' meeting by … rule. (Notice: The rule of
election for the control committee must conform to the Companies Law)/
Controllers shall elect one of them as the Head of the Control Committee by
plurality rule.
4. More than half of the Control Committee’s
members must permanently reside in Vietnam. Head of the Control Committee must
be a professional accountant or auditor and conduct specialized tasks in the
Company. (Notice: The company can define a higher criterion). Rights and duties
of the Head of the Control Committee include: … (as defined by the Company as
per the laws).
Article 43. Rights and duties of the Control
Committee
1. Powers of the Control Committee:
a. Control Committee supervises the corporate
management and operation by the Board of directors and Director (General Director);
b. Inspect the rationality, validity, integrity and
prudence in business management and operation; the systematization, consistency
and conformity in financial accounting, statistics and reporting;
c. Assess the adequacy, validity and integrity of
the Company's business reports, annual and six-month financial reports, and of
the Board of directors’ management reports, and present such reports in the
annual General shareholders’ meeting;
d. Scrutinize, inspect and evaluate the outcomes
and efficiency of the Company’s internal control system, internal audit system,
risk management and early warning system;
...
...
...
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f. Upon requests by shareholder(s) or group(s) of
shareholders as per Article .... of this Charter, the Control Committee shall
conduct inspection(s) in seven (07) working days. In fifteen (15) days upon the
end of such examination(s), the Control Committee must report to the Board of
directors and shareholder(s) or group(s) of shareholders issuing requests about
matters examined. Examination(s) by the Control Committee as per this Clause
shall not impede the Board of directors' ordinary activities and shall not
interrupt the Company's business operations;
g. Recommend the Board of directors or General
shareholders’ meeting the measures for structural reform, supplementation and
augmentation of the management, supervision and operation of the Company’s
business activities;
h. When a member of the Board of directors or the
Executive Board (Chief Executives Board) is found to have contravened corporate
managers’ responsibilities as per the Companies Law and the company’s Charter,
the Board of directors must be promptly informed and the miscreant shall be
demanded to terminate his contraventions and make restitution;
i. If a member of the Board of directors or
Executive Board (Chief Executives Board) is found to have transgressed the laws
and the company’s Charter and resulted in transgressions of the rights and
interests of the Company, shareholders or clients, the Control Committee shall
be responsible for demanding the transgressor to generate report(s) in a
limited time or for convening the General shareholders' meeting for solutions.
Control Committee must inform the SSC in writing of violations of laws in 07
working days upon the revelation of such violations;
j. Establish control procedures to be ratified by
the General shareholders' meeting;
k. Execute other rights and duties according to the
Companies Law, the company’s Charter and decisions by the General shareholders’
meeting;
l. .... (Other missions defined by the Company as
per the laws).
2. During its undertaking of missions, the Control
Committee has these rights and duties:
a. Rights of the Control Committee:
...
...
...
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- Engage in discussions in the General
shareholders' meetings, Board of directors' conclaves and other corporate
conferences;
- Consult the Board of directors’ opinions before
making reports, conclusions and recommendations in the General shareholder’s
meeting;
- Receive sufficient information:
+ Meeting invitations, survey cards and documents
delivered to members of the Board of directors must be simultaneously sent to
Controllers in a similar manner;
+ Resolutions by the General shareholders' meeting
and Board of directors and records of their meetings, which are delivered to
shareholders and members of the Board of directors, must be sent simultaneously
to Controllers in a similar manner;
+ Reports by the Director (General Director) to the
Board of directors or other documents issued by the Company must be
simultaneously sent to Controllers in a similar manner;
+ Controllers have the right to access documents
and papers that the Company retains in its head office, branches and other
sites. They have the right to enter work areas of the Company’s managerial
personnel and employees during working hours;
+ Board of directors, its members, Director
(General Director), other managerial personnel must provide precise and full
information and documents on the management, operation and business activities
of the Company in timely manner at requests of Controllers or the Control
Committee.
- Receive remunerations and other benefits: … (As
specified by the Company as per current laws).
...
...
...
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- Conforming to the laws, the company’s Charter,
decisions by the General shareholders’ meeting and occupational ethics when
executing rights and missions granted;
- Executing rights and missions given in virtuous,
cautious and best manners to maintain most of the Company's legitimate
benefits;
- Retaining allegiance to the interests of the
Company and shareholders, not exploiting the Company’s information, secrets,
business opportunities and assets or their positions for personal gains or for
other entities’ interests;
- Other duties as per the laws and this Charter.
3. If a Controller breaches the duties defined in
Point b, Section 2 of this Article and results in damage to the Company or
others, he shall incur personal liabilities or make joint amends. All earnings
and benefits that the Controller has acquired must be returned to the Company.
4. If a Controller is found to have committed
violations during his execution of rights and missions, the Board of director
shall inform the Control Committee in writing and demand such Controller to end
his wrongdoings and make restitution.
Article 44. Control Committee's operation and
meetings
1. Control Committee must issue regulations on its
operational model and procedures for its assemblies, which shall be ratified by
the General shareholders’ meeting.
2. Each year the Control Committee must conduct at
least … meeting(s).
...
...
...
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Article 45. Criteria and requirements for
Controllers
1. Have legal capacity to the fullest extent and
incur no prohibitions on business incorporation and corporate management as per
the Companies Law;
2. Hold no managerial positions in the company.
3. A controller must not be spouse, biological or
adoptive parent, biological or adopted child, sibling by blood or in law of a
member of the Board of directors, Director (General Director) and other
managerial personnel.
4. Head of the Control Committee must not be
concurrently a member of a Control Committee or manager of another securities
company.
5. (Optional provision) Possess expertise in
securities and stock market; mastery of or professional experience in
accounting, audit or equivalent competence, or practical experience in finance
or banking.
6. (For listed companies whose charter capital is
50% stated-owned) Controllers must be auditors or accountants.
7.... (Other criteria and requirements defined by
the Company as per current laws).
Article 46. Dismissal and deposition of members
of the Control Committee
...
...
...
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a. Members of the Board of directors have failed to
meet criteria and requirements as per Article ... of this Charter;
b. Having not executed their rights and duties in
six (06) continuous months, except for force majeure;
c. Petitioning for resignation and having obtained
approvals;
d. … (Other circumstances defined by the Company as
per the laws).
2. Members of the Control Committee shall be
deposed when:
a. Having failed missions and assignments;
b. Committing serious or repetitive violations
Controllers’ duties as per the Companies Law and the company's Charter;
c. The general shareholders' meeting issues relevant
decisions.
Volume 2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article 47. The management in the Company
1. Members’ council
2. Executive Board (Chief Executives Board).
3. Control Committee
I. Members' council
Article 48. Rights and duties of the Members'
council
1. For limited liability companies with two members
or more:
a. Members' council is composed of all contributing
members of the Company, which is the highest decision-making body of the
Company. Contributing members that are organizations shall mandate their
representatives in the Members' council.
b. Rights and duties of the Members’ council:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Make decisions on charter capital adjustments, time
and methods for capital mobilization;
- Make decisions on the Company’s development and
investment projects;
- Make decisions on solutions for market
development, marketing and technology transfer; ratify loan or asset sale
contracts worth at least …% of total value of assets as shown in the Company’s
latest financial report;
- Elect, dismiss and depose the Chairman of the
Members’ council, members of the Control Committee; make decisions on
appointment, dismissal and deposition of the Director (General Director), Chief
accountant and managers including ..., and on contracting and termination of
contracts with such persons;
- Make decisions on remunerations and benefits for
the Chairman of the Members' council, Controllers, Director (General Director),
Chief accountant and other managerial personnel as per this Charter;
- Ratify the Company’s annual financial reports and
plans for use and distribution of profits or loss handling;
- Make decisions on the Company's organizational
and managerial structure;
- Make decisions on the establishment of
subsidiaries, branches, representative offices, transaction offices;
- Amend and supplement the company's Charter;
...
...
...
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- Make decisions on the restructuring and bankruptcy
of the Company;
- Establish a standard procedure for assemblage of
and voting in the meetings of the Members’ council; regulate procedures for
selection, appointment and dismissal of the Chairman of the Members' council,
Director (General Director) and managerial personnel, and procedures for
operational collaboration for the Members’ council, Control Committee and
Executive Board (Chief Executives Board); set up policies on assessment,
remunerations and disciplinary measures for the Chairman of the Members'
council, Executive Board (Chief Executives Board) and managerial personnel;
- g. Establish divisions and assign individuals on
internal control and risk management in order to regulate risk management
policies and strategies for the Company's activities and inspect and assess the
congruity and performance of the Company's existing risk management system;
- Preclude and settle disputes between contributing
members and the Company. Members’ council can assign personnel to deploy
requisite systems or establish division(s) specialized in settling internal
disputes or facilitating this purpose;
- (Optional provision) Ratify transactions (if any)
beyond business and financial plans, which are proposed by the Director
(General Director) and Executive Board (Chief Executives Board);
- Other rights and duties as per the Companies Law,
Securities Law and relevant laws.
2. For single-member limited liability securities
companies:
o. Members’ council comprises … member(s), who is
(are) appointed by the Owner of the company to a term of … year(s). Members’
council shall, on the Owner's behalf, execute the owner’s rights and duties
and, on the Company’s behalf, carry out its duties and rights, except for those
of the Director (General Director). Moreover, the Members' council shall be
held liable to the laws and the company owner for executing rights and duties
given according to the Companies Law and relevant laws.
o. Members’ council shall, on the Owner's behalf,
execute the owner’s rights and duties, except for circumstances that require
the owner’s approvals as per the laws and the company’s Charter. Moreover, the
Members’ council shall, on the Company’s behalf, carry out its duties and
rights and be held liable to the laws and the company owner for executing
rights and duties given according to the laws.
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Establish a standard procedure for assemblage of
and voting in the meetings of the Members’ council, procedures for operational
collaboration for the Members’ council, Control Committee and Executive Board
(Chief Executives Board), and policies on assessment, remunerations and
disciplinary measures for the Executive Board (Chief Executives Board) and
managerial personnel, which shall be ratified by the Owner;
- Establish divisions and assign individuals on
internal control and risk management in order to regulate risk management
policies and strategies for the Company's activities and inspect and assess the
congruity and performance of the Company's existing risk management system;
- Establish internal procedures for assemblage of
meeting and voting in such meetings of the Members’ council;
- ... (Other rights and duties as defined by the
Owner of the company - by reference to regulations for a member’s council of a
limited liability company with two members or more).
Article 49. Meetings of the Members’ council
1. Quantity, time, organization and location of
conclaves
a. Members' council shall conduct at least …
conclave(s) each year;
b. Meetings of the Members’ council must occur at
the head office of the Company or … (as specified by the company).
2. Assemblage of meetings of the Members’ council
...
...
...
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If members deliver sufficient propositions to the
Company's head office no later than 01 working day prior to the meeting of the
Members' council, the Chairman of the Members' council must approve and adopt
such propositions to the meeting agenda. If propositions are put forward
immediately before the meeting, such propositions shall be subject to
ratification by the majority of members who attend the meeting.
Invitations to a meeting of the Members’ council
may be given in writing, by phone, by fax, by telegraph or other electronic
means … (as specified by the company) and shall be delivered by hand to each
member of the Members’ council. Such invitations must indicate time, location
and agenda of the meeting.
The meeting agenda and written materials must be
provided to the Company’s contributing members prior to the meeting.
Contributing members must be given the meeting’s written materials regarding
decisions on amendments and supplements to the company's Charter, ratification
of the company's growth directions or annual financial reports, the Company's
restructuring or dissolution in at most 07 working days prior to the meeting.
Other written materials must be delivered … day(s) before the meeting.
A requisition for a meeting of the Members’
council, from a member or group of members as per Article … of this Charter,
must be executed in writing or by … (as specified by the company) and indicate
these essential particulars: …
Chairman of the Members’ council must convene such
meeting in fifteen (15) days upon the receipt of a requisition that conforms to
regulations. If a requisition does not contain adequate information as per
regulations, the Chairman of the Members’ council must inform the concerned
member or group of members in writing in 07 working days upon the receipt of
such requisition.
If the Chairman of the Members’ council does not
convene its meeting as per regulations, he shall incur personal liabilities for
all damage to the Company and relevant members.
In such event, the member or group of members
requesting the meeting of the Members’ council shall be entitled to summon the
meeting and retrieve rational expenses from the Company for summoning such
meeting.
Article 50. Requirements and procedures for
meetings of the Members' council
1. Requirements for meetings of the Members’
council:
...
...
...
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b. If the first arrangement of the meeting fails
the requirement to proceed, the arrangement of the following meeting shall (for
limited liability companies with two members or more): ...
2. The procedure for a meeting of the Members'
council and voting during the meeting: ... (As specified by the Company as per
current laws).
Article 51. Decisions by the Members’ council
1. Members’ council shall ratify intra vires
decisions by voting during its meetings, by written consultation or by: ....
(As specified by the company).
2. The following matters must be voted on during
meetings of the Members’ council: … (As specified by the company).
3. Decisions by the Members' council shall be
approved in these events: … (As specified by the company).
4. A member of the Members’ council shall be deemed
to have participated and voted in its meeting in these circumstances:
a. He appeared and voted in person in the meeting;
b. He mandated another person to participate and
vote in the meeting;
...
...
...
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d. He sent his voting card to the meeting by mail,
fax or email.
5. Resolutions by the Members' council shall be
ratified through written consultation when members occupying at least … consent
to such resolutions. The procedure for ratification of resolutions of the
Members’ council through written consultation shall be: … (As specified by the
company).
6. Resolutions by the Members’ council shall come
into effect upon their validation or from the effective date as indicated in
such resolutions.
Article 52. Record of the meetings of the
Members’ council
1. Meetings of the Members’ council must be
recorded in writing and, permissibly, by sound or in other electronic formats.
2. Written record(s) of the meetings of the
Members’ council must be completed and ratified prior to the end of such
meetings. Written records must contain essential information as per the
Companies Law.
3. The marker of a written record of a meeting of
the Members’ council and the meeting president shall be jointly responsible for
the accuracy and integrity of such written record.
Article 53. Chairman of the Members’ council
1. For limited liability companies with two members
or more: One of the members of the Members' council shall be elected as its
Chairman.
...
...
...
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3. Chairman of the Members’ council can
concurrently be the Director (General Director) of the Company.
4. Chairman of the Members' council shall hold a
term of … year(s). Chairman of the Members’ council may be re-elected for
unlimited terms.
5. Rights and duties of the Chairman of the
Members’ council:
a. Prepare the agenda and action plan of the
Members’ council;
b. Prepare the agenda and written materials for the
meetings of the Members’ council or for consultation with its members;
c. Convene and chair the meetings of the Members’
council or organize consultations with its members;
d. Supervise or organize the supervision of the
execution of decisions from the Members' council;
e. Represent the Members’ council to sign its
decisions;
f. Execute other rights and duties according to the
Companies Law and the company’s Charter.
...
...
...
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6. If the Chairman of the Members’ council is
absent or ineligible to execute his rights and duties, he shall mandate a
contributing member in writing to execute his rights and duties according to
Section 7 of this Article. If none of the members obtains any mandate, one
member of the Members’ council shall summon its meeting to elect one (01) of
them by plurality rule to execute the rights and duties of the Chairman of the
Members’ council for a temporary time.
7. The principles for the Chairman of the Members’
council to mandate one of its members to execute his rights and duties shall be
…
8. Chairman of the Members’ council must perform
his duties according to Article 71 of the Companies Law.
Article 54. Divisions for internal audit and
risk management under the Members’ council
(Similar provisions as per Article 37 of the
sample Charter).
II. Executive Board (Chief Executives Board)
Article 55. Formation, duties and powers of the
Executive Board (Chief Executives Board)
1. Executive Board (Chief Executives Board) is
composed of: Director (General Director), Vice Directors (Deputy General Directors)
and … (other vital managerial titles as defined by the Company).
2. Members’ council shall appoint or recruit
members for the Executive Board (Chief Executives Board) to a term of ...
year(s). Such members can be reelected for unlimited terms.
...
...
...
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4. Executive Board (Chief Executives Board) must
set up occupational regulations to be ratified by the Members’ council. Minimum
occupational regulations shall indicate:
a. Particular duties and missions of each member of
the Executive Board (Chief Executives Board);
b. Procedures for meeting organization and
attendance;
c. Responsibilities of the Executive Board (Chief
Executives Board) for reporting to the Members’ council, Chairman of the
Members’ council and the Control Committee.
5. Director (General Director) manages every of the
Company’s daily business activities under the Members’ council’s supervision
and assume liabilities before the Members’ council and the laws for the
execution of rights and duties given. Director (General Director) has these
rights and duties:
a. Organize the implementation of resolutions from
the Members’ council;
b. Make decisions on the Company’s daily business
activities;
c. Organize the implementation of the Company’s
business and investment plans;
d. Issue internal regulations for corporate management
(unless otherwise stated in the company’s Charter);
...
...
...
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f. Sign contracts on the Company’s behalf, except
for those falling within the authority of the Chairman of the Members' council;
g. Propose schemes for the Company’s organizational
structure;
h. Present the annual financial accounting reports
to the Members' council;
i. Propose plans for use of profits or handling of
business losses;
j. Recruit employees;
k. Other rights and duties as stipulated in the
labor contract(s) with Company according to decision(s) by the Members’
council.
l. … (Other rights and duties).
6. Interests and responsibilities of members of the
Executive Board (Chief Executives Board) during their undertaking of missions:
… (Similar provision as per Section 7, Article 38 of the sample Charter).
Article 56. Criteria and requirements for the
Director (General director)
...
...
...
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2. Have expertise and experience in business
administration or ... (As specified by the company).
3. Have not been a member of a Board of directors
or Members' council in another securities company; and have not worked
concurrently for other enterprises.
4. Satisfy requirements for the Director (General
Director) of a securities company as per legal guidelines for the organization
and operation of securities companies.
5. Must not be spouse, biological parent,
biological child, adoptive parent, adopted child, sibling by blood or in law of
managerial personnel in the parent company or the representative of the
state-owned shares in the Company (for securities companies that are
subsidiaries of a company whose shares are state-owned by over 50% of the
Charter capital).
Article 57. Dismissal and deposition of the
Director (General Director)
Director (General Director) shall be dismissed and
deposed in these events:
1. Have failed criteria and requirements for the
Director (General Director) as per Article … of this Charter.
2. Petition for resignation;
3. Abide by decisions by the Members’ council;
...
...
...
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Article 58. Divisions for internal control and
risk management under the Executive Board (Chief Executives Board)
(Similar
provisions as per Article 41 of the sample Charter).
III. Control Committee
Article 59. Quantity, structure and incumbency
of members of the Control Committee
1. Members of the Control Committee shall be
appointed by the Owner of the company or elected by the Members’ council.
Controllers shall be held liable to the laws and the Owner of the company/
Members' council for the performance of their rights and duties.
2. Quantity, structure and incumbency of
Controllers: ... (Similar provision as per Article 42 of the sample Charter).
3. Details and manners of Controllers’
collaboration: … (As specified by the company as per current laws).
Article 60. Rights and duties of the Control
Committee/ Controllers
1. For limited liability companies with two members
or more:
...
...
...
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b. Rights and duties of the Control Committee or
Head of the Control Committee: ... (As specified by the company as per current
laws, possibly by reference to regulations on the control committee of a
joint-stock company as per the sample Charter).
2. For single-member limited liability companies:
a. Examine the legitimacy, integrity and prudence
in the actions by the Members’ council and Chairman of the Members’ council and
Director (General Director) with regard to their discharge of the Owner’s
rights and administration of the Company’s business activities;
b. Assess financial reports, business reports,
management reports and other reports before the provision of such documents to
the Owner of the company or governmental authorities concerned; and present
assessment reports to the Owner;
c. Propose to the Owner the solutions for revision,
supplementation and structuring of the management and operation of the
Company's business activities;
d. Examine all documents and papers in the
Company’s head office, branches, transaction offices and representative
offices. Members of the Members’ council, Chairman of the Members’ council,
members of the Executive Board (Chief Executives Board) and managerial
personnel of the company shall be responsible for providing, at Controllers’
requests; adequate information on the execution of the Owner’s rights, on
corporate management and on the Company’s business activities in timely manner;
e. Participate and debate in meetings of the
Members’ council and other conclaves in the Company;
f. Establish control procedures to be ratified by
the Members’ council;
g. If a member of the Members’ council or Executive
Board (Chief Executives Board) is found to have transgressed the laws and the
company’s Charter and resulted in transgressions of the rights and interests of
the Company, shareholders or clients, the Control Committee shall be
responsible for demanding the transgressor to generate report(s) in a limited
time or for convening the General shareholders' meeting for solutions. Control
Committee must inform the SSC in writing of violations of laws in 07 working
days upon the revelation of such violations;
...
...
...
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3. Details and manners of Controllers’
collaboration: … (As specified by the Company as per current laws).
4. Controllers, when performing their missions,
shall receive remunerations and benefits and bear the obligation to accomplish
their duties as per the Companies Law.
Article 61. Control Committee's operation and
meeting
(Similar provisions for the Control Committee
of a joint-stock company as per the sample Charter)
Article 62. Criteria and requirements for
members of the Control Committee
(Similar provisions for the Control Committee
of a joint-stock company as per the sample Charter)
Article 63. Dismissal and deposition of members
of the Control Committee
(Similar provisions for the Control Committee
of a joint-stock company as per the sample Charter)
(Notice: In companies whose charter capital
is fully state-owned, regulations on the Members’ council, its Chairman and
members, Director (General Director), Control Committee, Controllers must also
conform to Chapter IV of the Companies Law).
...
...
...
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HANDLING OF
RELATIONSHIPS WITH PARTNERS
Article 64. Possible disputes
1. Disputes or complaints involving these entities
shall give rise to disputes between the Company and its partners:
a. Shareholders/ contributing members/ Owner
against the Company;
b. Shareholders/ contributing members against the
Board of directors, Chairman of the Board of directors, members of the Board of
directors, Control Committee, members of the Control Committee/ Chairman of the
Members’ council, Director (General Director) or managerial personnel of the
company;
c. Clients or other relevant partners against the
Company.
2. Settlement of disputes: Disputes regarding the
Company’s activities, the rights of shareholders/ contributing members/ Owner
due to the Charter or any rights and duties as defined in the Companies Law or
other laws or administrative regulations.
Article 65. Measures for settlement of disputes
1. Negotiation and reconciliation: Entities
concerned shall strive to settle disputes through negotiation and
reconciliation. Chairman of the Board of directors/ Chairman of the Members'
council shall preside at the settlement of disputes, except for those related
to the Board of directors or Chairman of the Board of directors/ Chairman of
the Members' council. If disputes involve the Board of directors or Chairman of
the Board of directors/ Chairman of the Members’ council, any of the parties concerned
can request or designate an independent specialist to arbitrate such disputes.
...
...
...
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3. Expenses for negotiation and reconciliation and
court fees:
a. The parties involved shall incur their own
expenses in connection with negotiation and reconciliation;
b. The court shall decide the party incurring court
fees.
Article 66. Contracts and transactions requiring
approval
1. For joint-stock companies
a. Contracts and transactions between the Company
and these entities must acquire approval by the General shareholders’ meeting
or the Board of directors;
- Shareholders, mandated representatives of
shareholders occupying over 10% of total common shares in the Company and their
related individuals;
- Members of the Board of directors, members of the
Executive Board (Chief Executives Board) and their related individuals;
- Other companies as per the Companies Law;
...
...
...
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b. Board of directors shall approve contracts and
transactions worth less than …% total value of corporate assets as shown in the
latest financial report. In this event, the Company's representative who signs
contracts must inform members of the Board of directors and Controllers of the
parties involved in such contracts or transactions. Moreover, contract drafts
or essential information of transactions must also be provided. Board of
directors shall make decisions on approval of contracts or transactions in …
day(s) upon the receipt of the notice. Members cannot vote on contracts or
transactions in which they have interests;
c. Board of directors shall ratify contracts and
transactions except for those defined in Point b, Section 1 of this Article. In
this event, the Company's representative who signs contracts must inform the
Board of directors and Control Committee of the parties involved in such
contracts or transactions. Moreover, contract drafts or essential information
of transactions must also be provided. Board of directors shall present
contract drafts or elucidate essential details of transactions in the General
shareholders’ meeting or through written consultation with shareholders. In
this event, shareholders with resultant interests cannot vote. Contracts or
transactions require approval by shareholders representing at least …% total
remaining votes;
d. Contracts and transactions, which become binding
or proceed without approval as per Point b and c of this Section and cause
damage to the Company, shall be void and dealt with according to the laws.
Contract signers, shareholders, members of the Board of directors or Director
(General Director) involved shall jointly incur damages and give the Company
the earnings from such contracts and transactions.
2. For limited liability companies with two members
or more
a. Contracts and transactions between the Company
and these entities must acquire approval by the Members' council:
- Contributing members, their mandated
representatives, Director (General Director), the Company’s legal
representative(s) and their related individuals;
- Managers of the parent company, persons
authorized to appoint managers of the parent company and their related
individuals.
b. The persons signing contracts or concluding
transactions must inform members of the Members' council and Controllers of the
entities involved. Moreover, contract drafts or essential information of
expected transactions must be provided. Members' council shall make decisions
on approval of contracts or transactions in … day(s) upon the receipt of the
notice. In this event, contracts or transactions must obtain approval by
contributing members representing at least 65% of total contributions with
voting right. Members involved in such contracts and transactions cannot vote.
c. Contracts and transactions, which become binding
or proceed against Point a and b of this Section and cause damage to the
Company, shall be void and handled according to the laws. Individuals signing
contracts or concluding transactions, contributing members involved and their
related people shall make restitution for damage caused and return to the
Company their earnings from such contracts or transactions, which were dealt
against regulations or undermined the Company.
...
...
...
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a. Executive Board (Chief Executives Board) and
Control Committee shall make decisions on contracts and transactions between
the Company and these entities: .... (As specified by the Company as per
current laws).
b. Signers of contracts must inform the Members'
council, Executive Board (Chief Executives Board) and Control Committee of the
entities involved. Moreover, contract drafts or transaction details must be
enclosed.
c. Members' council, Director (General Director)
and Controllers must make decisions on contracts or transactions in ... day(s) upon
the receipt of notices according to the principle of ..., one vote per
competent person and no vote for those with relevant interests.
d. Contracts and transactions as stated in Point a
of this Section shall be given clearance only upon the satisfaction of these
requirements:
- Signers of contracts or makers of transactions
are independent legal entities carrying separate rights, duties, assets and
interests;
- Contract prices or transaction prices are market
based upon the signing of contracts or the occurrence of transactions;
- The owner of the company abides by his duties as
defined in the Companies Law.
e. Contracts and transactions, which came to terms
against Point a, b, c of this Section and mutilated the Company, shall be void
and handled according to the laws. Individuals concluding contracts and
transactions and those involved shall be held jointly liable for damage caused
and return to the Company their earnings from such contracts and transactions.
Article 67. Reporting and announcement
...
...
...
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a. The company must enforce regulations on periodic
and random reporting and announcement of information according to the laws on
securities and stock market or at the requests of competent governmental
authorities in timely and adequate manners. The company shall be held
responsible for the accuracy and forthrightness of information and figures
announced and reported;
b. Information shall be announced in such manners
that shareholders/ contributing members and public investors can gain equal
access at the same time. The discourse of such announcements must be clear,
comprehensible and not confusing for shareholders/ contributing members and
public investors.
2. Information announced
a. The company shall announce information on its
business activities, including:
- Periodic announcement of information from
financial reports, financial safety ratio reports and other reports as per the
laws;
- Random announcement of information in 24 hours
upon the occurrence or detection of incidents as per the laws;
- Announcement of information requested by
competent authorities.
b. The company must announce information on the
management of the Company in the annual General shareholders’ meetings/ annual
conclaves of the Members’ council and in the Company’s annual reports.
3. Organization of announcements
...
...
...
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a. Such person must possess knowledge of accounting
and finance and certain computing skills;
b. Such person shall publicize his name and work
telephone number for shareholders/ contributing members to make easy contact;
c. Such person must have sufficient time for his
assignments, particularly for interactions with shareholders/ contributing
members and for acknowledgement of their opinions. Such person shall announce,
elucidate and respond to such opinions and corporate management issues on
periodic basis as per regulations.
4. Announcer of information: The legal
representative of the Company or a mandated individual shall announce
information. The legal representative of the Company shall be held liable for
the information announced by the mandated individual.
Chapter V
FINANCIAL AND
ACCOUNTING MANAGEMENT
Article 68. Fiscal year
1. A fiscal year of the Company commences on the 01st
of January and ends on the 31st of December of a calendar year.
2. The first fiscal year of the Company shall begin
upon incorporation and end on the 31st of December in the same year.
If the first fiscal year of the Company comprises less than four (04) months,
the financial report for that year shall be consolidated with the financial
report for the following year.
...
...
...
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1. The company shall employ Vietnam Accounting
System (VAS) or an accounting system sanctioned by the Ministry of Finance according
to regulations by the Ministry of Finance and written guidelines on securities
companies' accounting. The company shall conform to governmental authorities’
inspections of its abidance by regulations on accounting and statistics.
2. The company shall make accounting journals in
Vietnamese and retain relevant documents according to its business model.
Accounting documents must be precise, updated, systematic and adequate to
evince and elucidate the Company’s transactions.
Article 70. Audit
1. Annual financial reports, financial safety ratio
reports dated December 31st, half-year financial reports, financial
safety ratio reports dated June 30th of the Company must be audited
and examined by an independent audit organization as per regulations.
2. The independent audit organization and its
employees that conduct audits for the Company must obtain authorization from
the SSC. The annual General shareholders’ meeting shall designate an
independent audit company or ratify a list of independent audit companies and
mandate the Board of directors to select one for the Company’s audits in the
following fiscal year as per agreed provisions and terms with the Board of
directors. The securities company cannot replace the approved audit
organization with another one in a fiscal year unless such replacement is
decided by the parent company or the approved audit organization being employed
is suspended or stripped of authorization to conduct audits.
3. At the end of a fiscal year, the Company must
prepare and send its annual financial report to the independent audit company.
The independent audit company shall inspect, endorse and recount the Company’s
receivables and payables in the financial report. It shall also make and send
the audit report to the Board of directors in … day(s) upon the end of the
fiscal year.
4. A copy of the audit report shall be enclosed
with the Company’s annual financial report.
5. Auditors who conduct audits of the Company shall
be permitted to attend all General shareholders' meetings, to receive notices
and information regarding the General shareholders' meetings, which are given
to shareholders, and to state their opinions on audit-related matters in such
meetings.
Article 71. Principles for distribution of
profit
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2. For single-member limited liability companies:
Owner of the company shall make decisions on utilization of profits upon the
fulfillment of taxes and financial duties as per the laws.
3. If dividends/ profits, incentives or stock
payments are delivered in cash, the Company must pay in Vietnam dong. Payments
can be made manually or through banks that shareholders/ contributing members
specify. Dividend payments can be made through Vietnam Securities Depository
Center (for joint-stock companies).
4. Schedule for finalization of the list of
shareholders/ contributing members and for payment of dividends, profits and
incentives:
a. For joint-stock companies: Board of directors
shall schedule a date for finalization of the list of shareholders and another
for payment of dividends and incentives as per the plans of the General
shareholders' meeting.
b. For limited liability companies with two members
or more: Members' council shall schedule the date for finalization of the list
of contributing members and another for distribution of profits and incentives.
Article 72. Handling of business losses
A year's losses shall be handled in the following
year, if profitable.
Article 73. Establishment of statutory funds
1. Every year, the Company shall use part(s) of net
profits to establish these funds:
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b. Financial and professional risk reserve;
c. Fund for incentives and benefits;
d. Other funds as per the laws.
2. Reserve ratio and limit, management and
utilization of funds as defined in Section 1 of this Article shall be subject
to current laws.
Chapter VI
EXTENSION OF
DURATION, RESTRUCTURING, DISSOLUTION AND BANKRUPTCY
Article 74. Extension of duration
1. Board of directors/ Chairman of the Members’
council shall convene the General shareholders’ meeting/ a meeting of the
Members’ council in at least seven (07) months prior to the expiration of the
Company’s duration in order to vote on the extension of its duration.
2. The duration of the Company shall be extended if
such extension gains consent by at least sixty five percent (65%) of total votes
from shareholders with voting rights/ contributing members present in person or
through mandated representatives in the General shareholders’ meeting/ the
conclave of the Members’ council.
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1. The company shall undergo consolidation, merger
or conversion after obtaining approval from the SCC.
2. Procedures for consolidation, merger and
conversion shall be governed by the Companies Law, Securities Law and relevant
laws.
Article 76. Dissolution
1. The company dissolves or shuts down in these
events:
a. The duration of the Company, after extended,
ends;
b. The general shareholders' meeting/ Members'
council/ Owner decides to have the Company dissolved early with the SSC’s
approval;
c. SSC revokes the license for establishment and operation
or a Court pronounces corporate bankruptcy as per current laws;
d. Other events as per the laws.
2. The company shall only dissolve upon its
guarantee of settling all debts and financial duties. Moreover, it must not be
involved in any disputes being resolved by a Court or arbitral tribunal.
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Article 77. Bankruptcy
The company’s bankruptcy shall be governed by the
laws on corporate bankruptcy in the sectors of finance and banking.
Chapter VII
AMENDMENTS AND
SUPPLEMENTS TO THE CHARTER
Article 78. Supplements and amendments to the
Charter
1. Amendments and supplements to this Charter shall
be handed over to the discretion of the General shareholders' meeting/ Members'
council/ Owner of the company.
2. If this Charter does not refer to certain legal
regulations pertinent to the Company's activities or contains provisions
contrary to new legal regulations, such legal regulations shall automatically
prevail and govern the Company's activities.
Chapter VIII
EFFECT
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1. This Charter has … Chapters and … Articles, as
approved and fully validated by the Owner/ Members’ council/ General
shareholders’ meeting of … Joint-stock/ Limited Liability Securities Company on
the … of … in … [date].
2. This Charter is made into … originals of equal
validity.
3. This is the Company’s only and official Charter.
4. Copies or excerpts from the Charter shall only
be valid when bearing the signature of the Chairman of the Members' council/
Chairman of the Board of directors or signatures of at least half (1/2) of the
members of the Board of directors.
5. This Charter shall come into force as of … … …
[date].
6. Signature of THE OWNER/ FOUNDING MEMBERS/
FOUNDING SHAREHOLDERS OR LEGAL REPRESENTATIVE (for endorsement of
amendments and supplements to the Charter) (Sign, append full name and
corporate seal).
APPENDIX XXII
MONTHLY ACTIVITY REPORT
(Enclosed to the Circular No. 07/2016/TT-BTC dated 18 January 2016 by
Minister of Finance)
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SOCIALIST REPUBLIC
OF VIETNAM
Independence – Freedom - Happiness
No. … (official
dispatch no)
Re: Report of activities in ... [month] in ... [year]
… [place], … …
... [date]
To: State Securities
Commission
I. Personnel and shareholders of the securities
company
1. Personnel:
Entry
Quantity of
personnel at the start of the month
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Quantity of holders
of professional licenses at the start of the month
Fluctuation in
number of holders of professional licenses
Quantity of
holders of professional licenses at the end of the month
Increase
Decline
A. Head office:
1. Executive Board:
2. Brokers department:
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4. Underwriting department
5. Investment consulting department
B. Branch
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- Branch director
- Brokers department
- Consulting department
2. … branch (name of the branch)
- Branch director
- Brokers department
- Consulting department
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C. Transaction office
1.... transaction office (name of the transaction
office)
2.... transaction office (name of the transaction
office)
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Other departments
...
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2. Shareholders/ contributing members holding
at least 5% of the Charter capital*
No.
Shareholder
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Full name (natural person)/ Corporate name (juridical
person)
ID No./ Business License No.
Date of issue
Address
Nationality
Start of month
End of month
Number of shares/ contribution value
Ratio of holdings to Charter capital
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Ratio of holdings to Charter capital
1.
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2.
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* This section is not applicable to
single-member securities companies.
II. Operational network:
1. Network:
No.
Network
Name
Location
Note
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
1
Branch
...
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...
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Transaction office
3
Representative office
...
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Overseas
1
Branch
...
...
...
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Representative office
2. Relevant changes in the month:
No.
Change
Head office
Branch
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Representative
office
1
Location
2
Shutdown (quantity)
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3
Establishment (quantity)
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Name (times)
5
Legal representative or heads or head
representatives (times)
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6
Cessation
7
Business lines (times of change in head office,
branches, transaction offices)
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III. Activities of the securities company
1. Securities brokerage
1.1 . Brokerage of listed and traded
securities
a) Quantity of accounts
Client type
Start of month
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End of month
Quantity of
accounts that recorded transactions during the month
Increase
Decline
Domestic
Individual
...
...
...
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Organization
Overseas
...
...
...
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Organization
...
...
...
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Total
b) Pecuniary balance in clients' securities
accounts
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Client type
Start of month
During the
month
End of month
Increase
Decline
Domestic
Individual
...
...
...
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Organization
Overseas
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Organization
...
...
...
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c) Mandate of individual investors’ securities
accounts
Client type
Total number of
accounts mandated at the start of the month
During the
month
...
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Value mandated (million
dongs)
Mandate fee
collected in the month (dong)
Increase
Decline
Domestic
...
...
...
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Overseas
...
...
...
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d) Transactions
No.
Type of securities
...
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Total sale from the start of the year
Purchase in the month
Sale in the month
Total purchase at the end of the period
Total sale at the end of the period
Volume
Value (Million dongs)
Volume
Value (Million dongs)
...
...
...
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Value (Million dongs)
Volume
Value (Million dongs)
Volume
Value (Million dongs)
Volume
Value (Million dongs)
I
All stocks
...
...
...
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...
...
...
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Domestic
...
...
...
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Overseas
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
All bonds
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III.
All fund
certificates
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
IV.
Other securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
(I+II+III+IV)
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1.2 Brokerage of unlisted and untraded
securities
Securities
Transaction
time
Volume
Value (VND)
1. All stocks
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. All bonds
............
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. All fund certificates
..........
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
.......
Total:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Note: Details shall be given by the issuer.
1.3 Margin trading
Unit: VND
No.
Entry
Start of month
End of month
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Credit limit for margin trading
3
Outstanding margin debts
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4
Value of securities on margin
5
5 (five) ticker symbols with largest debit
balance
6
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Equity
- Loan
Including:
+ Borrowings from credit institutions
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
+ Borrowings from individuals
7
Income from margin trading:
- Profit
- Transaction fee
- Other receivables
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1.4 Total brokerage fee collected:
No.
Brokerage fee
Value (VND)
1
From securities transactions on Ho Chi Minh
City’s Stock Exchange
2
From securities transactions on Hanoi City’s
Stock Exchange
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3
From other securities transactions
Total
2. Proprietary trading and investment
2.1. Accounts for proprietary trading of
listed and traded securities
Unit: VND
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total purchase from the year’s start
Total sale from the year’s start
Purchase in the month
Sale in the month
Total purchase at the end of the period
Total sale at the end of the period
Volume
Value
Volume
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Volume
Value
Volume
Value
Volume
Value
Volume
Value
Stock
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Bond
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Fund certificate
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2.2 Outward investments, capital contributions
to limited liability companies and business projects (for
investments that do not generate securities)
Unit: VND
No.
Name of the
invested organization
Starting value
Mid-term
variation
Ending value
Total contributions
(project value) in the invested organization
Investment
ratio
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(2)
(3)
(4)
(5)
(6)
(7)=(5)/(6)
I
Domestic
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
… Company
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
....
II
Overseas
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
… Company (specify its nationality)
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
....
(Notice:
the value of investments is recorded according to the recorded prices at the
securities company’s discretion)
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Unit: VND
No.
Location of
property/ name of the investing organization
Form of
investment
Ending value*
Variation
during the month
Purpose of
investment
Ratio of investment value to
total assets
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(*Investment value or remaining value of
the real estate)
2.4 Holding of securities
No.
Type of
securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
outstanding securities of the issuer upon reporting
Investment
ratio (%)
Quantity
Total purchase (million
dongs)
Market value
upon reporting (million dongs)
Invested asset
growth ratio (%)
(1)
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(3)
(4)
(5)
(6)=(5)/(4) *100
(7)
(8)=(3)/(7) *100
A
Securities listed and traded
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
I
Stock
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
A
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
II
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
A
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Bond
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Government bond and local government bond
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
....
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Corporate bond
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
A
...
...
...
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....
VI
...
...
...
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1
A
...
...
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2
....
...
...
...
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V
Other securities
...
...
...
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1
A
2
...
...
...
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II
Unlisted securities
...
...
...
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I
Stock
...
...
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1
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2
...
II
...
...
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1
A
...
...
...
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2
...
...
...
...
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III
Bond
...
...
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1
Government bond and local government bond
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...
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....
...
...
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2
Corporate bond
...
...
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A
...
...
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....
VI
...
...
...
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1
A
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...
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2
....
...
...
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V
Other securities
...
...
...
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1
A
2
...
...
...
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Total:
..........
...
...
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................
................
..........
* Note:
In column (2), securities type shall be indicated
by ticker symbol (for listed and traded securities).
In column (3), securities currently held by the
securities company shall be indicated but exclude those being delivered to the
accounts.
Column (4) is based on purchase price/
investment value in contracts;
Column (5) is based on closing price or average
trade price upon reporting or rational value of securities unlisted or
untraded.
...
...
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This section must exclude securities from
futures transactions.
2.5 Compliance with investment restrictions
Unit: VND
No.
Entry
Ending
investment value
Equity upon
reporting
Ratio of
investment value to total assets
(1)
...
...
...
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(3)
(4)
(5)=(3)/(4)
1
Total value of investments into corporate bonds
2
...
...
...
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3
Total value of investments into unlisted stocks,
capital, business projects
(Investment value is subject to the
Company’s recorded value)
...
...
...
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Unit: VND
No.
Name of issuers
Type of securities underwritten
Form of underwriting
Total value underwritten
Duration of underwriting (from … to …)
Equity*
Total value of net operational capital
...
...
...
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....
...
...
...
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** Total value of net operational capital =
(current asset value - current debt value) x 15
4. Securities investment consultancy and
financial consultancy
Type of
consulting service
Quantity of
contract signed at the start of the month
Quantity of
contracts closed during the month
Quantity of
contracts signed during the month
Quantity of
contracts in effect at the end of the month
Fees collected
during the month (VND)
I. Securities investment consultancy
...
...
...
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II. Financial consultancy
...
...
...
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1. … consultancy
...
...
...
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3. … consultancy
Total
...
...
...
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III. Other services:
...
...
...
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2. .....
...
...
...
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Total
Total
...
...
...
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IV. Finance:
1. Asset summary
Asset
Start of month
End of month
Finances
...
...
...
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End of month
A. Current assets
A. Payables
1. Cash and equivalents
...
...
...
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I. Short-term debt
- Short-term borrowing
- Payables for securities transactions
- Other short-term payables
II. Short-term financial investments
- Short-term investment:
- Provisions for short-term investments
...
...
...
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II. Long-term debt
- Long-term debt
- Long-term payables
III. Short-term receivables
- Short-term receivables due in over 90 days
- Short-term receivables due in 90 days or less
...
...
...
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IV. Equity
- Owner’s equity
- Share premium
- Treasury stock
- Development investment fund, financial reserve
- Undistributed profit
...
...
...
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V. Inventory
VI. Other current assets
...
...
...
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B. Long-term assets
Long-term receivables
...
...
...
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II. Fixed assets
...
...
...
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III. Real estate investment
IV. Long-term financial investments
- Investments in subsidiaries
- Investments in joint ventures
...
...
...
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- Other long-term investments
- Provisions for long-term financial investments
V. Other long-term assets
...
...
...
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Total assets
Total finances
...
...
...
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No.
Financing
entity
Value of
finances (million dongs)
Financing
method (bond issuance, credit contract, etc.) (Specify)
I. Credit institution
1
...
...
...
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2
II. Other entities
...
...
...
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1
2
3. Business result
...
...
...
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Entry
In the month
Accumulated in
the year
1
Revenues from business activities
2
Total expenditure:
...
...
...
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- Corporate management expenses
3
Pre-tax profit
V. Difficulties and propositions:
...
...
...
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INTERNAL
CONTROL
(sign and write full name)
(GENERAL)
DIRECTOR
(sign and seal, write full name)
APPENDIX XXIII
YEARLY ACTIVITY REPORT
(Enclosed to the Circular No. 07/2016/TT-BTC dated 18 January 2016 by Minister
of Finance)
NAME OF THE
SECURITIES COMPANY
SOCIALIST REPUBLIC
OF VIETNAM
Independence – Freedom - Happiness
No. … (official
dispatch no)
Re: Report of business activities in ... [year]
… [place], … …
... [date]
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
To: State Securities
Commission
I. Corporate organization and personnel in the
year
1. Corporate organization:
a) Network:
No.
Network
Name
Address
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Branch
- Branch 1:
- Branch 2:
- ....................:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Transaction office:
- Transaction office 1
- Transaction office 2
- Transaction office …
4
Representative office
- Representative office 1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5
Overseas branch
- Branch 1:
- Branch 2:
6
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Representative office 1
- Representative office …
Note: the information in this table is acquired
upon reporting
b) Relevant organizational changes in the year:
- Establishment or closure of domestic and overseas
branches, transaction offices, representative offices (Enumeration);
- Changes in addresses of the head office,
branches, transaction offices, representative offices (Enumeration);
- Changes in name and business lines of the
Company, branches, transaction offices (Enumeration);
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Personnel
a) Managerial personnel:
Entry
Full name/
Initial title
Full name/
Year-end title
Date of change
Reason
Members of Board of directors/ Members’ council/
Chairman
...
...
...
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Members of Executive Board
Members of Control Committee
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b) Staff members:
Entry (enumerate
full names of holders of professional licenses at the year’s end
Quantity of
holders of professional licenses/ total number of staff members at the year’s
start
Quantity of holders
of professional licenses leaving the company during the year
Quantity of new
recruits holding professional licenses during the year
Quantity of
holders of professional licenses/ total number of staff members at the year’s
end
Quantity of professional
licenses at the year’s end
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Brokers department
...
...
...
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Proprietary trading department
Underwriting department
...
...
...
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Securities investment consulting department
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
* Note: The figures in this table cover the
entire company (including all of its business sites).
II. Ratio of holdings of shareholders/
contributing members holding at least 5% of the Charter capital*
No.
Full name (natural
person)/ Corporate name (juridical person)
ID No./
Business License No.
Date of issue
Number of
shares/ contribution value
Ratio of
holdings to Charter capital
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
* This section is not applicable to
single-member securities companies.
III. Charter capital and financial safety norms
in the reporting year
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Report on disposable fund ratio in the year;
3. Report on variations in treasury stock in the
year;
4. Other financial safety norms.
IV. Facilities in the report year
Detailed report on renovation of technical
facilities in the year, including:
- Expansion of the head office, branches,
transaction offices (Enumeration);
- Upgrade of hardware (Investment value);
- Upgrade of software (Investment value);
- Archives for retention of documents (Investment
value);
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
V. Activities of the securities company in the
reporting year
1. Securities brokerage
1.1. Quantity of accounts and balance of
pecuniary deposits
a) Quantity of accounts:
Client type
Start of year
During the year
End of year
Quantity of
accounts that recorded transactions during the year
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Decline
Domestic
Individual
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
Individual
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Organization
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b) Pecuniary balance in clients' securities
accounts
Unit: million dongs
Client type
Start of year
During the year
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
Individual
Organization
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Individual
Organization
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1.2. Individual investors’ mandate for
securities trading
Client type
Start of year
During the year
End of year
Value mandated
(million dongs)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Increase
Decline
Domestic
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1.3. Securities transactions in the year
a) Trading of listed securities
Unit: million dongs
Securities
Total volume of
securities purchased in the year
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of
purchases in the year
Total value of
sales in the year
1. Stock
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
2. Bond
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
Overseas
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Fund certificate
Domestic
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Overseas
4. Other securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Domestic
Overseas
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total:
b) Brokerage of unlisted securities
Unit: million dongs
Securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total volume of
securities sold in the year
Total value of
purchases in the year
Total value of
sales in the year
1. Stock
2. Bond
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Fund certificate
4. Other securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total:
1.4. Total brokerage fee collected in the
year:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Brokerage fee
Value (VND)
1
From securities transactions on Hanoi City’s
Stock Exchange
2
From securities transactions on Hanoi City’s
Stock Exchange
3
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
1.5. Rectification of broker errors:
- Total number of transaction errors at Ho Chi Minh
City's Stock Exchange and rectification;
- Total number of transaction errors at Hanoi
City's Stock Exchange and rectification;
2. Proprietary trading and investment
a) Trading of securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Type of
securities
Start of year
Total purchases
during the year
Total sales
during the year
End of year
Volume
Value
Volume
Value
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Volume
Volume
Value
Listed securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. Stock
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Bond
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Fund certificate
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5. Other securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Unlisted securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. Stock
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Bond
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Fund certificate
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4. Derivatives
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5. Other securities
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
* Value is based on trading price.
b. Outward investments, capital contributions into
limited liability companies and business projects (for investments that do not
generate securities)
Unit: million dongs
No.
Name of
invested organizations
Starting value
Increase during
the year
Decline during
the year
Ending value
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(2)
(3)
(4)
(5)
(6)
I
Domestic
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
… Company
2
....
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Overseas
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
… Company (specify its nationality)
2
....
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Notice: the value of investments is recorded
according to the recorded prices at the securities company’s discretion.
e. Investments for purchase of real estates
Unit: million dongs
No.
Location of
property/ name of the investing organization
Form of
investment
Starting value
of investments*
Increase during
the year
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Ending value
(Detailed
list)
4. Underwriting
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Name of issuers
Type of securities underwritten
Form of underwriting
Volume underwritten
Price underwritten
Total value underwritten
Duration of underwriting (from … to …)
Underwriting fee
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5. Consulting activities and other activities
Type of
activities
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Quantity of
contracts closed during the year
Quantity of
contracts signed during the year
Quantity of contracts
in effect at the year’s end
Fee collected
in the year (VND)
I. Securities investment consultancy
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II. Financial consultancy
1. … consultancy
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. … consultancy
III. Other services:
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. .....
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. .....
VI. Compliance supervision report
No.
Content
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Treatment
Note
I
Breach of regulations on quantity of
securities practitioners
II
Finance
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Non-compliance with loan limit
2
Non-compliance with investment restriction
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Breach of regulations on announcement of
information
1
Delay of announcement
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Non-announcement of information
IV
Breach of regulations on reporting
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Delay of report
2
Non-reporting
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
V
Compliance supervision
1
Abidance by legislative documents
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Abidance by documents from State Securities
Commission
3
Enforcement of resolutions by General shareholders’
meeting, Members’ council, Owner
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4
Enforcement of resolutions by Board of directors,
Chairman of Members' council, Corporate chairman
5
Enforcement of decisions by Director/ General
Director
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6
Enforcement of contracts with partners
VII. Financial security:
No.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Value
Ratio
1
Charter capital (VND)
(2)/(1)*100
2
Profit (Loss) accumulated (VND)
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Fixed assets (VND)
(3)/(10)*100
4
Treasury stock (amount of stocks)
(4)/(5)*100
5
Common stocks (amount of stocks)
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6
Total debts (VND)
(6)/(7)
7
Equity (VND)
8
Short-term debts (VND)
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(8)/(9)
9
Long-term assets (VND)
10
Disposable fund ratio (%)
11
...
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...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
VIII. Propositions to authorities
MADE BY
(sign and write full name)
CONTROLLER
(sign and write full name)
(GENERAL)
DIRECTOR
(sign and seal, write full name)