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THE GOVERNMENT
OF VIETNAM
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No. 109/2026/ND-CP
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Hanoi, April 01, 2026
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DECREE
PRESCRIBING PENALTIES FOR
ADMINISTRATIVE VIOLATIONS IN FIELDS OF JUDICIAL SUPPORT, JUDICIAL
ADMINISTRATIVE ACTIONS, MARRIAGE AND FAMILY, CIVIL JUDGMENT ENFORCEMENT,
BANKRUPTCY AND REHABILITATION OF ENTERPRISES AND COOPERATIVES
Pursuant to the Law on
Government Organization No. 63/2025/QH15;
Pursuant to the Law on
Handling of Administrative Violations No. 15/2012/QH13, as amended by the Law
No. 67/2020/QH14 and the Law No. 88/2025/QH15;
Pursuant to the Civil
Code No. 91/2015/QH13;
Pursuant to the Law on
Lawyers No. 65/2006/QH11, as amended by the Law No. 20/2012/QH13;
Pursuant to the Law on
Notarization No. 46/2024/QH15;
Pursuant to the Law on
Judicial Expertise No. 13/2012/QH13, as amended by the Law No. 35/2018/QH14,
and the Law No. 56/2020/QH14;
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Pursuant to the Law on
Management and Use of Public Property No. 15/2017/QH14, as amended by the Law
No. 90/2025/QH15;
Pursuant to the Law on
Commercial Arbitration No. 54/2010/QH12;
Pursuant to the Law on Civil
Status No. 60/2014/QH13;
Pursuant to the Law on
Vietnamese Nationality No. 24/2008/QH12, as amended by the Law No. 56/2014/QH13
and the Law No. 79/2025/QH15;
Pursuant to the Law on
Legal Dissemination and Education No. 14/2012/QH13;
Pursuant to the Law on
Legal Aid No. 11/2017/QH14;
Pursuant to the Law on
State Compensation Liability No. 10/2017/QH14;
Pursuant to the Law on
Marriage and Family No. 52/2014/QH13;
Pursuant to the Law on
Child Adoption No. 52/2010/QH12;
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Pursuant to the Law on
Bankruptcy and Rehabilitation No. 142/2025/QH15;
Pursuant to the Law on
Anti-money Laundering No. 14/2022/QH15;
At the request of the
Minister of Justice of Vietnam;
The Government of
Vietnam promulgates a Decree prescribing penalties for administrative
violations in the fields of judicial support, judicial administrative actions,
marriage and family, civil judgment enforcement, bankruptcy and rehabilitation of
enterprises and cooperatives.
Chapter
I
GENERAL
PROVISIONS
Article
1. Scope
1. This Decree deals with
administrative violations, penalties, fines, remedial measures, the power to
make records of administrative violations, the power to impose penalties, and
specific fines to be imposed by each title holder for the administrative
violations in the following fields:
a) Judicial support,
including: lawyers; legal consultancy; notarization; certification; judicial
expertise; property auction; commercial arbitration; commercial mediation;
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c) Marriage and family;
d) Civil judgment
enforcement, including: civil judgment enforcement and bailiff services;
dd) Bankruptcy and
rehabilitation of enterprises and cooperatives.
2. Any administrative
violations in the fields of judicial support; judicial administrative actions;
marriage and family; civil judgment enforcement; bankruptcy and rehabilitation
of enterprises and cooperatives, which are not prescribed in this Decree shall
be considered and handled in accordance with regulations on imposition of
penalties for administrative violations in relevant state management fields.
Article
2. Regulated entities
1. Vietnamese and foreign
organizations and persons (hereinafter referred to as “entities” or “entity”)
that commit administrative violations in the fields prescribed in Clause 1
Article 1 of this Decree.
2. Authorities and persons
having the power to impose penalties for administrative violations in the
fields of judicial support; judicial administrative actions; marriage and
family; civil judgment enforcement; bankruptcy and rehabilitation of
enterprises and cooperatives, and other relevant organizations and individuals.
3. Organizations incurring
penalties as prescribed herein include:
a) Law practice
organizations; socio-professional organizations of lawyers; foreign law
practice organizations in Vietnam; branches and transaction offices of law
practice organizations; legal consultancy centers and their branches; notarial
practice organizations; socio-professional organizations of notaries; judicial
expertise offices; property auction organizations; branches and representative
offices of property auction organizations; wholly state-owned organizations
established by the State Bank of Vietnam (SBV) to settle bad debts of credit
institutions; owners of property sold at auction; arbitration centers; branches
and representative offices of arbitration centers; branches and representative
offices of foreign arbitration organizations in Vietnam; commercial mediation
centers; branches and representative offices of commercial mediation centers;
foreign commercial mediation organizations in Vietnam; bailiff offices; asset
management and liquidation enterprises;
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c) Enterprises and
cooperatives initiating bankruptcy and rehabilitation procedures; banks where accounts
of enterprises and cooperatives are opened;
d) Agencies and
organizations involved in international cooperation in legal affairs and
judicial reform with governmental agencies, intergovernmental organizations,
and foreign non-governmental organizations (NGOs);
dd) Regulatory authorities
committing the violations which are not related to their assigned management
tasks;
e) Other organizations
committing violations in the fields prescribed in Clause 1 Article 1 of this
Decree.
4. Penalties imposed upon
a family household, or household business shall be same as those imposed upon
an individual for committing the same administrative violation specified in
this Decree.
Article
3. Penalties and remedial measures
1. Primary penalties:
a) Warning;
b) Fine;
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2. Additional penalties:
a) Suspension of license
or practicing certificate for a fixed period;
b) Suspension of
operations for a fixed period;
c) Confiscation of
exhibits and instrumentalities used for committing administrative violations.
3. Remedial measures:
a) The remedial measures
specified in points a, e, and i clause 1 Article 28 of the Law on Handling of
Administrative Violations;
b) Other measures
specified in Chapters II, III, IV, V, VI and VII of this Decree.
Article
4. Fines and power to impose penalties
1. The maximum fine
imposed upon an individual for committing an administrative violation in the
field of judicial administrative actions, or marriage and family, is VND
30.000.000.
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3. The maximum fine imposed
upon an individual for committing an administrative violation in the field of
judicial support is VND 50.000.000.
4. The fines prescribed in
Chapters II, III, IV, V, VI and VII of this Decree are imposed for
administrative violations committed by individuals, except the administrative
violations in Article 22 and the cases specified in clause 5 of this Article.
The fine imposed upon an organization is twice as much as that imposed upon an
individual for committing the same administrative violation.
5. The fines prescribed in
Articles 9, 10, 11, 17, 18, 26, 30, 32, 34, 39, 49, 52, 55, 67, 69, 74, 75, 76
and 81 of this Decree are imposed for administrative violations committed by
organizations.
6. The fines imposed by
the title holders prescribed in Chapter VIII of this Decree are those imposed
for administrative violations committed by individuals. A title holder is
entitled to impose a fine which is twice as much as that imposed upon an
individual upon an organization for committing the same administrative
violation.
Article
5. Completed and ongoing administrative violations; penalties for repeated
administrative violations; online handling of administrative violations
1. The determination of
whether an administrative violation has been completed or is ongoing, for the
purpose of calculating the prescriptive period of the violation, shall comply
with the provisions of the Decree elaborating and providing measures for
implementation of the Law on Handling of Administrative Violations.
2. Penalties for repeated
administrative violations:
a) Where a person
repeatedly commits an administrative violation, penalties shall be separately
imposed for each commission of the violation, except repeated violations
prescribed in point b of this clause;
b) Where a person repeatedly
commits any of these administrative violations, including: point a clause 1,
point g clause 3 Article 8; point h clause 3, point a clause 5 Article
9; clause 1, and the act of “notarizing an inheritance division agreement
without documentary evidence proving the relationship between the deceased and
the heirs-at-law in cases of intestate succession” in point c clause 3 Article
15; clause 1, points a, b clause 2, point b clause 3 Article 16; point l clause
1 Article 17; points b, c, d, g and h clause 2, point b clause 3, points c, e
and g clause 4 Article 19; point c clause 1 Article 28; Articles 48 through 58;
Article 65; Article 66; point b clause 1, point b clause 2, point i clause 3
Article 68; point d and point h clause 1 Article 80 of this Decree, such
repeated commission of the violation shall be considered as an aggravating
circumstance.
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Article
6. Execution of penalties and remedial measures
1. The execution of
penalties and remedial measures prescribed in this Decree shall comply with
provisions of the Law on Handling of Administrative Violations, and documents
providing guidelines for the implementation thereof.
2. In respect of the
remedial measure that is enforced return of licenses, practicing certificates,
or operation registration certificates that have been erased or altered to the
issuing authorities or persons, the following shall apply:
a) If, at the time of
issuance of the penalty imposition decision which also indicates the remedial
measure of enforced return of a license, practicing certificate, or operation
registration certificate that has been erased or altered to the issuing
authority or person, such license, practicing certificate, or operation
registration certificate is being temporarily detained by a competent authority
or person in accordance with Points a and b Clause 1 Article 125 of the Law on
Handling of Administrative Violations, the person who issues the penalty
imposition decision shall, within 02 working days from the date of issuance of
such decision, send a written request for revocation, accompanied with the
penalty imposition decision and the subject license, practicing certificate, or
operation registration certificate, to the authority or person issuing such
document;
b) In cases other than the
one prescribed in point a of this clause, the violating entity shall be obliged
to return the license, practicing certificate, or operation registration
certificate which has been erased or altered to the issuing authority or person
within the time limit stated in the penalty imposition decision, and shall bear
all costs associated with the execution of this remedial measure.
3. The remedial measure
that is enforced return of erased or altered licenses, practicing certificates,
or operation registration certificates to issuing authorities or persons, or
enforced return of original copies of the erased or altered documents to
issuing authorities or persons, and the additional penalty that is confiscation
of exhibits which are such erased or altered documents, shall not apply in case
such documents are issued and retained in electronic form. In this case, the
person issuing the penalty imposition decision shall send a written
notification thereof to the authority or person that issued the relevant
document for taking further actions as prescribed.
Chapter
II
ADMINISTRATIVE
VIOLATIONS AGAINST REGULATIONS ON JUDICIAL SUPPORT, PENALTIES, FINES, AND
REMEDIAL MEASURES
Section
1. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON LAWYERS, PENALTIES, FINES,
AND REMEDIAL MEASURES
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1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, included in an application for registration of legal traineeship;
admission to Bar Association; issuance or re-issuance of lawyer’s practicing
certificate; or issuance of certificate of registration to practice law, or
license to practice law in Vietnam for a foreign lawyer;
b) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, included in an application for issuance or re-issuance of operation
registration certificate for a law practice organization or its branch;
establishment license or operation registration certificate for a branch of a
foreign law practice organization, a foreign law firm or its branch in Vietnam.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for providing untruthful
information or concealing information on individuals or organizations included
in an application for registration of legal traineeship; for issuance or
re-issuance of lawyer’s practicing certificate, certificate of registration to
practice law, or license to practice law in Vietnam for a foreign lawyer,
establishment license or operation registration certificate.
3. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
4. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in the violation in Clause 1 of this
Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in clause 3 of this Article;
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Article
8. Violations against regulations on practice of law by lawyers
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to attend, or
insufficiently attending, compulsory professional training and continuing legal
education courses;
b) Failing to notify the
Bar Association, within the prescribed time limit, of the registration to
practice law or any changes thereto.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to fully inform
clients of the lawyer’s rights, obligations, and professional responsibilities
in the provision of legal services;
b) Failing to register
changes to the contents of registration to practice law with a competent
authority, or failing to notify the Bar Association of the registration to
practice law or any changes thereto.
3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Providing legal
services for an agency, organization, or individual other than the one having
entered into an employment contract with the lawyer, unless such legal services
are provided at the request of a regulatory authority, or at the request of the
presiding agency when engaging in criminal proceedings, or when providing legal
aid as assigned by the Bar Association of which the lawyer is a member;
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c) Working under an
employment contract in the capacity of a lawyer practicing as an individual for
an agency or organization other than the law practice organization which the
lawyer has established, co-established, or with which he/she has entered into
an employment contract;
d) Practicing law in a
form inconsistent with the prescribed form of law practice;
dd) Practicing as an
individual lawyer without holding a professional liability insurance policy
where such insurance is required under the employment contract;
e) Failing to inform
clients of the lawyer’s rights, obligations, and professional responsibilities
in the provision of legal services;
g) Entering into legal
service contracts with clients other than through a law practice organization,
or without proper written authorization from such organization;
h) Practicing law without
having been granted a certificate of registration to practice law as an
individual, or continuing to practice law after such certificate has been
revoked.
4. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
otherwise falsifying a lawyer’s practicing certificate, certificate of
registration to practice law, license to practice law in Vietnam of a foreign
lawyer, or notice of registration for defense or for protection of lawful
rights and interests;
b) Practicing law in
Vietnam after the foreign lawyer’s license to practice law has expired;
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5. A fine ranging from VND
15.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Operating beyond the
permitted scope of practice of a foreign lawyer in Vietnam;
b) Permitting another
person to use one’s practicing certificate, certificate of registration to
practice law, or license to practice law in Vietnam, to practice law;
c) Using another person’s
practicing certificate, certificate of registration to practice law as an
individual, or license to practice law in Vietnam, to practice law.
6. A fine ranging from VND
15.000.000 to VND 30.000.000 shall be imposed for infringing upon the honor,
dignity, or reputation of persons competent to institute legal proceedings.
7. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Practicing law without
obtaining a lawyer’s practicing certificate or before joining a Bar Association;
b) Providing legal
services to clients or displaying a signboard before completing operation
registration procedures for the law practice organization established or
co-established by the lawyer;
c) Personally committing,
or assisting clients in committing, acts in violation of law for the purpose of
delaying, prolonging, causing difficulties to, or obstructing the operations of
presiding agencies and other regulatory authorities;
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dd) Practicing law in
Vietnam without satisfying the eligibility requirements; or without obtaining a
license to practice law in Vietnam, or continuing to practice law after the
license to practice law in Vietnam has been revoked;
e) Engaging in conduct,
speech, or behavior that adversely affects the image or reputation of the legal
profession or causes damage to lawful rights and interests of other agencies,
organizations, or individuals, if not liable to criminal prosecution.
8. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for commission of one of the
following violations:
a) Providing, or instructing
clients to provide, false or untruthful documents or evidence;
b) Inciting clients to
provide false statements or to lodge complaints or denunciations against law;
c) Disclosing information
relating to cases or clients obtained during the practice of law, unless agreed
in writing by the client or otherwise prescribed by law;
d) Colluding or
establishing contacts with presiding officers, persons engaging in proceedings,
or other officials, civil servants, or public employees for the purpose of performing
unlawful acts in the course of hearing or settling cases or matters;
dd) Participating in the
incitement, instigation, bribery, or coercion of others to gather in large
groups to disturb public order or to commit acts in violation of law, if not
liable to criminal prosecution;
e) Providing legal
services or legal consultancy under the guise of lawyers, or impersonating a
lawyer to practice law; displaying a signboard before being granted a lawyer’s
practicing certificate or having joined a Bar Association;
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9. Additional penalties:
a) The lawyer’s practicing
certificate or license to practice law in Vietnam of a foreign lawyer shall be
suspended for a fixed period of 01 - 03 months in case of commission of one of
the violations in Points a, b, c, d, dd, and g Clause 3, and Point a Clause 5
of this Article;
b) The lawyer’s practicing
certificate or license to practice law in Vietnam of a foreign lawyer shall be
suspended for a fixed period of 06 - 09 months in case of commission of one of
the violations in Point b Clause 5, Clause 6, Points c, d and e Clause 7, and
Clause 8 of this Article;
c) The exhibits, including
erased, altered, or falsified notices of registration for defense or for
protection of lawful rights and interests, of the violation in point a Clause 4
of this Article shall be confiscated;
d) The exhibits and/or
instrumentalities used for committing the violation in clause 6 of this Article
shall be confiscated.
10. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified notices of registration for
defense or for protection of lawful rights and interests to issuing authorities
or persons in case of commission of the violation in point a Clause 4 of this
Article, unless such original copies have been confiscated as prescribed in
point c clause 9 of this Article;
a) Enforced return of
illicit gains obtained from the commission of one of the violations in Points
a, b, c, d and h Clause 3, Points b and c Clause 4, Clause 5, Points a, b, d
and dd Clause 7, Points d and e Clause 8 of this Article;
c) Enforced return of
erased, altered, or falsified lawyer’s practicing certificates, certificates of
registration to practice law, or licenses to practice law in Vietnam for
foreign lawyers, to issuing authorities or persons, in case of commission of
the violation in point a Clause 4 of this Article;
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Article
9. Violations against regulations on operations of law practice organizations
1. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to complete
procedures for registration of operation or changes thereto with competent
authorities by the prescribed deadline;
b) Failing to notify
competent authorities or organizations within the prescribed time limit of the
establishment of a law practice organization abroad or the termination of
operation of such overseas organization;
c) Failing to notify or
report within the prescribed time limit to competent authorities or
organizations on registration of operation, changes to operation registration
contents, suspension, resumption, voluntary termination of operation,
consolidation, merger, or conversion of the form of a law practice organization;
d) Failing to notify or
report within the prescribed time limit to competent authorities on the
establishment, suspension, resumption, or voluntary termination of operation of
a branch of a foreign law practice organization, foreign law firm or its branch
in Vietnam;
dd) Failing to notify
competent authorities within the prescribed time limit of the employment of
foreign lawyers;
e) Failing to submit
reports on organization and operation within the prescribed time limit, or
submitting incomplete or inaccurate reports to competent authorities;
g) Publishing information
on registration of operation or changes thereto of a law practice organization
in contravention of regulations in terms of prescribed contents, time limit, frequency,
or form;
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i) Failing to fully
purchase professional liability insurance for lawyers of a law practice
organization;
k) Failing to prepare,
manage, and use prescribed records and forms;
l) Failing to notify
changes to the operation registration contents upon completion of procedures
for registration of operation of a branch of a law practice organization.
2. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to send written
notification to competent authorities or organizations of the establishment of
a law practice organization abroad or the termination of operation of such
overseas organization;
b) Failing to send written
notification or report to competent authorities or organizations on registration
of operation, changes to operation registration contents, suspension,
resumption, voluntary termination of operation, consolidation, merger, or
conversion of the form of a law practice organization;
c) Failing to send written
notification or report to competent authorities on the suspension, resumption,
or voluntary termination of operation of a branch of a foreign law practice
organization, foreign law firm or its branch in Vietnam;
d) Failing to send written
notification of the employment of foreign lawyers to competent authorities;
dd) Failing to submit
reports on organization and operation to competent authorities;
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g) Failing to carry out
procedures for registration of changes to the operation registration contents;
h) Failing to publish on
newspapers, or notify information on the establishment of a foreign law
practice organization in Vietnam;
i) Assigning a supervising
lawyer to concurrently take charge of more than 03 trainee lawyers;
k) Failing to display a
signboard or displaying a signboard containing information inconsistent with
the contents of the operation registration certificate;
l) Accepting trainee
lawyers who do not satisfy the eligibility requirements for legal traineeship
into an organization, or failing to accept trainees assigned by a Bar
Association without justifiable reasons;
m) Failing to purchase
professional liability insurance for lawyers of a law practice organization in
accordance with regulations of law;
n) Failing to assign
qualified persons to work with competent authorities, or failing to provide, or
providing incomplete, inaccurate, or delayed information, documents, or
materials upon request of competent authorities.
3. A fine ranging from VND
15.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying a license for establishment of branch of a foreign law practice
organization, foreign law firm or its branch in Vietnam;
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c) Allowing persons other
than lawyers of a law practice organization to practice law under its name;
d) Operating beyond the
permitted scope of practice or at a location different from the headquarters
specified in the operation registration certificate of a law practice
organization, establishment license or operation registration certificate for a
branch of a foreign law practice organization, a foreign law firm or its branch
in Vietnam;
dd) Failing to assign
lawyers to participate in legal proceedings as designated by the Bar
Association;
e) Operating without
satisfying the requirement that a foreign law practice organization in Vietnam
shall have at least 02 foreign lawyers who are present and practicing law in
Vietnam for 183 days or more within a consecutive period of 12 months,
including the branch's head and director of the foreign law firm;
g) Allowing another
organization to use its operation registration certificate or establishment
license to conduct legal practice activities;
h) Entering into a written
legal service contract that lacks one or more of the required contents as
prescribed by law.
4. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Receiving or claim any
amounts of money or benefits other than the remunerations and expenses agreed
upon in the signed legal service contract;
b) Using the operation
registration certificate of another law practice organization, or the
establishment license or operation registration certificate of a branch of
another foreign law practice organization or foreign law firm or its branch in
Vietnam to conduct legal practice activities;
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d) Changing the contents
of operation of a law practice organization without having been re-issued an
operation registration certificate; or changing the contents of establishment
license or operation registration certificate of a branch of a foreign law
practice organization, foreign law firm or its branch in Vietnam without
obtaining written approval from a competent authority;
dd) Operating beyond the
permitted scope of practice of a branch of a foreign law practice organization,
foreign law firm or its branch in Vietnam.
5. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for commission of one of the
following violations:
a) Providing legal
services without entering into a written legal service contract;
b) Providing legal services
for clients with conflicting interests in the same case or matter;
c) Operating without an
operation registration certificate.
6. A fine ranging from VND
40.000.000 to VND 50.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to follow
operation registration procedures for a law practice organization or its
branch, a branch of a foreign law practice organization, a foreign law firm or
its branch in Vietnam with competent authorities;
b) Providing legal
consultancy, providing legal services, or otherwise operating under the guise
of a law practice organization, or displaying a signboard of a law practice
organization, without being a duly established and registered law practice
organization.
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All operations of the
violating entity shall be suspended for a fixed period of 03 – 06 months in
case of commission of one of the violations in Points c, d and g Clause 3,
Point dd Clause 4, and Points a and b Clause 5 of this Article.
8. Remedial measures:
a) Enforced return of
erased, altered, or falsified establishment licenses or operation registration
certificates to issuing authorities or persons in case of commission of the
violation in Point a or b Clause 3 of this Article;
b) Enforced return of illicit
gains obtained from the commission of one of the violations in Points c and d
Clause 3, and Clauses 4, 5 and 6 of this Article.
Article
10. Violations committed by socio-professional organizations of lawyers
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for failing to submit reports on
organization and operation of a socio-professional organization of lawyers to
competent authorities within the prescribed time limit, or submitting
incomplete or inaccurate reports.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to submit
reports to competent authorities on the plan for organizing a congress or on
the results of such congress;
b) Failing to submit
reports on organization and operation of a socio-professional organization of
lawyers to competent authorities;
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d) Failing to assign law
practice organizations to accept trainee lawyers as prescribed by law.
3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to assign law
practice organizations to appoint their lawyers, or failing to directly appoint
lawyers practicing as individuals, to participate in legal proceedings at the
request of presiding agencies;
b) Carrying out procedures
for registration for legal traineeship or registration for admission to Bar
Associations in contravention of regulations of law and the charter of the
socio-professional organization of lawyers;
c) Failing to request the
revocation of lawyer’s practicing certificates, or making such requests in
contravention of regulations of law;
d) Permitting persons who
do not satisfy the eligibility requirements to sit for the assessment of legal
traineeship results; or issuing certificates of legal traineeship completion to
those who fail the assessment;
dd) Engaging in fraudulent
conduct in certifying or granting certificates of completion of compulsory
professional training and continuing legal education courses;
e) Issuing decisions on
exemption from compulsory professional training and continuing legal education
courses to persons who are ineligible for such exemption;
g) Failing to prepare,
manage, and use the prescribed records and forms.
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Proposed consideration and
handling by competent authorities, organizations, or persons of their issued
documents or papers involving in the violation in point d, dd or e Clause 3 of
this Article.
Section
2. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON LEGAL CONSULTANCY,
PENALTIES, FINES, AND REMEDIAL MEASURES
Article
11. Violations against regulations on operations of legal consultancy centers
and their branches
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to submit
reports on organization and operation, either annually or upon request, to
competent authorities within the prescribed time limit, or submitting
incomplete or inaccurate reports;
b) Failing to notify
competent authorities within the prescribed time limit of the shutdown of a
legal consultancy center, or the establishment or shutdown of its branch.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to display the
fee schedule for legal consultancy services at the headquarters;
b) Failing to submit
reports on organization and operation on an annual basis or upon request to
competent authorities; failing to prepare, manage, and use the prescribed
records and forms;
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d) Failing to display a
signboard or displaying a signboard containing information inconsistent with
the contents of the operation registration certificate;
dd) Allowing persons who
are not legal consultants, collaborators of the legal consultancy center, or
lawyers practicing in an individual capacity working for the legal consultancy
center under employment contracts to provide legal consultancy services under
the name of the legal consultancy center;
e) Assigning persons who
are not lawyers practicing in an individual capacity working for the legal
consultancy center under employment contracts to participate in legal
proceedings to defend, represent, or protect the lawful rights and interests of
agencies, organizations, or individuals requesting legal consultancy;
g) Erasing, altering, or
falsifying operation registration certificate of a legal consultancy center;
h) Providing legal
consultancy services without obtaining an operation registration certificate.
3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Operating beyond the
scope of operation prescribed by law or outside the fields of operation stated
in the operation registration certificate;
b) Failing to carry out
operation registration procedures for a legal consultancy center or its branch
with competent authorities.
4. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed upon an organization without
legal consultancy functions for providing legal consultancy services in any
forms.
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Operations of the
violating entity shall be suspended for a fixed period of 01 – 03 months in
case of commission of the violation in Point e Clause 2 or Point a Clause 3 of
this Article.
6. Remedial measures:
a) Enforced return of
erased, altered, or falsified operation registration certificates to issuing
authorities or persons in case of commission of the violation in Point g Clause
2 of this Article;
b) Enforced return of
illicit gains obtained from the commission of one of the violations in Point h
Clause 2, Point a Clause 3 and Clause 4 of this Article.
Article
12. Violations against regulations on provision of legal consultancy
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in applications for legal consultant card.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying any information on the legal consultant card;
b) Receiving or claiming
any amounts of money or benefits other than remunerations received by a legal
consultancy center or its branch;
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3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Inciting individuals or
organizations requesting legal consultancy services to provide false information
or documents;
b) Inciting individuals or
organizations requesting legal consultancy services to lodge complaints,
denunciations, or lawsuits against the law;
c) Providing legal consultancy
services to parties with conflicting interests in the same case or matter;
d) Disclosing information
relating to cases, individuals, or organizations requesting legal consultancy
services, unless agreed by such individuals or organizations or otherwise
provided by law;
dd) Providing legal
consultancy services without being a legal consultant, or holding oneself out
as a legal consultant while providing legal consultancy services.
4. Additional penalties:
a) The legal consultant
card or lawyer’s practicing certificate shall be suspended for 03 - 06 months
in case of commission of the violation in Point c Clause 2 of this Article;
b) The legal consultant
card or lawyer’s practicing certificate shall be suspended for 06 - 09 months
in case of commission of the violation in Point a, b, c, or d Clause 3 of this
Article;
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5. Remedial measures:
a) Proposed consideration
and handling by competent authorities or persons of their issued legal
consultant cards involving in the violation in Clause 1 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in point c clause 4 of this Article;
c) Enforced return of
erased, altered or falsified legal consultant cards to issuing authorities or
persons in case of commission of the violation in Point a Clause 2 of this
Article.
Section
3. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON NOTARIZATION, PENALTIES,
FINES, AND REMEDIAL MEASURES
Article
13. Violations against regulations on applications for appointment,
re-appointment, or dismissal of notaries; applications for establishment,
registration of operation, and changes thereto; issuance, re-issuance, and
revocation of notary cards
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, included in an application for appointment, re-appointment, or
dismissal of notaries; establishment of a private notary office; registration
of operation of a private notary office or changes thereto; or issuance,
re-issuance, or revocation of notary cards.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to certify, or
providing inaccurate certification of, the period of legal practice, the
duration or results of a notarial traineeship, as basis for application for
appointment or re-appointment of a notary, or for a notarial trainee’s eligibility
to sit for the assessment of notarial traineeship results;
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c) Permitting another
person to use one’s decision on appointment or re-appointment as a notary for
the purpose of establishing a private notary office, or increasing the number
of general partners of a private notary office without actually becoming a
general partner of such private notary office;
d) Using, or permitting
another person to use, a notary’s personal file to apply for the establishment
of a private notary office without the written consent of such notary.
3. Additional penalties:
a) The notary card shall
be suspended for a fixed period of 03 – 06 months in case of commission of the
violation in Point c or d Clause 2 of this Article;
b) The exhibits, including
documents or certifications containing inaccurate information, erased, altered,
or falsified, of the violation in Clause 1 or 2 of this Article shall be
confiscated.
4. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in one of the violations in Clauses 1 and
2 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in point b clause 3 of this Article;
c) Enforced return of
illicit gains obtained from the commission of one of the violations in this
Article.
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1. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or persons
in order to obtain notarization of transactions;
b) Using documents which
are issued by competent authorities, organizations, or persons but whose contents
have been erased, altered, or falsified, for the purpose of obtaining
notarization of transactions.
2. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false or dishonest
witness statements or interpretation;
b) Providing inaccurate
translations of documents or papers required for notarization;
c) Refusing to provide
information or documents serving notarial acts in contravention of law;
refusing, without legal grounds, to carry out legal procedures relating to
notarized transactions.
3. A fine ranging from VND 20.000.000 to VND
30.000.000 shall be imposed for commission of one of the following violations:
a) Impersonating, hiring,
or requesting another person to impersonate a requester for notarization,
witness, notary, interpreter, or person with rights and obligations related to
a transaction; forging the signature of a requester for notarization; or
forging the signature of a notary;
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c) Providing false
information or documents for the purpose of notarization of a transaction;
d) Obstructing notarial
activities.
4. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for commission of one of the following
violations:
a) Commission by an
individual who is not a notary, or an organization that is not a notarial
practice organization, of any of the following acts: making full investment in,
contributing capital, receiving capital contributions, or entering into
association or cooperation for profit-sharing in notarial activities; providing
notarial services; using a name for their organization, enterprise,
cooperative, or cooperative union, or displaying signage or engaging in any
other form of advertising containing information on the provision of notarial
services or other services that may be confused with notarial services;
b) Operating as a notarial
practice organization in any form without actually being a notarial practice
organization;
c) Appropriating or
destroying notarized documents or notarization dossiers of a notarial practice
organization, if not liable to criminal prosecution.
5. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
6. Remedial measures:
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b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in clause 5 of this Article; enforced return of appropriated notarized
documents and notarization dossiers in case of commission of the violation in
point c Clause 4 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point a or b
Clause 4 of this Article.
Article
15. Violations committed by notaries in notarization of wills, inheritance
division agreements, disclaimers of inheritance, acceptance of will custody,
and announcement of deposited wills
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to seal a will
in the presence of the testator when accepting the will for custody; failing to
give a receipt of will custody to the testator upon receipt of the will for
custody; failing to make a receipt of will custody, or making such a receipt
with incomplete information on the notarial practice organization accepting the
will custody, the notary sealing the will, or the testator;
b) Failing to clearly
state in the notarized document that the requester for notarization has not
fully submitted the required documents due to a life-threatening condition of
the testator.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Notarizing an
inheritance division agreement in cases of testamentary succession where there
are grounds to believe that the will is unlawful;
b) Notarizing an
inheritance division agreement containing provisions on the sale and purchase
or donation of property; the transfer or donation of land-use rights in respect
of property or land areas subject to compulsory registration of ownership or
use rights as prescribed by law, unless otherwise prescribed by law.
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a) Notarizing a will whose
contents violate statutory prohibitions or are contrary to social ethics, or
whose form does not comply with legal requirements;
b) Notarizing a will in
case, at the time of notarization, there are signs that the testator lacks full
legal capacity, has limited legal capacity, or has difficulties in awareness
and control of their acts; there are grounds to believe that the making of the
will involves fraud, duress, or coercion; where the testator does not meet the
statutory age requirement for making a will; or where the will is made without
witnesses or without the consent of the parent, or guardian as prescribed by
law;
c) Notarizing an
inheritance division agreement without a death certificate or other documents
proving that the decedent or an heir has died (if any); without a will in cases
of testamentary succession; or without documents proving the relationship
between the decedent and the heirs in cases of intestate succession;
dd) Notarizing a will or
inheritance division agreement in cases where the inheritance consists of
property subject to compulsory registration of ownership or use rights as
prescribed by law, but the requester for notarization fails to provide
documents proving such ownership or use rights of the decedent;
dd) Notarizing an inheritance
division agreement where there are grounds to believe that the disposition or
entitlement to the inheritance is unlawful, except for the cases specified in
points c and d of this Clause;
e) Notarizing a disclaimer
of inheritance in case there are grounds to believe that the heir renounces the
inheritance in order to evade fulfillment of property-related obligations to
other persons;
g) Notarizing a disclaimer
of inheritance without the death certificate or other documents proving that
the decedent has died, or without a will in cases of testamentary succession,
or without documents proving the relationship between the decedent and the
requester for notarization in cases of intestate succession.
4. Additional penalty:
The notary card shall be
suspended for a fixed period of 01 – 03 months in case of commission of one of
the violations in Clause 3 of this Article.
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a) Enforced notification
by the notarial practice organization that is keeping notarization dossiers to
relevant agencies, organizations, and individuals, of any of the violations in
point a Clause 2, and Clause 3 of this Article;
b) Enforced return of
illicit gains obtained from the commission of one of the violations in Clause 3
of this Article.
Article
16. Violations against regulations on notarial practice activities
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to number each
page of a notarized document consisting of 02 pages or more;
b) Rectifying technical
errors in notarized documents against regulations;
c) Failing to present the
notary card while engaging in notarial practice;
d) Failing to fully
participate in annual professional training or continuing education courses for
notaries as prescribed.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for the commission of one of the
following violations:
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b) Failing to conduct
notarization within the prescribed time limit;
c) Failing to comply with
the prescribed working days and hours of the notarial practice organization,
except in cases of force majeure or for legitimate reasons;
d) Harassing or causing difficulties
to requesters for notarization;
dd) Failing to join the
local Notary Association in the administrative division where the notary
practices, or failing to maintain membership status throughout the period of
notarial practice in such administrative division;
e) Failing to participate
in annual professional training or continuing education courses for notaries,
unless otherwise prescribed by law;
g) Failing to use
Vietnamese as the spoken or written language in notarization;
h) Notarizing a transaction
in case the notarization dossier contains documents which are issued by
competent authorities, organizations, or persons but have been erased, altered,
or falsified;
i) Supervising a notarial
traineeship without satisfying the eligibility requirements, or supervising
more than 02 notarial trainees at the same time;
k) Failing to properly
perform the obligations of a notarial trainee supervisor as prescribed by law;
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3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Disclosing information
on the contents of notarization without the written consent of the requester
for notarization, unless otherwise prescribed by law;
b) Carrying out
notarization in the absence of the notary’s signature, or the signature or
fingerprint of the requester for notarization on each page of the transaction;
c) Carrying out
notarization without examining and comparing the original documents included in
the notarization dossier as prescribed before recording the notarial
certification and signing each page of the transaction;
d) Receiving or claiming
any amounts of money or other benefits from the requester for notarization in
addition to notarization fees, predetermined fees or charges for
notarization-related on-demand service, and other agreed-upon costs;
dd) Failing to directly
witness the requester for notarization, the witness, or the interpreter signing
or affixing fingerprints on each page of the transaction, unless otherwise
provided by law;
e) Recording a notarial
certification in a notarized document with incomplete information as
prescribed, or with inaccurate information on the name of the transaction, the
parties to the transaction, or the time or place of notarization;
g) Failing to provide
guidance or explanations to the requester for notarization to ensure their full
understanding of their rights, obligations, lawful interests, and the legal
significance and consequences of notarization;
h) Engaging in the
management of enterprises, cooperatives, or cooperative unions in addition to a
notarial practice organization; engaging in brokerage or agency activities;
sharing profits from transactions that one notarizes; conducting production,
business, or service provision activities beyond the prescribed scope of
notarization and certification;
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k) Notarizing a
transaction where the signatory lacks authority or exceeds their representative
authority;
l) Conducting notarization
when clearly knowing that the witness does not meet eligibility requirements as
prescribed;
m) Failing to conduct verification
or request an expert assessment in case such verification or assessment is
requested by the requester for notarization;
n) Failure of a notary to
compare the signature of the authorized signatory of a credit institution,
enterprise, cooperative, or cooperative union with the specimen signature
registered at the notarial practice organization prior to notarization;
notarizing a transaction where such authorized signatory has not registered a
specimen signature at the notarial practice organization but has already signed
the transaction;
o) Notarizing a
transaction without grounds to determine ownership of common property or
separate property involved in the transaction;
p) Creating an electronic
notarized document without ensuring all required elements as prescribed;
q) Converting a paper
notarized document into an electronic notarized document or vice versa in
contravention of regulations;
r) Failing to witness the
parties to the transaction, the witness, or the interpreter affixing their
digital signatures to the notarized document, unless otherwise prescribed by
law;
s) Failing to verify the
validity of digital signatures affixed by the parties to a transaction prior to
affixing the notary’s digital signature and timestamp to the notarial certification.
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a) Notarizing a
transaction involving real estate located outside the province or city where
the notarial practice organization is headquartered, except for notarization of
wills or disclaimers of inheritance involving real estate, and powers of
attorney relating to the exercise of real estate-related rights, agreements on
matrimonial property regimes concerning real estate, or notarization of
amendment, termination, or cancellation of such transactions in accordance with
the law;
b) Notarizing a
translation involving property or interests of the notary himself/herself or of
his/her relatives, including spouse; biological or adoptive parent; biological
or adoptive parent of the spouse; biological or adopted child, son-in-law, or
daughter-in-law; paternal or maternal grandparent; biological sibling; sibling
of the spouse; or grandchild who is a child of either biological or adopted
child;
c) Notarizing amendment,
cancellation, or termination agreement of a notarized transaction without
written agreement or commitment of all parties to such transaction, unless
otherwise prescribed by law;
d) Notarizing amendment,
cancellation, or termination agreement of a notarized transaction at a place
other than the notarial practice organization that originally notarized the
transaction or the notarial practice organization currently keeping the
notarization dossier, unless otherwise prescribed by law;
dd) Notarizing a
transaction in case there are no grounds to determine ownership or use rights
over the property involved, except in cases prescribed in Point o Clause 3 of
this Article;
e) Notarizing a
transaction whose purposes, parties, or contents violate the law or social
ethics; inciting or facilitating parties to carry out sham transactions or
other fraudulent acts;
g) Erasing, altering, or
falsifying decisions on appointment or re-appointment of notaries or notary
cards;
h) Receiving or claiming
any amount of money or other benefits from third parties to perform or refrain
from performing notarization;
i) Forcing individuals or
organizations to use one’s services; colluding or conspiring with others to falsify
contents of notarization dossiers or notarized documents;
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l) Using information on the
contents of notarization to infringe upon lawful rights and interests of
individuals and organizations;
m) Conducting notarization
without a witness in cases where the requester for notarization is unable to
read, hear, sign, or affix fingerprints, or in other cases as prescribed by law;
n) Paying brokerage
commissions or discounts to notarization requesters or intermediaries;
o) Notarizing a
transaction without original documents in the notarization dossier where such
original documents are required by law;
p) Conducting notarization
involving assets which have been subject to preventive measures imposed by
competent authorities, organizations, or persons, unless otherwise prescribed
by law;
q) Engaging in notarial
practice in 02 or more notarial practice organizations simultaneously or
concurrently holding other regular tasks; simultaneously acting as bailiff,
lawyer, auctioneer, asset management officer, legal consultant, or valuer;
working under public employee contracts or employment contracts with
enterprises, cooperatives, cooperative unions, or other organizations; or
engaging in work that regularly requires working during office hours;
r) Advertising notaries or
notarial practice organizations on mass media.
5. A fine ranging from VND
15.000.000 to VND 25.000.000 shall be imposed for commission of one of the
following violations:
a) Using another person’s
notary card or allowing others to use one’s notary card to engage in notarial
practice;
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c) Performing online
electronic notarization for wills or other unilateral legal acts in civil
transactions;
d) Performing electronic
notarization on platforms that do not meet the prescribed conditions.
6. A fine ranging from VND
25.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Practicing notarization
without satisfying the notarial practice conditions as prescribed by law,
except the violation prescribed in Point b Clause 5 of this Article;
b) Notarizing a
transaction without the full signatures of the parties to the transaction,
except cases where the violation is subject to the penalty prescribed in point
b Clause 3 of this Article;
c) Making full investment
in or contributing capital with another notary to establish, or receiving the
full transfer of capital contributions from all general partners of a private
notary office organized and operating as a partnership, without becoming a general
partner of that private notary office; transferring or withdrawing capital
contributions in contravention of regulations of law;
d) Contributing capital,
receiving capital contributions, or cooperating with other organizations or
individuals who are not notaries to establish or receive the full transfer of
capital contributions from all general partners of a private notary office
organized and operating as a partnership;
dd) Making investment in
the establishment or acquisition of a private notary office organized and
operating as a sole proprietorship, without acting as the Head of that private
notary office.
7. The notary card shall
be suspended for a period of 09 – 12 months for the commission of one of the
following violations:
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b) Notarizing a
transaction without the signatures of the parties to the transaction, except
cases where the violation is subject to the penalty prescribed in point b
Clause 6 of this Article;
c) Transferring or
receiving the transfer of a private notary office that has been in operation
for less than 02 years.
8. Additional penalties:
a) The notary card shall
be suspended for a fixed period of 01 – 03 months in case of commission of the
violation in Point c, dd, i, l, m or p Clause 3 or Point c Clause 4 of this
Article;
b) The notary card shall
be suspended for a fixed period of 03 – 06 months in case of commission of the
violation in Point a, b, d, dd, e, h, i, k, l, m, n, o, p, or q Clause 4 of
this Article;
c) The notary card shall
be suspended for a fixed period of 06 – 09 months in case of commission of the
violation in Point c, d or dd Clause 6 of this Article;
d) Erased, altered, or
falsified documents involving in the violation in point l Clause 2 of this
Article; the exhibits, including erased, altered, or falsified decision on
appointment or re-appointment of notary, of the violation in Point g Clause 4
of this Article shall be confiscated.
9. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents in case of
commission of the violation in point l Clause 2 of this Article; or the
original copy of the erased, altered, or falsified decision on appointment or
re-appointment of notary, in case of commission of the violation in Point g
Clause 4 of this Article, to the issuing authorities or persons, unless such
original copies have been confiscated as prescribed in point d Clause 8 of this
Article;
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c) Enforced notification
by the notarial practice organization that is keeping notarization dossiers or
where the subject notary is engaging in notarial practice to agencies,
organizations, and individuals with related rights and obligations, of any of
the violations in Points n and p Clause 3, points a, b, c, d, dd, e, o and p
Clause 4, Clause 5 and Clause 6 of this Article;
d) Enforced return of
erased, altered, or falsified notary card to the issuing authority or person in
case of commission of the violation in Point g Clause 4 of this Article;
dd) Enforced return of
capital contributions or termination of unlawfully concluded cooperation
agreements in case of commission of the violation in point c, d or dd clause 6
of this Article.
Article
17. Violations against regulations on operation of notarial practice
organizations
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to post, or
posting incompletely, working hours; notarization procedures; internal rules
for receipt of notarization requesters; notarization fees, fees or charges for
notarization-related on-demand services, and other costs at the notarial
practice organization’s headquarters;
b) Publishing information
on operation registration on newspapers in contravention of regulations of law
in terms of prescribed time limit, contents, or frequency;
c) Failing to comply with,
or insufficiently implementing, reporting obligations; submitting inaccurate
reports on organization and operation of the notarial practice organization;
d) Creating, managing, or
using registers, records, books or document forms in notarial activities in
contravention of regulations;
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e) Displaying a signboard
without using the prescribed form, or with information inconsistent with the
contents of the operation registration certificate;
g) Assigning notarial
trainee supervisors in contravention of regulations;
h) Refusing to accept
notarial trainees assigned by the relevant provincial-level Department of
Justice without legitimate grounds;
i) Refusing to receive a
will for custody without legitimate grounds, or refusing to accept a request
for announcement of a will lawfully made by an heir;
k) Failing to maintain the
satisfaction of the requirements regarding headquarters of the notarial
practice organization as prescribed;
l) Failing to assign and
indicate the notarization number on the notarized document, or failing to affix
the seal of the notarial practice organization to the notarized document
already signed by the notary, or failing to affix a cross-page seal for a
document consisting of 02 or more pages, or failing to deliver the original
notarized document to the requester;
m) Failing to maintain
continuous professional liability insurance policies for notaries of a notarial
practice organization;
n) Failure of a notarial
practice organization to facilitate its notaries’ participation in annual
professional training or continuing education courses for notaries;
o) Failure of a notarial
practice organization whose name is changed to apply for re-issuance of notary
cards to its notaries;
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q) Failure of a notarial
practice organization to assign its notary to carry out will announcement
procedures, or assigning a notary other than the one who is currently working
at the notarial practice organization and has been designated by the testator
to announce his/her will;
r) Failing to certify and
affix the seal of a notarial practice organization on a copy of the will
confirming that it is copied from the will deposit file.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to complete
operation registration procedures within the prescribed time limit;
b) Failing to publish
information on operation registration on newspapers as prescribed;
c) Failing to submit
reports as prescribed;
d) Failing to display a
signboard as prescribed;
dd) Failing to create
registers for notarial activities as prescribed;
e) Charging
notarization-related on-demand services at a rate higher than the maximum rate
promulgated by the relevant provincial-level People’s Committee or higher than
the posted rate; collecting other costs at rates higher than the agreed-upon
ones;
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h) Failing to comply with
regulations on working days and working hours applicable to state
administrative agencies, unless otherwise prescribed by law;
i) Posting notices of
acceptance of requests for notarization of inheritance division agreements in
contravention of regulations in terms of prescribed time limit, location, or
required information;
k) Failing to update the
notarization database software with information on the origin and transaction
status of property, and other information on preventive measures applied to the
property involving transactions notarized by notaries of a notarial practice
organization;
l) Failing to comply with
regulations on the minimum premium or time limit for purchasing professional
liability insurance, or failing to purchase professional liability insurance
for all notaries of a notarial practice organization as prescribed;
m) Failing to take
photographs of the notarization requester signing or fingerprinting the
notarized document in the presence of the notary, unless otherwise prescribed
by law; or failing to meet the requirements for such photographs of the
notarization requester signing or fingerprinting the notarized document in the
presence of the notary.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering or
falsifying a decision on approval for establishment or operation registration
certificate of a private notary office;
b) Failing to purchase
professional liability insurance for notaries of a notarial practice
organization;
c) Storing notarization
dossiers outside the headquarters of a notarial practice organization without
the written approval of the relevant provincial-level Department of Justice;
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dd) Admitting new general
partners or terminating the status of a general partner of a private notary
office in contravention of regulations of law;
e) Failure of a notarial
practice organization to ensure that its notaries and employees comply with
regulations on working days and working hours;
g) Failing to reach
agreement with the testator on transferring the will to another notarial
practice organization for custody prior to termination of operation,
conversion, or dissolution; failing to return the will and custody fee to the
testator where no agreement is reached or where no agreement can be reached
prior to termination, conversion, transfer, or dissolution; or failing to
transfer the custody of the will to the notarial practice organization
receiving notarization dossiers in cases where contact with the testator cannot
be established;
h) Failing to formulate
the Charter of a private notary office in accordance with regulations;
i) Failing to convert
paper notarization dossiers into electronic data messages for electronic
storage in accordance with regulations.
4. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to follow
operation registration procedures as prescribed;
b) Failing to follow
procedures for registration of changes in the name of a private notary office,
full name of its head, its headquarters address, list of general partners, or
list of notaries working under employment contracts of the private notary
office;
c) Advertising notaries
and its own organization on the mass media;
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dd) Failing to retain
notarization dossiers;
e) Losing notarization
dossiers or deposited wills, except in cases of force majeure events;
g) Paying brokerage commissions
or discounts to notarization requesters or intermediaries;
h) Failing to receive
notarization dossiers as designated by the provincial-level Department of
Justice in accordance with regulations of law;
i) Providing electronic
notarization services without meeting the prescribed conditions;
k) Providing electronic
notarization services to persons who are ineligible to use such services.
5. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for commission of one of the following
violations:
a) Operating when a
private notary office formed through consolidation, transfer, or merger has not
yet been granted, re-granted, or had its operation registration certificate
amended;
b) Establishing branches,
representative offices, or other establishments or transaction locations
outside the headquarters of the notarial practice organization.
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a) Failing to enter
information on notarization dossiers into the notarization register;
b) Relocating the
headquarters of a private notary office in contravention of regulations;
c) Accepting capital
contributions into a private notary office from a person who is not a general
partner of that private notary office;
d) Making full investment
in or contributing capital with other organizations and/or individuals to
establish, or receive the transfer of a private notary office organized and
operating as a partnership, or establish or acquire a private notary office
organized and operating as a sole proprietorship;
dd) Hiring a person who is
not the Head of a private notary office to manage it, or leasing out a private
notary office organized and operating as a sole proprietorship;
e) Allowing persons who
are not qualified to perform notarial practice activities, or notaries who are
subject to suspension from notarial practice, to perform notarization or
certification at the notarial practice organization; allowing notaries to perform
notarization or certification at the notarial practice organization whose
decision on approval for establishment has been revoked.
7. Additional penalties:
a) Operations of the
violating entity shall be suspended for a fixed period of 01 – 03 months in
case of commission of the violation in Point b or d Clause 6 of this Article;
b) Operations of the
violating entity shall be suspended for a fixed period of 03- 06 months in case
of commission of the violation in Point b Clause 5, or Point dd or e Clause 6
of this Article;
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8. Remedial measures:
a) Enforced return of
illicit gains obtained from the commission of one of the violations in Points e
and g Clause 2, Points a and c Clause 4, Clause 5, and Clause 6 of this Article;
b) Enforced return of
original copy of erased, altered, or falsified decision on approval for
establishment of the private notary office to the issuing authority or person
in case of commission of the violation in point a Clause 3 of this Article,
unless such original copy has been confiscated as prescribed in point c clause
7 of this Article;
c) Enforced return of
erased, altered, or falsified operation registration certificate of the private
notary office to the issuing authority or person in case of commission of the
violation in Point a Clause 3 of this Article;
d) Enforced notification
by the notarial practice organization that is keeping notarization dossiers to
relevant agencies, organizations, and individuals, of any of the violations in
Clause 6 of this Article;
dd) Enforced return of
capital contributions in case of commission of the violation in point c or d
clause 6 of this Article;
e) Enforced restoration to
original conditions in case of commission of the violation in point b Clause 6
of this Article.
Article
18. Violations committed by socio-professional organizations of notaries
1. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
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b) Failure of a Notary
Association to participate in the transfer of notarization dossiers between a
dissolved public notary office, or private notary office that has ceased
operations, and another notarial practice organization as prescribed.
2. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Failure of Vietnam
Notary Association to submit reports to the Ministry of Justice of Vietnam on
the scheme for organizing the term general assembly, personnel plan, and
results of the general assembly;
b) Refusal by a Notary
Association of an application for its membership without legitimate grounds;
c) Failure of a Notary Association
to issue certificates to notaries who have successfully completed annual
professional training or continuing education courses that it organized.
Section
4. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON CERTIFICATION, PENALTIES,
FINES, AND REMEDIAL MEASURES
Article
19. Violations against regulations on certification of copies from originals,
and authentication of signatures
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying the contents of the original document to request the certification
of a copy thereof.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
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b) Making
certification/authentication outside the premises of the
certifying/authenticating body, unless otherwise prescribed by law;
c) Refusing a
certification/authentication request in contravention of regulations of law;
d) Failing to specify or
unclearly specifying the place of certification/authentication; making
certification/authentication outside the premises of the
certifying/authenticating body without specifying time (hours and minutes) of
certification/authentication;
dd) Failing to specify
complete certification/authentication statement as prescribed;
e) Failing to authenticate
the signatures or fingerprints of all persons who have signed or fingerprinted;
g) Failing to arrange
personnel to receive certification/authentication requests during working days
and hours of state administrative agencies as prescribed; failing to publicly
post the working schedule, authority, procedures, processing time, and
certification/authentication fees and costs at the premises of the
certifying/authenticating body;
h) Creating, managing and
using certification/authentication registers against regulations of law.
3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Forging signature of
the certifying/authenticating officer;
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c) Authenticating a
signature where the person requesting authentication has not signed in the
presence of the authenticating officer or the officer receiving the request for
signature authentication;
d) Failing to write
certification statement in the certified document;
dd) Retaining
authentication registers or documents bearing authenticated signatures in
contravention of regulations;
e) Failing to submit
statistical reports as prescribed;
g) Certifying copies from
originals, authenticating signatures or fingerprints, or performing
authentication in cases where the requester is unable to sign or affix a
fingerprint, without recording such certification/authentication in the
certification/authentication registers.
4. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Receiving or claiming
any amounts of money or benefits from certification/authentication requesters
other than the certification/authentication fees and charges which have been
publicly posted;
b) Certifying copies from
original documents which have been erased, altered, or have words added or removed
unlawfully, or which have been damaged, rumpled, or illegible as to their
contents;
c) Certifying copies from
original documents which have been issued, notarized, or certified by foreign
competent authorities, organizations, or persons but do not bear consular
legalization, unless they are exempted from consular legalization in accordance
with law, international treaties to which Vietnam is a signatory, or the
principle of reciprocity;
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dd) Certifying copies from
original documents which are created by individuals but do not bear
certification and official seals of competent authorities or organizations;
e) Authenticating
signatures in cases where the authentication requester presents an electronic
identity, citizen identity card, identity card, identity certificate, passport,
travel document, or international travel document that has expired or is no
longer valid;
g) Authenticating
signatures, fingerprints, or performing authentication in cases where the
requester is unable to sign or affix a fingerprint on documents or papers
containing transactional information, unless otherwise prescribed by law;
h) Authenticating
signatures, fingerprints, or performing authentication in cases where the
requester is unable to sign or affix a fingerprint on documents or papers relating
to the property or interests of the authenticating officer himself/herself or
of his/her relatives, including spouse; biological or adoptive parent;
biological or adoptive parent of the spouse; biological or adopted child,
son-in-law, or daughter-in-law; paternal or maternal grandparent; biological
sibling; sibling of the spouse; or grandchild who is a child of either
biological or adopted child.
5. The notary card shall
be suspended for a period of 09 – 12 months for the commission of one of the following
violations:
a) Authenticating
signatures, fingerprints, or performing authentication in cases where the
requester is unable to sign or affix a fingerprint on documents or papers
containing contents contrary to law or social ethics; disseminating information
on or inciting war; opposing the socialist regime of Vietnam; distorting the
history of the Vietnamese nation; infringing upon the honor, dignity, or
reputation of individuals or organizations; or infringing upon citizenship
rights;
b) Certifying copies from
originals without comparing contents of such copies with those of original
documents;
c) Authenticating
signatures, fingerprints, or performing authentication in cases where the
requester is unable to sign or affix a fingerprint, when at the time of
authentication the requester is not in good sound mind and incapable of
behavior control.
6. Additional penalties:
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b) The notary card shall
be suspended for a fixed period of 06 – 09 months in case of commission of the
violation in Point a, b, c, d, dd, e, or h Clause 4 of this Article;
c) The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
7. Remedial measures:
a) Enforced notification
by the notarial practice organization performing certification/authentication
on the web portal of the People's Committee of province or city where it is
headquartered of the certified/authenticated documents involving the violation
in point e or g clause 2, point a, b, c or g clause 3, clause 4 or clause 5 of
this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in point c clause 6 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point a Clause 4
of this Article.
Article
20. Violations against regulations on certification of transactions
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or persons
for the purpose of obtaining certification of a transaction.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for using forged personal
documents to obtain certification of a transaction.
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4. Additional penalty:
The exhibits, including
erased, altered, falsified, or forged documents, of the violation in Clause 1
or 2 of this Article shall be confiscated.
5. Remedial measures:
a) Enforced notification
by the certifying body that is keeping certification dossiers to agencies, organizations,
and individuals with related rights and obligations, of any of the violations
in Clauses 1, 2, and 3 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in clause 4 of this Article.
Article
21. Violations against regulations on certification of translators’ signatures
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents to be translated, or foreign language diplomas or
certificates of translators as prescribed by law.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for the commission of one of the
following violations:
a) Forging signature of
the certifying officer;
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c) Refusing a
certification request in contravention of regulations of law;
d) Failing to arrange
personnel to receive certification requests during working days and hours of
state administrative agencies as prescribed; failing to publicly post the
working schedule, authority, procedures, processing time, and certification
fees and costs at the premises of the certifying body;
dd) Failing to post, or
incompletely posting, the list of translation collaborators at the premises of
the organization;
e) Failing to specify or unclearly
specifying the place of certification;
g) Specifying
certification statements in contravention of regulations;
h) Creating, managing and
using certification registers against regulations of law;
i) Failure of a
translation collaborator to re-register his/her specimen signature upon change,
as prescribed by law.
3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for the commission of one of the
following violations:
a) Providing inaccurate
translations of documents or papers required for translation;
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c) Failing to number the
pages of a translation consisting of 02 or more pages; failing to obtain the
signatures of both the translator and the certifying officer on each page of
the translation; failing to write the total number of pages and sheets, and to
include the certification statement on the last page or the page immediately
following the last page of the translation; or failing to affix a cross-page
seal to the translation consisting of 02 or more sheets;
d) Failing to write the
certification statement for certification of the translator's signature in the
certified document;
dd) Receiving or claiming
any amounts of money or benefits from certification requesters other than the
publicly posted fees and charges for certification of translators’ signatures;
e) Retaining certification
registers or documents bearing certified translators’ signatures in
contravention of regulations;
g) Failing to submit
statistical reports as prescribed;
h) Certifying a
translator’s signature without recording such certification in the
certification register;
i) Failing to verify
eligibility conditions and standards of translation collaborators; failing to
enter into contracts with translation collaborators or entering into such
contracts which do not contain adequate information as required; or failing to
compile a list of translation collaborators and submit it to the relevant
provincial-level Department of Justice for approval.
4. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for using forged personal
documents for translating documents or requesting certification of a
translator’s signature.
5. Additional penalties:
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b) The notary card shall
be suspended for a fixed period of 03 – 06 months in case of commission of the
violation in Point b or dd Clause 3 of this Article.
6. Remedial measures:
a) Enforced notification
by the certifying body or organization that is keeping certification dossiers
on the web portal of the relevant provincial-level People's Committee of the
certified translations involving the violation in point e or g clause 2, point
a, b, c, d or h clause 3, or clause 4 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in point a clause 5 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point dd Clause
3 of this Article.
Section
5. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON ANTI-MONEY LAUNDERING,
COUNTER-TERRORIST FINANCING, AND COUNTERING THE FINANCING OF PROLIFERATION OF
WEAPONS OF MASS DESTRUCTION IN FIELD OF JUDICIAL SUPPORT, PENALTIES, FINES, AND
REMEDIAL MEASURES
Article
22. Administrative violations against regulations on anti-money laundering,
counter-terrorist financing, and countering the financing of proliferation of
weapons of mass destruction in field of judicial support
1. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed upon a lawyer or notary for
commission of one of the following violations:
a) Failing to implement
customer identification measures as prescribed;
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2. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed upon a lawyer or notary for
commission of one of the following violations:
a) Failing to keep
confidentiality of information and documents;
b) Failing to carry out
risk-based customer classification, or carrying out such risk-based customer
classification in contravention of regulations;
c) Failing to submit
reports on large-value transactions;
d) Failing to submit
reports on suspicious transactions involving money laundering, terrorism
financing, or financing of proliferation of weapons of mass destruction;
dd) Failing to provide
information, providing false information, or providing information in
contravention of regulations, if not liable to criminal prosecution;
e) Failing to carry out
assessment of risks of money laundering, terrorism financing, and financing of
proliferation of weapons of mass destruction, or failing to update the results
hereof using the prescribed forms;
g) Failing to submit
reports on postponement of transactions where the parties to the transaction
are included in the blacklist or where there are grounds to believe that the
requested transaction is related to criminal activities.
3. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed upon a lawyer or notary for
obstructing the provision of information serving the performance of such tasks
of anti-money laundering, counter-terrorist financing, and countering the
financing of proliferation of weapons of mass destruction.
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5. A fine ranging from VND
40.000.000 to VND 60.000.000 shall be imposed upon a law practice organization
or notarial practice organization for commission of one of the following
violations:
a) Committing one of the
violations specified in clause 2 of this Article;
b) Failing to provide
training or refresher training courses in anti-money laundering,
counter-terrorist financing, and countering the financing of proliferation of
weapons of mass destruction, or providing such courses in contravention of
regulations of law;
c) Failing to submit
reports within the prescribed time limits in accordance with regulations of law
on anti-money laundering, counter-terrorist financing, and countering the
financing of proliferation of weapons of mass destruction.
6. A fine ranging from VND
60.000.000 to VND 80.000.000 shall be imposed upon a law practice organization
or notarial practice organization for commission of one of the following
violations:
a) Failing to promulgate internal
regulations or promulgating internal regulations in contravention of
regulations of law on anti-money laundering, counter-terrorist financing, and
countering the financing of proliferation of weapons of mass destruction;
b) Failing to assign
persons responsible for anti-money laundering compliance; failing to establish
a specialized department or designate a department or person in charge of
anti-money laundering compliance; failing to register information of the person
responsible for anti-money laundering compliance as prescribed;
c) Failing to conduct
internal audit or internal control in accordance with regulations of law on
anti-money laundering, counter-terrorist financing, and countering the
financing of proliferation of weapons of mass destruction;
d) Committing the
violation specified in clause 3 of this Article.
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a) The notary card of the
person committing the violation in clause 3 of this Article shall be suspended
for a fixed period of 09 - 12 months;
b) The lawyer’s practicing
certificate or license to practice law on Vietnam (for a foreign lawyer) of the
person committing the violation in clause 3 of this Article shall be suspended
for a fixed period of 09 - 12 months;
c) Operations of the law
practice organization or notarial practice organization committing the
violation in point d clause 6 of this Article shall be suspended for a fixed
period of 06 – 09 months.
8. Remedial measures:
a) Enforced compliance
with regulations on identification, updating and verification of customer
identification information in case of commission of the violation in clause 1
of this Article;
b) Enforced re-submission
of complete and accurate reports as prescribed in case of commission of the
violation in point c, d, or g, clause 2 of this Article;
c) Enforced rectification
of the false or inaccurate information in case of commission of the violation
in point dd clause 2 of this Article;
d) Enforced compliance
with regulations on assessment of risks of money laundering, terrorism financing,
and financing of proliferation of weapons of mass destruction in case of
commission of the violation in point e clause 2 of this Article;
dd) Enforced promulgation
of internal regulations in compliance with applicable laws, or annulment of
internal regulations that are inconsistent with applicable laws in case of
commission of the violation in point a clause 6 of this Article;
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Section
6. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON JUDICIAL EXPERTISE,
PENALTIES, FINES, AND REMEDIAL MEASURES
Article
23. Violations against regulations on appointment and re-appointment of
judicial experts; applications for establishment and operation registration of
judicial expertise offices; changes to operation registration contents,
re-issuance of operation registration certificates of judicial expertise
offices; modification and addition of fields of judicial expertise; conversion
of organizational form of judicial expertise offices; issuance and re-issuance
of judicial expert cards
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in applications for appointment or re-appointment of
judicial experts; or for issuance or re-issuance of judicial expert cards;
b) Making untruthful
declarations in applications for appointment or re-appointment of judicial
experts; or for issuance or re-issuance of judicial expert cards.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents or papers issued by competent authorities, organizations,
or persons, and included in an application for establishment or operation
registration of a judicial expertise office; approval of changes to operation
registration contents, or re-issuance of operation registration certificate;
modification or addition of fields of judicial expertise; or conversion of
organizational form of a judicial expertise office;
b) Making untruthful
declarations in an application for establishment or operation registration of a
judicial expertise office; approval of changes to operation registration
contents, or re-issuance of operation registration certificate; modification or
addition of fields of judicial expertise; or conversion of organizational form
of a judicial expertise office.
3. Additional penalty:
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4. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in one of the violations in Clauses 1 and
2 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point a Clause
1 or Point a Clause 2 of this Article, unless such original copies have been
confiscated as prescribed in Clause 3 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in clause 1 or
clause 2 of this Article.
Article
24. Violations against regulations applicable to persons requesting judicial
expertise
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for providing incomplete or
inaccurate information or documents concerning the subject matter of judicial
expertise at the request of the individual or organization conducting the
judicial expertise.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for forging or falsifying the
subject matter of judicial expertise.
3. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for inciting or forcing a
judicial expert to issue a false conclusion, if not liable to criminal
prosecution.
4. Remedial measure:
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Article
25. Violations committed by judicial experts
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Prolonging the time for
conducting judicial expertise without legitimate grounds;
b) Failing to punctually
and fully record the entire process of conducting judicial expertise;
c) Failing to fully comply
with regulations on preparation, retention, and management of judicial
expertise dossiers;
d) Failing to provide
explanations of the expert conclusion at the request of the requesting or
requisitioning party without legitimate reasons.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Swapping or otherwise
falsifying the subject matter of judicial expertise;
b) Failing to preserve
specimens or documents related to the judicial expertise;
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d) Failing to prepare and
retain judicial expertise dossiers;
dd) Failing to conduct the
judicial expertise according to the requested contents;
e) Failing to comply with
judicial expertise procedures or professional regulations during the conduct of
judicial expertise;
g) Erasing, altering, or
falsifying the expert conclusions;
h) Issuing an expert
conclusion which does not meet the requirements regarding its form or contents;
i) Making conclusions on
matters beyond the requested scope of expertise.
k) Refusing to receive or
conduct requests for judicial expertise without legitimate reasons.
3. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for the commission of one of the
following violations:
a) Abusing the conduct of
the judicial expertise for personal gain;
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c) Refusing to issue
expert conclusions without legitimate reasons, if not liable to criminal
prosecution;
d) Issuing a false expert
conclusion, if not liable to criminal prosecution;
dd) Conducting judicial
expertise in case where such request for judicial expertise must be refused as
prescribed by law;
e) Dishonestly recording
results during the process of conducting the judicial expertise, if not liable
to criminal prosecution.
4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Point g Clause 2
of this Article shall be confiscated.
5. Remedial measures:
a) Proposed consideration
by the authority competent to institute legal proceedings of the use of the
expert conclusion when one of the violations in Points a, dd, e and g Clause 2,
Points d, dd and e Clause 3 of this Article is detected and affects such expert
conclusion;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point g Clause
2 of this Article, unless such original copies have been confiscated as prescribed
in clause 4 of this Article;
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Article
26. Violations committed by judicial expertise offices
1. A fine ranging from VND
6.000.000 to VND 14.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to fully comply
with regulations on preparation, retention, and management of judicial
expertise dossiers;
b) Failing to provide
conditions necessary for judicial experts to conduct expertise;
c) Failing to provide
explanations of the expert conclusion at the request of the requesting or
requisitioning party without legitimate reasons;
d) Failing to give
notification of refusal to conduct judicial expertise to the requesting or
requisitioning party by the prescribed deadline, or failing to give such
notification as prescribed.
2. A fine ranging from VND
14.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Swapping or otherwise
falsifying the subject matter of judicial expertise;
b) Failing to preserve
specimens or documents related to the judicial expertise;
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d) Failing to conduct the judicial
expertise according to the requested contents;
dd) Failing to comply with
judicial expertise procedures or professional regulations during the conduct of
judicial expertise;
e) Interfering with, or
obstructing, the conduct of judicial expertise by a judicial expert;
g) Erasing, altering, or
falsifying the expert conclusions;
h) Failing to assign a
person to conduct the judicial expertise, or assigning a person whose
professional qualifications are not appropriate to the contents of the
solicited or requested judicial expertise;
i) Issuing an expert
conclusion which does not meet the requirements regarding its form or contents;
k) Making conclusions on
matters beyond the scope of the requested judicial expertise;
l) Refusing to receive or
conduct requests for judicial expertise without legitimate reasons.
3. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
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b) Refusing to issue
expert conclusions without legitimate reasons, if not liable to criminal
prosecution;
c) Issuing a false expert
conclusion, if not liable to criminal prosecution;
d) Conducting judicial
expertise in case where such request for judicial expertise must be refused as
prescribed by law;
dd) Dishonestly recording
results during the process of conducting the judicial expertise, if not liable
to criminal prosecution.
4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Point g Clause 2
of this Article shall be confiscated.
5. Remedial measures:
a) Proposed consideration
by the authority competent to institute legal proceedings of the use of the
expert conclusion when one of the violations in Points a, d, dd, g and h Clause
2, Points c, d, and dd Clause 3 of this Article is detected and affects such
expert conclusion;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point g Clause
2 of this Article, unless such original copies have been confiscated as
prescribed in clause 4 of this Article;
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Section
7. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON PROPERTY AUCTION,
PENALTIES, FINES AND REMEDIAL MEASURES
Article
27. Violations against regulations on applications for issuance and re-issuance
of auctioneer practicing certificates; applications for operation registration
of property auction enterprises and their branches; applications for approval
of changes to operation registration contents and re-issuance of operation
registration certificates of property auction enterprises
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for issuance or re-issuance of
auctioneer practicing certificate, or an application for operation registration
of a property auction enterprise or its branch;
b) Making untruthful
declarations in an application for issuance or re-issuance of auctioneer practicing
certificate, or an application for operation registration of a property auction
enterprise or its branch, or an application for approval of changes to
operation registration contents, or re-issuance of operation registration
certificate of a property auction enterprise or its branch.
2. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Point a Clause 1
of this Article shall be confiscated.
3. Remedial measures:
a) Proposed consideration and
handling by competent authorities, organizations, or persons of their issued
documents or papers involving in the violation in Clause 1 of this Article;
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c) Enforced return of
illicit gains obtained from the commission of the violation in Clause 1 of this
Article.
Article
28. Violations committed by auctioneers
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying an auctioneer practicing certificate;
b) Entering into unlawful
agreements with relevant individuals or organizations in property auction
activities, thereby affecting the lawful rights and interests of third parties,
except the cases prescribed in Points a, b and d Clause 6 of this Article;
c) An auctioneer’s failure
to require an auction practice trainee under his/her supervision to cease
violations of the law on property auction during the traineeship at a property
auction practice organization, where the auctioneer knows that such trainee is
committing such violations;
d) Failing to participate
in annual professional training or continuing education courses for
auctioneers, unless otherwise prescribed by law.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to stop an
auction session at the request of the property owner where the auctioneer is
alleged to have colluded or conspired to falsify information on the auctioned
property, suppress prices, or falsify auction documents or auction results;
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c) Failing to deprive a
bidder of their rights to participate in an auction session when knowing that
such bidder commits any of the following acts: providing false information or
documents; using forged documents to register for or participate in an auction
session; colluding or conspiring with the auctioneer, property auction practice
organization, property owner, other bidders, or other individuals or
organizations to suppress or raise prices or falsify auction results, if not
liable to criminal prosecution; obstructing property auction activities;
causing disturbance or disorder at an auction session; threatening or coercing
the auctioneer or other bidders to falsify auction results; accepting
authorization from another bidder to participate in the auction for the same
property in which he/she is also a bidder; accepting authorization from two or
more bidders for the same property; participating in an auction session for the
property for which his/her spouse or biological sibling is also a bidder; or
participating in an auction session for the
property for which their parent company or subsidiary or an enterprise whose
operation may be influenced by them (i.e. the individual or organization or a
group of individuals and/or organizations) as prescribed by the Law on
Enterprises is also a bidder;
d) Failing to deprive the
bidder offering the highest bid or accepting a price of their rights to
participate in an auction session when such bidder withdraws their bid or
acceptance before the auctioneer announces the auction winner;
dd) Signing the auction
record without directly conducting the auction session;
e) Restricting bidders
during the auction process;
g) Conducting an auction
session against the issued auction rules regarding the auction form or method;
or failing to run an auction session in the prescribed order;
h) Conducting an auction
session where there is only one bidder, or one bidder offering bid or accepting
price, in contravention of regulations;
i) Self-determining bid
increments or conducting an auction session against the announced bid
increments;
k) Announcing bids
incorrectly compared to those offered by bidders.
3. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for allowing another person to
use one’s auctioneer practicing certificate for the purpose of practicing as an
auctioneer.
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a) The conduct of an
auction session by a person who is not an auctioneer, unless otherwise
prescribed by law;
b) Incorrectly announcing
the auction winner;
c) Disclosing information
on persons registered to participate in the auction.
5. A fine ranging from VND
25.000.000 to VND 35.000.000 shall be imposed for commission of one of the
following violations:
a) Conducting an auction
session for an organization that is not the property auction organization at
which the auctioneer has registered to practice, or a wholly state-owned
organization established by the State Bank of Vietnam (SBV) to settle bad debts
of credit institutions, or a property auction council;
b) Abusing the
auctioneer’s position for personal gain.
6. The auctioneer
practicing certificate shall be suspended for a period of 09 – 12 months for
commission of one of the following violations:
a) Making a fictitious list
of persons registered to participate in an auction, or making fictitious
documents, or forging documents of bidders, if not liable to criminal
prosecution;
b) Engaging in collusion
to suppress or raise price in auction activities, if not liable to criminal
prosecution;
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d) Allowing ineligible
persons to participate in an auction session.
7. Additional penalties:
a) The auctioneer
practicing certificate shall be suspended for a fixed period of 03 – 06 months
in case of commission of one of the violations in Points c, d, dd, and g Clause
2 and Clause 3 of this Article;
b) The auctioneer
practicing certificate shall be suspended for a fixed period of 06 - 09 months
in case of commission of the violation in Point h Clause 2 of this Article.
8. Remedial measures:
a) Property auction
results shall be invalidated in case of commission of the violation in Point e,
g, or k Clause 2, Point a or b Clause 6, if the auction results have been
falsified, or the violation in Point a or b Clause 4, or Point d Clause 6 of
this Article, if an ineligible bidder becomes the auction winner;
b) Enforced invalidation
of decision on approval of property auction results, cancellation of conclusion
of the contract for sale and purchase of the auctioned property, or
invalidation of the signed contract for sale and purchase of the auctioned
property, in case of commission of the violation in Point a Clause 8 of this
Article;
d) Enforced return of
illicit gains obtained from the commission of one of the violations in Points a
and b Clause 2, and Clauses 3, 4, 5, and 6 of this Article.
Article
29. Violations committed by bidders, property owners and other persons involved
in property auction
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a) Failing to submit
auction results to competent authorities for approval or failing to enter into
the contract for sale and purchase of the auctioned property;
b) Entering into a
property auction service contract or establishing a property auction council
prior to the determination of the starting price, unless a wholly state-owned
organization established by the State Bank of Vietnam to settle bad debts of
credit institutions conducts an auction itself, or unless otherwise prescribed
by law;
c) Failing to post a
notice of selection of property auction practice organization on its website
and on the National Property Auction Portal, or posting such a notice in
contravention of regulations;
d) Providing false
information on the auctioned property for personal gain;
dd) Entering into unlawful
agreements with individuals or organizations involved in property auction,
thereby adversely affecting lawful rights and interests of third parties,
except the cases prescribed in Points b, c, and d of this Clause, and Clauses 3
and 4 of this Article;
e) Failing to notify
results of selection of property auction practice organization, or failing to
notify such results within the prescribed time limit or in the prescribed form;
g) Selecting a property auction practice organization whose
application for registration as property auction practice organization is
refused as prescribed by law;
h) Restricting individuals
or organizations from participating in an auction in contravention of
regulations.
2. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
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b) Conducting an auction
for the property which is not allowed to be traded as prescribed by law;
c) Failing to review or
verify information reflecting that a property
auction practice organization intentionally provides inaccurate
information or falsifies information relating to selection criteria in its
application for registration as a property
auction practice organization;
d) Failing to submit
reports to competent authorities on the process and results of the selection of
property auction practice organization, accompanied with verification results,
in cases where the property auction practice organization intentionally
provides inaccurate information or falsifies information relating to selection
criteria in its application for registration as a property
auction practice organization;
dd) Failing to carry out
evaluation and scoring according to the criteria for selection of property auction practice organization in order to
select a qualified property auction practice organization;
e) Accepting authorization
from another bidder to participate in the auction for the same property for
which one is also a bidder; accepting authorization from two or more bidders
for the same property;
g) Participating in an auction
session for the same property for which the bidder’s spouse or biological
sibling is also a bidder;
h) Participating in an
auction session for the same property for which
the bidder’s parent company, or subsidiary, or an enterprise whose operation may
be influenced by the bidder or a group of individuals and/or organizations,
including the bidder as prescribed by the Law on Enterprises is also a bidder;
i) Receiving any amounts
of money, property or benefits from an auctioneer, property auction practice organization, or bidder in order to
falsify the results of the selection of property
auction practice organization or the auction results;
k) Failing to fully
discharge the obligations of a bidder when participating in an auction on the
online auction website;
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m) Obstructing auction
activities; causing disorder or disturbance at an auction session;
n) Threatening or forcing
auctioneers or other bidders to falsify auction results.
3. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for commission of one of the
following violations:
a) Colluding or conspiring
with auctioneers, property auction practice organization, or other individuals
or organizations to falsify information on the auctioned property, auction
documents, or applications for participation in auction, suppress or raise
prices, or falsify auction results, if not liable to criminal prosecution;
b) Conducting an auction
without having the function to conduct property auction activities.
4. Remedial measures:
a) Enforced invalidation
of results of public property auction in case of commission of the violation in
Point e, g, h, or l Clause 2 of this Article if the violating entity is the
auction winner, or the violation in Point a Clause 3 of this Article resulting
in falsified information on the auctioned property or falsified auction
documents or falsified auction results, or the violation in Point b Clause 2 or
Clause 3 of this Article;
b) Proposed consideration
by competent authorities, organizations, or persons, of the invalidation of
results of non-public property auction in case of commission of the violation
in Point dd Clause 1, Point b or l Clause 2, Point a Clause 3 resulting in
falsified auction results, or in Point b Clause 3 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point dd Clause
1, Point b, i, l, or n Clause 2, or Clause 3 of this Article.
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1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Improperly or
incompletely implementing regulations on reporting on organization and
operation;
b) Preparing, managing,
and using registers or books, and forms in contravention of regulations;
c) Failing to apply for
approval of changes to operation registration contents within the prescribed
time limit upon occurrence of any change in the name, headquarters address,
branch, representative office, legal representative, or list of auctioneers
practicing at the property auction enterprise;
d) Stipulating the form of
auction in the auction rules without reaching an agreement with the property
owner;
dd) Failing to transfer,
transferring beyond the prescribed time limit, or incompletely transferring,
the auction dossier as prescribed;
e) Failing to enter into
employment contracts with auctioneers working for the enterprise, unless such
auctioneers establish or participate in the establishment of the enterprise;
g) Failing to retain
documents or images evidencing the public posting of information in auction
dossiers of the property auction practice organization as prescribed;
h) Refusing to accept
auction practice trainees without legitimate reasons; notifying or reporting
the acceptance of auction practice trainees in contravention of regulations;
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k) Publishing information
on operation registration of a property auction enterprise or changes thereto
in contravention of regulations in terms of prescribed time limit or contents;
l) Failing to notify the
operation registration of a branch or the address of a representative office of
the property auction enterprise within the prescribed time limit or in the
prescribed form;
m) Assigning 01 auctioneer
to instruct 03 or more auction practice trainees at the same time.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to issue receipts
when selling auction documents, or failing to specify the required information
on such receipts;
b) Collecting or returning
earnest money deposits in contravention of regulations;
c) Conducting the viewing
of auctioned property in contravention of regulations;
d) Conducting an auction
for selling the property which has not been duly inspected where such
inspection is required by law.
dd) Failing to submit
reports on organization and operation as prescribed;
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g) Failing to send the
list of auctioneers and the list of auction practice trainees to the relevant
provincial-level Department of Justice;
h) Failing to purchase
professional liability insurance for auctioneers of a property auction practice
organization;
i) Failing to publish
information on operation registration of the property auction enterprise or
changes thereto;
k) Failing to notify the
operation registration of a branch or the address of a representative office of
the property auction enterprise;
l) Operating beyond or
inconsistently with the scope of the operation registration certificate of the
property auction enterprise;
m) Failing to apply for
approval of changes to operation registration contents upon occurrence of any
change in the name, headquarters address, branch, representative office, legal
representative, or list of auctioneers practicing at the property auction
enterprise;
n) Erasing, altering, or
falsifying the operation registration certificate of the property auction
enterprise or its branch;
o) Preparing an auction
record which does not accurately or fully reflect the process of the auction,
or lacks any of the required signatures, or does not bear the seal of the
property auction practice organization, or contains signatures of persons who
do not participate in the auction;
p) Collecting selling
prices of auction documents or auction service fees at rates different from the
prescribed ones;
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r) Entering into unlawful
agreements with relevant individuals or organizations in the process of
property auction, thereby affecting the lawful rights and interests of third
parties, except the cases prescribed in Points i and k Clause 3, Points b and d
Clause 4, Points c, e, and g Clause 5 of this Article;
s) Changing the venue of
the auction session in contravention of regulations;
t) Forging documents or
intentionally providing false information to falsify applications for
registration as property auction practice organization.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Posting or notifying
information on the auction in contravention of regulations;
b) Selling auction
documents or receiving applications for participation in auction in
contravention of regulations;
c) Posting or notifying
changes in the posted or notified information on the auction in contravention
of regulations;
d) Promulgating the
auction rules which fail to comply with regulations or contain adequate
contents as required, or failing to publish the auction rules;
dd) Imposing other
requirements or conditions on bidders in addition to the conditions for
registration for participation in auction;
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g) Failing to notify
bidders of complete and accurate information on the value and quality of the
auctioned property as required under the property auction service contract;
h) Conducting an auction
session at the time and venue other than the notified ones or failing to
conduct the auction continuously at the notified time and venue, except force
majeure events;
i) Allowing persons who do
not satisfy the eligibility conditions to attend the auction session;
k) Receiving money,
property or benefits other than the prescribed auction service fees, auction
costs or other agreed-upon service fees.
4. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to make the
auction record;
b) Allowing persons other
than registered bidders to attend the auction;
c) Failing to conduct the
auction according to the auction form and method specified in the auction rules;
d) Colluding or conspiring
with the property owner, bidders, valuation organization, property inspection
organization, and other individuals and organizations to falsify information on
the auctioned property, auction documents, or applications for participation in
auction, suppress or raise prices, or falsify auction results, if not liable to
criminal prosecution;
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5. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to post or
publicly notify information on property auction or changes in previously posted
or notified information;
b) Making a fictitious
list of persons registered to participate in an auction, or making fictitious
documents, or forging documents of bidders, if not liable to criminal
prosecution;
c) Disclosing information
on persons registered to participate in the auction;
d) Obstructing or causing
difficulties to bidders in registering for and attending the auction session;
dd) Failing to promulgate
the auction rules of for each auction;
e) Appointing a person who
is not a qualified auctioneer to run the auction session;
g) Permitting other
individuals or organizations to conduct auction activities under the name of
the property auction practice organization;
h) Using bidders’ earnest
money deposits for purposes other than the prescribed ones;
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k) Conducting the auction
following simplified auction procedures in contravention of regulations;
l) Making an auction
record indicating an auction winner who is not the highest bidder in case of
ascending-price auction or the person accepting the price in case of
descending-price auction.
6. Additional penalties:
a) Operations of the
violating entity shall be suspended for a fixed period of 01 – 03 months in
case of commission of one of the violations in Points n and t Clause 2, Point b
Clause 4, Points e, h and i Clause 5 of this Article;
b) Operations of the
violating entity shall be suspended for a fixed period of 03 – 06 months in case
of commission of one of the violations in Point k Clause 3, Points a, c, d, and
dd Clause 4, and Points a, b, c, d, dd, g, k, and l Clause 5 of this Article.
7. Remedial measures:
a) Enforced invalidation
of property auction results in case of commission of the violation in Point d
Clause 2, Point b, e, or h Clause 3 or Point c Clause 4, resulting in falsified
auction results, or the violation in Point i Clause 3 or Point b Clause 4 if an
ineligible bidder or person who is not a duly registered bidder becomes the
auction winner, or the violation in Point a, c, or d Clause 4, or Point b
Clause 5 involving falsified auction results, or Point a, d, e or l Clause 5 of
this Article;
b) Enforced invalidation
of decision on approval of property auction results, cancellation of conclusion
of the contract for sale and purchase of the auctioned property, or
invalidation of the signed contract for sale and purchase of the auctioned
property, in case of commission of the violation in Point a Clause 7 of this
Article;
c) Enforced return of
erased, altered, or falsified operation registration certificates of
enterprises or their branches to issuing authorities or persons in case of
commission of the violation in Point n Clause 2 of this Article;
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Section
8. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON COMMERCIAL ARBITRATION,
PENALTIES, FINES AND REMEDIAL MEASURES
Article
31. Violations against regulations on establishment and operation registration
of arbitration centers and their branches, branches and representative offices
of foreign arbitration organizations in Vietnam
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or persons,
and included in an application for establishment or operation registration of
an arbitration center or its branch; an application for changes in the name or
scope of operation of an arbitration center, or changes to operation
registration contents of its branch; an application for establishment,
operation registration, or changes in the name or scope of operation of a
branch of a foreign arbitration organization; an application for establishment
of a representative office of a foreign arbitration organization; or
application for replacement of the chief representative, or relocation of a
representative office of a foreign arbitration organization;
b) Making untruthful
declarations in an application for establishment or operation registration of
an arbitration center or its branch; an application for changes in the name or
scope of operation of an arbitration center, or changes to operation
registration contents of its branch; an application for establishment,
operation registration, or changes in the name or scope of operation of a
branch of a foreign arbitration organization; an application for establishment
of a representative office of a foreign arbitration organization; an
application for replacement of the chief representative, or relocation of a
representative office of a foreign arbitration organization; an application for
re-issuance of establishment license of an arbitration center, branch or
representative office of a foreign arbitration organization in Vietnam; an
application for re-issuance of operation registration certificate of an
arbitration center, or its branch, or a branch of a foreign arbitration
organization in Vietnam.
2. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
3. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in the violation in Clause 1 of this
Article;
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c) Enforced return of
illicit gains obtained from the commission of the violation in Clause 1 of this
Article.
Article
32. Violations against regulations on operations of arbitration centers and
their branches, branches and representative offices of foreign arbitration
organizations in Vietnam
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to notify
competent authorities, within the prescribed time limit, of replacement of the
legal representative of an arbitration center, its branch's head, or chief of
its representative office, or branch’s head or chief of representative office
of a foreign arbitration organization;
b) Failing to notify
competent authorities, within the prescribed time limit, of relocation of the
headquarters of an arbitration center, its branch or representative office, or
relocation of branch or representative office of a foreign arbitration
organization;
c) Failing to notify
competent authorities, within the prescribed time limit, of changes to the list
of arbitrators of an arbitration center or a branch of a foreign arbitration
organization;
d) Failing to notify
competent authorities, within the prescribed time limit, of the establishment
of a domestic or overseas branch or representative office of an arbitration
center, or the establishment of a representative office of a foreign
arbitration organization;
dd) Failing to notify or
report to competent authorities, within the prescribed time limit, the shutdown
or completion of procedures for shutdown of an arbitration center or its branch
or representative office, or a branch or representative office of a foreign
arbitration organization;
e) Publishing information
on the establishment or shutdown of an arbitration center, or a branch or
representative office of a foreign arbitration organization on newspapers, in
contravention of regulations in terms of the prescribed contents, time limit,
or frequency;
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h) Improperly using or
incompletely maintaining books and forms as prescribed;
i) Failing to apply,
within the prescribed time limit, for changes in the name, scope of operation, legal
representative, or headquarters address of an arbitration center; the head or
location of a branch of an arbitration center, or the name or scope of
operation of a branch of a foreign arbitration organization, or the head or
location of a branch or representative of a foreign arbitration organization;
k) Improperly or
incompletely implementing regulations on reporting; submitting reports
containing inaccurate information on organization and operation.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to give written
notification to competent authorities of replacement of the legal
representative of an arbitration center, its branch’s head, or chief of its
representative office, or the branch’s head or chief of representative office
of a foreign arbitration organization;
b) Failing to give written
notification to competent authorities of relocation of the headquarters of an
arbitration center, its branch or representative office, or relocation of a
branch or representative office of a foreign arbitration organization;
c) Failing to give written
notification to competent authorities of changes to the list of arbitrators of
an arbitration center or a branch of a foreign arbitration organization;
d) Failing to give written
notification to competent authorities of the establishment of a domestic or
overseas branch or representative office of an arbitration center, or the
establishment of a representative office of a foreign arbitration organization;
dd) Failing to give
written notification to competent authorities of the shutdown or completion of
procedures for shutdown of an arbitration center, or its branch or
representative office, or a branch or representative office of a foreign
arbitration organization;
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g) Failing to post up the list
of arbitrators or primary operation registration contents of an arbitration
center;
h) Failing to submit
reports, or failing to prepare and manage books and forms as prescribed;
i) Archiving arbitration
dossiers in contravention of regulations.
3. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Operating beyond or
inconsistently with the scope of the establishment license or operation
registration certificate of an arbitration center or its branch, or the license
to establish a branch or representative office of a foreign arbitration
organization;
b) Conducting operations
before obtaining an establishment license or operation registration certificate;
c) Allowing other
organizations to use establishment license or operation registration
certificate to conduct commercial arbitration operations;
d) Failing to formulate
arbitration rules or formulating arbitration rules whose contents are not in
conformity with regulations of law;
dd) Failing to archive
arbitration dossiers;
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g) Failing to remove the
name of an arbitrator who no longer meets qualification requirements from the
list of arbitrators of an arbitration center;
h) Erasing, altering, or
falsifying the establishment license or operation registration certificate.
4. Additional penalty:
Operations of the
violating entity shall be suspended for a fixed period of 01 – 03 months in
case of commission of the violation in Point a or c Clause 3 of this Article.
5. Remedial measures:
a) Enforced return of
erased, altered, or falsified establishment licenses or operation registration
certificates to issuing authorities or persons in case of commission of the
violation in Point h Clause 3 of this Article;
b) Enforced return of
illicit gains obtained from the commission of the violation in Point a, b or c
Clause 3 of this Article.
Article
33. Violations against regulations on arbitrators’ activities
1. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
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b) Resolving a dispute in
case the arbitrator has an interest in the dispute;
c) Resolving a dispute in
case the arbitrator has previously acted as a mediator, representative, or
lawyer of any party to the dispute before such dispute is referred to
arbitration, unless otherwise agreed in writing by the parties;
d) Resolving a dispute in
case there are reasonable grounds to believe that the arbitrator lacks
impartiality or independence.
2. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Disclosing information
on the dispute resolved by the arbitrator, unless such information is provided
for competent authorities as prescribed by law;
b) Acting as a commercial
arbitrator without meeting qualification requirements and standards for
arbitrators.
3. Remedial measure:
Enforced return of illicit
gains obtained from the commission of the violation in Clause 1 or Clause 2 of
this Article.
Section
9. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON COMMERCIAL MEDIATION,
PENALTIES, FINES AND REMEDIAL MEASURES
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1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for establishment, operation
registration, or changes in the name or headquarters address of a commercial
mediation center; an application for operation registration for a branch of a
commercial mediation center; an application for establishment, operation
registration, or changes in the name, head, or location of a branch of a
foreign commercial mediation organization; or an application for establishment
or changes in the name, chief, or location of a representative office of a foreign
commercial mediation organization;
b) Making untruthful
declarations in an application for establishment, operation registration, or
changes in the name or headquarters address of a commercial mediation center;
an application for operation registration for a branch of a commercial
mediation center; an application for establishment, operation registration, or
changes in the name, head, or location of a branch of a foreign commercial
mediation organization; an application for establishment or changes in the
name, chief, or location of a representative office of a foreign commercial
mediation organization; an application for re-issuance of establishment license
of a commercial mediation center; an application for re-issuance of license to
establish branch/representative office of a foreign commercial mediation
organization in Vietnam; an application for re-issuance of operation
registration certificate of a commercial mediation center/its branch; an
application for re-issuance of operation registration certificate of a branch
of a foreign commercial mediation organization in Vietnam.
2. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
3. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in the violation in Clause 1 of this
Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in clause 2 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Clause 1 of this
Article.
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1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to notify
competent authorities, within the prescribed time limit, of the establishment
of a domestic or overseas branch or representative office of a commercial
medication center, or of the establishment of a representative office of a
foreign commercial mediation organization;
b) Failing to notify
competent authorities, within the prescribed time limit, of relocation of the
headquarters of a commercial medication center or its branch, or relocation or
replacement of the chief of its representative office, or relocation or
replacement of the head of a branch or representative office of a foreign
commercial mediation organization;
c) Publishing information
on the establishment of a medication center on newspapers in contravention of
regulations in terms of the prescribed contents, time limit, or frequency;
failing to submit its list of commercial mediators within the prescribed time
limit;
d) Failing to notify or
report to competent authorities, within the prescribed time limit, the shutdown
and completion of procedures for shutdown of a commercial mediation center, or
its branch or representative office, or a branch or representative office of a
foreign commercial mediation organization;
dd) Improperly using or
incompletely maintaining books and forms as prescribed;
e) Failing to apply,
within the prescribed time limit, for changes in the name, or headquarters
address of a commercial mediation center; or changes in the name, head, or
location of a branch or representative office of a foreign commercial mediation
organization;
g) Archiving commercial
mediation dossiers in contravention of regulations;
h) Improperly or
incompletely implementing regulations on reporting, or submitting reports
containing inaccurate information on organization and operation.
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a) Failing to give written
notification to competent authorities of the establishment of a domestic or
overseas branch or representative office of a commercial medication center, or
the establishment of a representative office of a foreign commercial mediation
organization;
b) Failing to give written
notification to competent authorities of relocation of the headquarters of a
commercial medication center or its branch, relocation or replacement of the
chief of its representative office, or relocation or replacement of the head of
a branch or representative office of a foreign commercial mediation
organization;
c) Failing to publish
information on the establishment of a commercial medication center on
newspapers, or failing to submit its list of commercial mediators;
d) Failing to give written
notification to competent authorities of the shutdown and completion of
procedures for shutdown of a commercial mediation center, or its branch or
representative office, or a branch or representative office of a foreign
commercial mediation organization;
dd) Failing to submit
reports, or failing to prepare and manage books and forms as prescribed;
e) Failing to archive
commercial mediation dossiers;
g) Failing to apply to
competent authorities for registration of changes in the name, or headquarters
address of a commercial mediation center; or changes in the name, head, or
location of a branch or representative office of a foreign commercial mediation
organization.
3. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Operating beyond or
inconsistently with the scope of the establishment license or operation
registration certificate of a commercial mediation center, or a branch of a foreign
commercial mediation organization, or the establishment license of a
representative office of a foreign commercial mediation organization;
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c) Allowing other
organizations to use establishment license or operation registration
certificate to conduct commercial mediation operations;
d) Failing to formulate
mediation rules or formulating mediation rules whose contents are not in
conformity with regulations of law;
dd) Erasing, altering, or
falsifying the establishment license or operation registration certificate.
4. Additional penalty:
Operations of the
violating entity shall be suspended for a fixed period of 01 – 03 months in
case of commission of the violation in Point a or c Clause 3 of this Article.
5. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified establishment licenses or
operation registration certificates to their issuing authorities or persons in
case of commission of the violation in Point dd Clause 3 of this Article;
b) Enforced return of
illicit gains obtained from the commission of the violation in Point a, b or c
Clause 3 of this Article.
Article
36. Violations against regulations on commercial mediators’ activities
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2. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Disclosing information
on the case or client obtained during the mediation process, unless agreed in
writing by the disputing parties or otherwise prescribed by law;
b) Receiving or claiming
any amounts of money or benefits other than the agreed-upon remuneration and
costs;
c) Conducting commercial
mediation operations without meeting standards for commercial mediators;
d) Concurrently acting as
a representative or advisor of any party, or concurrently acting as an
arbitrator in the same dispute that the mediator is or has been handling,
unless otherwise agreed upon by the parties.
3. Remedial measure:
Enforced return of illicit
gains obtained from the commission of the violation in Clause 2 of this Article.
Chapter
III
ADMINISTRATIVE
VIOLATIONS AGAINST REGULATIONS ON JUDICIAL ADMINISTRATIVE ACTIONS, PENALTIES,
FINES, AND REMEDIAL MEASURES
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Article
37. Violations against regulations on birth registration
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out birth registration procedures.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Making false declarations
or providing false witness statements for birth registration;
b) Providing false
information or documents on birth details;
c) Using another person’s
documents for the purpose of carrying out birth registration procedures.
3. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
4. Remedial measures:
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b) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued birth certificates involving in one of the violations in Clauses 1 and 2
of this Article.
Article
38. Violations against regulations on marriage registration
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out marriage registration procedures.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Allowing another person
to use one’s personal documents, or using another person’s documents, for the
purpose of carrying out marriage registration procedures;
b) Providing false
information or documents, or making false declarations or providing false
witness statements, regarding marital status for the purpose of carrying out
marriage registration procedures.
3. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
4. Remedial measures:
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b) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued marriage certificates involving in one of the violations in Clauses 1
and 2 of this Article.
Article
39. Violations against regulations on organization and operation of centers for
counseling and support on marriage and family involving foreign elements
(hereinafter referred to as “Center”)
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for failing to notify competent
authorities of any changes in the name, headquarters, or head of the Center.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for operation registration or changes
to operation registration contents;
b) Erasing altering, or
falsifying the issued operation registration certificate;
c) Failing to comply with
regulations on reporting; failing to prepare, manage, or use the prescribed
books and forms;
d) Failing to provide
counseling and support to persons requesting counseling and support on marriage
and family involving foreign elements;
dd) Failing to issue the
Center’s certificates at the request of persons receiving counseling and
support services;
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3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false
information in the application for operation registration;
b) Providing false
documents evidencing the registered headquarters;
c) Changing the Center’s
name, headquarters, head, or operation registration contents without
certification of competent authorities.
4. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Operating without
maintaining the fulfillment of operation requirements;
b) Operating beyond the
scope of operations specified in the operation registration certificate;
c) Claiming any amounts of
money or benefits other than the prescribed remunerations when providing
counseling and support on marriage and family involving foreign elements;
d) Failing to maintain
confidentiality of information and documents relating to the private life,
personal secrets, and family secrets of the parties concerned, as prescribed by
law;
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a) Providing counseling
and support on marriage and family involving foreign elements before obtaining
an operation registration certificate;
b) Abusing the provision
of counseling and support on marriage and family involving foreign elements for
the purpose of human trafficking, labor exploitation, sexual exploitation, or
other profiteering purposes.
6. Additional penalties:
a) Operations of the
violating entity shall be suspended for a fixed period of 01 – 03 months in
case of commission of one of the violations in Clause 3 and Clause 4 of this
Article;
b) Operations of the
violating entity shall be suspended for a fixed period of 06- 09 months in case
of commission of the violation in Point b Clause 5 of this Article;
c) The exhibits, including
erased, altered, or falsified documents, of the violation in Point a Clause 2
of this Article shall be confiscated.
7. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point a Clause
2 of this Article, unless such original copies have been confiscated as
prescribed in point c clause 6 of this Article;
b) Enforced return of
erased, altered, or falsified operation registration certificates to issuing
authorities or persons in case of commission of the violation in Point b Clause
2 of this Article;
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Article
40. Violations against regulations on issuance and use of marital status
certificates
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out procedures for issuance of marital status
certificates.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Using another person’s
documents for the purpose of carrying out procedures for issuance of marital
status certificate;
b) Making false marital
status declarations for the purpose of carrying out procedures for issuance of
marital status certificate;
c) Providing false
information or documents for the purpose of obtaining a marital status certificate.
3. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
4. Remedial measures:
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b) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in one of the violations in Clause 1,
Points a, b and c Clause 2 of this Article.
Article
41. Violations against regulations on death registration
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out death registration procedures.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false witness
statements for another person for death registration;
b) Providing false
information or documents for death registration.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Carrying out death
registration procedures for a person who is still alive;
b) Failing to carry out
death registration procedures for a deceased person for the purpose of personal
gain;
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4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
5. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in Clause 4 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in one of the violations in Clause 1,
Clause 2, Points a and c Clause 3 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point b or c
Clause 3 of this Article.
Article
42. Violations against regulations on guardianship registration
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out guardianship registration procedures.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
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b) Providing false
information or documents on guardianship registration contents.
3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for using forged personal documents
for the purpose of carrying out guardianship registration procedures.
4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
5. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in Clause 4 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in one of the violations in Clauses 1 and
2 of this Article.
Article
43. Violations against regulations on recognition of parent-child relationship
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out procedures for recognition of parent-child
relationship.
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a) Using another person’s
documents for the purpose of carrying out procedures for recognition of
parent-child relationship;
b) Providing false
information or documents, making false declarations, or providing false witness
statements for the purpose of carrying out procedures for recognition of
parent-child relationship;
c) Threatening, forcing,
or obstructing the recognition of parent-child relationship.
3. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
4. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in Clause 3 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in one of the violations in Clause 1,
Points a, b Clause 2 of this Article.
Article
44. Violations against regulations on change, correction and addition of civil
status information, and ethnicity re-identification
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2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Making false
declarations or providing false witness statements on contents of change,
correction and addition of civil status information, or ethnicity
re-identification;
b) Providing false
information or documents for the purpose of carrying out procedures for change,
correction and addition of civil status information, or ethnicity
re-identification;
c) Using another person’s
documents for the purpose of carrying out procedures for change, correction and
addition of civil status information, or ethnicity re-identification.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for providing false information
or documents when carrying out procedures for change, correction and addition
of civil status information, or ethnicity re-identification for the purpose of
benefiting incentive policies or regimes, or other profiteering purposes.
4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
5. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations or persons of their issued
documents involving in one of the violations in Clauses 1, 2, and 3 of this
Article;
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c) Enforced return of
illicit gains obtained from the commission of the violation in Clause 3 of this
Article.
Article
45. Violations against rules for civil status registration and management, and
use of civil status documents; establishment, management, and operation of
civil status database
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying civil status documents.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying information in the civil status register;
b) Altering or falsifying
information in the electronic civil status database, or spreading malicious
software that harms computer networks or electronic devices of the civil status
database;
c) Providing false
information or documents for the purpose of obtaining registration of other
civil status matters.
3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Threatening, forcing,
or obstructing the exercise and performance of civil registration rights and
obligations;
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c) Bribing or promising
material or non-material benefits to obtain civil registration;
d) Allowing another person
to use one’s civil status documents for performing acts of violation against
law.
4. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Destroying civil status
documents or civil status registers;
b) Illegally accessing,
stealing, or destroying information stored in the electronic civil status
database;
c) Abusing or evading
civil registration obligations for the purpose of benefiting incentive policies
or other profiteering purposes.
5. Additional penalties:
a) The exhibits and
instrumentalities used for committing the violation in Point b Clause 2, or
Point a or b Clause 4 of this Article shall be confiscated;
b) The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
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a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in Point b Clause 5 of this Article;
b) Enforced payment of all
costs incurred in restoring the original conditions affected by the violation
in Point b Clause 2 or Point b Clause 4 of this Article;
c) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents involving in the violation in Point a Clause 4 of this Article;
d) Enforced return of
illicit gains obtained from the commission of the violation in Point c Clause 4
of this Article;
dd) Enforced payment of an
amount equivalent to the value of the exhibits/instrumentalities which have
been sold, liquidated, hidden, or destroyed inconsistently with the law, in
case of commission of the violation in Point b Clause 2, or Point a or b Clause
4 of this Article.
Article
46. Violations against regulations on nationality administration, management
and operation of nationality database
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for acquisition, reinstatement, or
renunciation of Vietnamese nationality; an application for certification of
Vietnamese nationality; or an application for certification as a person of
Vietnamese origin.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false
information or untruthful declarations in an application for acquisition,
reinstatement, or renunciation of Vietnamese nationality; an application for
certification of Vietnamese nationality; or an application for certification as
a person of Vietnamese origin;
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c) Using documents that
are no longer valid as proof of Vietnamese nationality to establish Vietnamese
nationality.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for destroying
nationality-related documents.
4. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for illegally accessing,
stealing, or destroying information stored in the nationality database.
5. Additional penalty:
The exhibits, including
erased, altered, or falsified documents or papers, of the violation in Clause 1
or Point b Clause 2 of this Article; documents that are no longer valid as
proof of Vietnamese nationality involving in the violation in Point c Clause 2
of this Article; and the exhibits of the violation in Clause 4 of this Article,
shall be confiscated.
6. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing authorities
or persons in case of commission of the violation in Clause 1 or Point b Clause
2 of this Article, unless such original copies have been confiscated as
prescribed in Clause 5 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in the violation in Clause 1, or Points a,
or c Clause 2 of this Article;
c) Enforced payment of all
costs incurred in restoring the original conditions in case of commission of
the violation in Clause 4 of this Article;
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Article
47. Violations against regulations on registration of other civil status matters
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or falsifying
documents issued by competent authorities, organizations, or persons, and used
for carrying out procedures for registration of other civil status matters.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false
information or documents for the purpose of carrying out procedures for
registration of other civil status matters;
b) Using another person’s
documents for the purpose of carrying out procedures for registration of other
civil status matters.
3. Additional penalty: The
exhibits, including erased, altered, or falsified documents, of the violation
in Clause 1 of this Article shall be confiscated.
4. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents involving in one of the violations in this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated.
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1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Providing untruthful
declarations in an application for registration of child adoption;
b) Discriminating between
a biological child and an adopted child;
c) Failing to submit
reports on development of a domestically adopted child;
d) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for carrying out procedures for registration of child
adoption.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Abusing the giving of a
child for adoption to violate regulations of law on population;
b) Abusing the status of
being an adopted child of a wounded soldier, a person with meritorious services
to the revolution, or an ethnic minority person to benefit from state incentive
regimes and policies.
3. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
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b) Abusing child adoption
arrangements, including the giving, adoption, or introduction of a child for
adoption, for the purpose of personal gain, except the case prescribed in Point
c of this Clause;
c) Abusing the child
adoption for the purpose of exploiting the labor of the adopted child.
4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Point d Clause 1
of this Article shall be confiscated.
5. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point d Clause
1 of this Article, unless such original copies have been confiscated as
prescribed in Clause 4 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents or papers involving in one of the violations in Points a, d
Clause 1, and Point b Clause 2 of this Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point b Clause
2, or Point b or c Clause 3 of this Article;
d) Enforced payment of all
costs of medical examination and treatment, and other costs (if any) in case of
commission of the violation in Point c Clause 3 of this Article.
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1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for issuance, renewal, or modification of
the operating license of a foreign adoption office.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to notify
competent authorities in writing of the shutdown of a foreign adoption office;
b) Failing to implement
regulations on reporting, or submitting reports containing inaccurate
information; failing to prepare, manage, or use books and forms as prescribed.
3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for replacing the head of a
foreign adoption office without approval from a competent authority.
4. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Introducing a child for
adoption in contravention of law;
b) Leasing, lending, or
otherwise permitting another organization to use the operating license of a
foreign adoption office;
c) Using the operating
license of another foreign adoption office.
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6. The foreign adoption
office shall be suspended from operation for a fixed period of 09 – 12 months
for breaching the non-profit principle governing intercountry adoption
activities.
7. Additional penalties:
a) The foreign adoption
office operating in Vietnam shall be suspended from operation for a fixed
period of 01 – 03 months in case of commission of one of the violations in
Clause 3 and Clause 4 of this Article;
b) The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
8. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in Point b Clause 7 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in the violation in Clause 1 of this
Article;
c) Enforced return of
illicit gains obtained from the commission of one of the violations in Clauses
4, 5 and 6 of this Article.
Section
2. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON LEGAL DISSEMINATION AND EDUCATION, GRASSROOTS CONCILIATION,
INTERNATIONAL COOPERATION IN LEGAL AFFAIRS AND JUDICIAL REFORM, PENALTIES,
FINES, AND REMEDIAL MEASURES
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1. A fine ranging from VND
500.000 to VND 1.000.000 shall be imposed for commission of one of the
following violations:
a) Obstructing citizens
from exercising their rights to access information on, study, and learn the law;
b) Obstructing agencies,
organizations, or individuals from performing legal dissemination and education
activities;
c) Obstructing
conciliation teams or conciliators from conducting grassroots conciliation
activities;
d) Obstructing parties
from resolving disputes or conflicts through grassroots conciliation.
2. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for providing information or
documents containing information which is false or inaccurate, or contrary to
law, social ethics, or the fine customs and traditions of the Vietnamese nation.
3. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for abusing legal dissemination
and education to distort the policies and guidelines of the Communist Party of
Vietnam, or the laws of the State; disseminate policies inciting hostility or
undermine the great national unity block; infringe upon the interests of the
State or the lawful rights and interests of other agencies, organizations, or
individuals.
4. Remedial measures:
a) Enforced rectification
of information in case of commission of the violation in Clause 2 or 3 of this
Article;
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Article
51. Violations against regulations on obligations of legal disseminators and
legal rapporteurs
1. A fine ranging from VND
500.000 to VND 1.000.000 shall be imposed for commission of one of the
following violations:
a) Abusing the designation
of a legal disseminator to perform activities beyond the scope of assigned
duties for personal gain, if not liable to criminal prosecution;
b) Abusing the designation
of a legal rapporteur to perform activities beyond the scope of assigned duties
for personal gain, if not liable to criminal prosecution.
2. Remedial measure:
Enforced return of illicit
gains obtained from the commission of one of the violations in Clause 1 of this
Article.
Article
52. Violations against regulations on management of international cooperation
in legal affairs and judicial reform
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for submitting reports containing
inaccurate information on international cooperation in legal affairs and
judicial reform.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
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b) Failing to submit
reports on the results of programmes or projects on international cooperation
in legal affairs and judicial reform; or the results of international
conferences or seminars on legal affairs as prescribed.
3. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to comply with
the prescribed order and procedures for appraisal and for obtaining opinions
from the Ministry of Justice, the Ministry of Foreign Affairs, the Ministry of
Public Security, and the Ministry of National Defense, in respect of
international agreements, programmes, projects, or non-project activities on
international cooperation in legal affairs and judicial reform, as prescribed;
b) Organizing
international conferences or seminars without obtaining the approval from
competent authorities as prescribed.
4. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Submitting or providing
untruthful reports or information that impacts the appraisal or provision of
opinions on documents of international legal programmes, projects, non-project
activities, conferences, or seminars;
b) Organizing
international conferences or seminars on legal affairs and judicial reform in a
manner inconsistent with the approved scheme in respect of contents, agenda,
foreign rapporteurs and speakers;
c) Implementing
programmes, projects, or non-project activities on legal affairs and judicial
reform in a manner inconsistent with the decision on approval for the
respective programme, project, or non-project document, in respect of
objectives, activities and expected outcomes.
5. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
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b) Failing to comply with
the prescribed order, procedures, and authority in approving legal programmes,
projects, or non-project activities.
Section
3. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON LEGAL AID, AND LEGAL
SUPPORT FOR ENTERPRISES, PENALTIES, FINES AND REMEDIAL MEASURES
Article
53. Violations against regulations on persons eligible for legal aid
1. A fine ranging from VND
300.000 to VND 500.000 shall be imposed for deliberately providing false
information or documents concerning legal aid cases.
2. A fine ranging from VND
500.000 to VND 1.000.000 shall be imposed for erasing, altering, or falsifying
documents issued by competent authorities, organizations, or persons, and used
for the purpose of establishing eligibility to receive legal aid.
3. A fine ranging from VND
2.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Threatening,
obstructing, or unlawfully interfering in legal aid activities; causing
disorder or serious disturbance, or seriously violating the internal rules of a
legal aid service provider;
b) Harming the health,
honor, or dignity of persons providing legal aid, or the reputation of the
legal aid service provider, if not liable to criminal prosecution.
4. Additional penalty:
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5. Remedial measure:
Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 2 of
this Article, unless such original copies have been confiscated as prescribed
in clause 4 of this Article.
Article
54. Violations against regulations on persons providing legal aid
1. A fine ranging from VND
300.000 to VND 500.000 shall be imposed for commission of one of the following
violations:
a) Allowing another person
to use the legal aid collaborator’s card;
b) Using the legal aid
collaborator’s card of another person;
c) Failing to return the
legal aid collaborator’s card when it is subject to compulsory revocation;
d) Failing to refuse a
legal aid request, or continuing to provide legal aid in cases where such legal
aid request is required to be refused in accordance with regulations;
dd) Failing to prepare or
transfer legal aid case files as prescribed.
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3. A fine ranging from VND
1.000.000 to VND 2.000.000 shall be imposed for commission of one of the
following violations:
a) Using the legal aid
collaborator’s card of another person for personal gain;
b) Allowing another person
to use the legal aid collaborator’s card for personal gain;
c) Abusing the position of
a person providing legal aid for personal gain, causing disruption to public
order or social security, or adversely affecting social ethics, if not liable
to criminal prosecution;
d) Receiving or claiming
any amounts of money, material benefits or other benefits from persons
receiving legal aid; or harassing persons receiving legal aid;
dd) Refusing or
discontinuing the provision of legal aid to persons eligible for legal aid
without legitimate grounds;
e) Falsifying documents included
in a legal aid case file.
4. A fine ranging from VND
2.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Disclosing information
on a legal aid case or a person receiving legal aid, unless such disclosure is
agreed in writing by that person or otherwise prescribed by law;
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c) Infringing upon lawful
rights and interests of persons receiving legal aid; discriminating against
persons receiving legal aid;
d) Providing legal aid
without fulfilling eligibility requirements to provide legal aid.
5. Additional penalties:
a) The legal aid
collaborator’s card shall be suspended for a fixed period of 01 – 03 months in
case of commission of the violation in Point b Clause 3, or Point a, b or c
Clause 4 of this Article;
b) The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 2 of this
Article shall be confiscated.
6. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations, or persons, of their
issued documents involving in the violation in Clause 2 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 2 of
this Article, unless such original copies have been confiscated as prescribed in
Point b Clause 5 of this Article;
c) Enforced destruction of
falsified documents included in legal aid case files in case of commission of
the violation in Point e Clause 3 of this Article;
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Article
55. Violations against regulations on organizations participating in legal aid
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to comply with
regulations on statistics, reporting, and preparation and retention of
documents relating to legal aid cases as prescribed;
b) Failing to transfer the
files of uncompleted legal aid cases to a legal aid service provider designated
by the relevant provincial-level Department of Justice for the continued
provision of legal aid, or failing to notify the termination of legal aid
provision as prescribed.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying the certificate of registration for participation in legal aid;
b) Refusing or
discontinuing the provision of legal aid in contravention of regulations;
c) Providing legal aid in
a manner inconsistent with the registered contents of legal aid participation;
d) Providing legal aid
without fulfilling eligibility requirements to provide legal aid;
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e) Continuing to provide
legal aid despite the existence of grounds requiring termination of such
provision as prescribed;
g) Impersonating or
abusing the provision of legal aid for personal gain, causing disruption to
public order or social security, or adversely affecting social ethics, if not
liable to criminal prosecution.
3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for establishing an organization
providing legal aid services in contravention of regulations.
4. Additional penalties:
a) The certificate of
registration for participation in legal aid shall be suspended for a fixed
period of 03 – 06 months in case of commission of the violation in Point c, dd
or g Clause 2 of this Article;
b) The exhibit, which is
erased, altered, or falsified certificate of registration for participation in
legal aid, used for committing the violation in Point a Clause 2 of this
Article shall be confiscated.
5. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point a Clause
2 of this Article, unless such original copies have been confiscated as
prescribed in Point b Clause 4 of this Article;
b) Enforced return of
illicit gains obtained from the commission of the violation in Point g Clause 2
of this Article.
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1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for submitting or providing false
or untruthful reports or information relating to the provision of legal support
for small and medium-sized enterprises.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for using resources provided under
legal support for enterprises for purposes other than those committed or agreed
upon.
3. Remedial measure:
Enforced return of illicit
gains obtained from the violation in Clause 2 of this Article.
Section
4. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON REGISTRATION OF SECURITY
INTERESTS, PENALTIES, FINES AND REMEDIAL MEASURES
Article
57. Violations against regulations on registration of security interests
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for erasing, altering, or
falsifying certificates, notices, or information documents issued by
registration authorities or competent information-providing authorities, or application
forms for registration of security interests bearing certification given by
registration authorities.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Forging the signature
of the applicant for registration, the securing party, or the secured party in
an application form, or the signature of the applicant in a written request for
correction of inaccurate information, or the signature of the applicant in a
written request for the issuance of a database access code;
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3. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for destroying documents or papers
relating to the registration of security interests.
4. Additional penalties:
a) The exhibits, including
erased, altered, or falsified certificates, notices, information documents, or
application forms bearing certification by registration authorities, used in
the violation in Clause 1 of this Article shall be confiscated;
b) The exhibits, including
application forms, written requests for correction of inaccurate information,
or written requests for issuance of database access code, used in the violation
in Point a Clause 2 of this Article shall be confiscated;
c) The exhibits, including
documents of civil judgment enforcement agencies or enforcement officers
regarding the notification of seizure of property for civil judgment
enforcement which is secured property, or release of the seized property, or
regarding the request for suspension or termination of registration of the
property where the securing party is the judgment debtor in accordance with
regulations of law on civil judgment enforcement, or documents of authorities
or persons competent to institute legal proceedings, or other competent
authorities or persons, requesting that registration not be carried out, used
in the violation in Point b Clause 2 of this Article shall be confiscated;
d) The exhibits and/or
instrumentalities used for committing the violation in clause 3 of this Article
shall be confiscated.
5. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of
this Article, unless such original copies have been confiscated as prescribed
in Point a Clause 4 of this Article;
b) Enforced payment of all
costs incurred in restoring the original conditions affected by the violation
in Clause 3 of this Article;
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Article
58. Violations against regulations on access to and use of information in
security interest database, and online registration of security interests
1. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Illegally accessing,
using, or falsifying information contained in applications for registration of
security interests;
b) Illegally accessing,
altering, or deleting registration information in the security interest
database;
c) Distributing software
programs that disrupt, alter, or destroy the online security interest
registration system, or engaging in other acts aimed at damaging the
technological infrastructure of the online security interest registration
system;
d) Fraudulently obtaining,
impersonating, misappropriating, or unlawfully using database access codes to
commit violations against regulations of law on registration of security
interests.
2. Additional penalty:
The exhibits and/or
instrumentalities used for committing the violation in clause 1 of this Article
shall be confiscated.
3. Remedial measures:
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b) Enforced payment of an
amount equivalent to the value of the exhibits/instrumentalities which have
been sold, liquidated, hidden, or destroyed inconsistently with the law, in
case of commission of the violation in Clause 1 of this Article.
Section
5. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON STATE COMPENSATION LIABILITY,
PENALTIES, FINES, AND REMEDIAL MEASURES
Article
59. Violations against regulations on compensation claims and settlement thereof
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents or evidences contained in a compensation claim or in the
course of settlement of a compensation claim;
b) Erasing, altering, or
falsifying a final decision on settlement of a compensation claim.
2. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Obstructing, deceiving,
coercing, or threatening a claimant so as to prevent their exercise of the
right to file a compensation claim within the prescribed time limit;
b) Coercing, deceiving, or
threatening a claimant to withdraw their submitted compensation claim;
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d) Coercing or threatening
compensation settlement officers, or other relevant individuals or
organizations, during the settlement of compensation claims;
dd) Coercing or
threatening individuals or organizations to provide false information or
evidence during the settlement of compensation claims.
3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false
information or evidence in compensation claims or in the course of settlement
of compensation claims;
b) Failing to provide
documents or evidence during the settlement of compensation claims.
4. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for entering into collusion
between a claimant and a compensation settlement officer, and/or relevant
persons, for personal gain.
5. Additional penalty:
The exhibits, which are
erased, altered, or falsified documents, papers, or evidences, used for
committing the violation in Clause 1 of this Article shall be confiscated.
6. Remedial measures:
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b) Enforced return of
advanced or allocated funding for paying compensation obtained from the
commission of the violation in Point b Clause 1, Point d or dd Clause 2, Point
a Clause 3 or Clause 4 of this Article.
Article
60. Violations against regulations on reimbursement
1. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and used for the purpose of obtaining a reduction in the reimbursement
amount or deferring reimbursement in case the law enforcement officer concerned
no longer works for a regulatory authority.
2. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Coercing or threatening
the head of the regulatory authority directly managing the law enforcement
officer who caused damage in relation to the issuance of a reimbursement
decision;
b) Coercing or threatening
the council in charge of considering reimbursement liability during its
consideration thereof.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Providing false
documents or evidence for the purpose of obtaining a reduction in the
reimbursement amount or deferring reimbursement in case the law enforcement
officer concerned no longer works for a regulatory authority;
b) Failing to collect, or
to cooperate in the collection of, reimbursement amounts at the request of the
regulatory authority directly managing the law enforcement officer who caused
damage according to the reimbursement decision.
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a) Failing to make
reimbursement according to an effective reimbursement decision in case the law
enforcement officer concerned no longer works for a regulatory authority;
b) Colluding with the
council in charge of considering reimbursement liability in determining the
reimbursement amount payable by the law enforcement officer who caused damage
for personal gain.
5. Additional penalty:
The exhibits, including
erased, altered, or falsified documents or evidence, used for committing the violation
in Clause 1 of this Article shall be confiscated.
6. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Clause 1 of this
Article, unless such original copies have been confiscated as prescribed in
Clause 5 of this Article;
b) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in the violation in Clause 1 of this
Article;
c) Enforced return of
illicit gains obtained from the commission of the violation in Point b Clause 4
of this Article.
Chapter
IV
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Article
61. Child marriage and organization of child marriage
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for organizing a marriage for a
person who has not reached the legal marriageable age.
2. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for maintaining a marital
relationship with a person who has not reached the legal marriageable age
despite a legally effective judgment or decision of a Court.
Article
62. Violations against regulations on marriage and divorce, and monogamous
marriage regime
1. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) A person who is already
married enters into a marriage with another person, or a person who is
unmarried enters into a marriage with someone known by them to be already
married;
b) A person who is already
married cohabits with another person as husband and wife;
c) A person who is
unmarried cohabits with another person as husband and wife in the knowledge
that the latter is already married;
d) A person enters into
marriage or cohabits as husband and wife with his or her former adopted child
or adoptive parent; parent-in-law or child-in-law; stepparent or stepchild;
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2. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) A person enters into
marriage or cohabits as husband and wife with a direct blood relative or with a
relative within the third degree of consanguinity;
b) A person enters into
marriage or cohabits as husband and wife with his or her adopted child or
adoptive parent;
c) Coercing or deceiving a
person into marriage; coercing or deceiving a person into divorce;
d) Taking advantage of
marriage to exit, enter, or reside in Vietnam, or acquire Vietnamese or foreign
nationality; benefit from state incentive policies, or achieve purposes other
than building a family;
dd) Taking advantage of
divorce to evade property-related obligations, contravene population policies
or laws, or achieve purposes other than the termination of marriage.
3. Remedial measure:
Enforced return of illicit
gains obtained from the commission of the violation in Point d or dd Clause 2
of this Article.
Article
63. Violations against regulations on childbirth
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2. Remedial measure:
Enforced return of illicit
gains obtained from the commission of the violation in Clause 1 of this Article.
Article
64. Violations against regulations on guardianship
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for evading or failing to perform
guardianship obligations after registration of guardianship.
2. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Taking advantage of the
exercise of a guardian’s rights or the performance a guardian’s duties for
personal gain;
b) Taking advantage of the
exercise of a guardian’s rights or the performance a guardian’s duties to
commit sexual abuse or exploit the labor of the ward.
3. Remedial measures:
a) Enforced return of
illicit gains obtained from the violation in Clause 2 of this Article;
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Chapter
V
ADMINISTRATIVE
VIOLATIONS AGAINST REGULATIONS ON CIVIL JUDGMENT ENFORCEMENT, PENALTIES, FINES,
AND REMEDIAL MEASURES
Section
1. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON CIVIL JUDGMENT ENFORCEMENT,
PENALTIES, FINES, AND REMEDIAL MEASURES
Article
65. Violations against regulations on civil judgment enforcement
1. A fine ranging from VND
500.000 to VND 1.000.000 shall be imposed for failing to appear at the place
specified in a second notice or summons issued by a competent judgment
enforcement officer a without justifiable reason.
2. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to provide
personal identification information or information relating to the property
subject to disposition for judgment enforcement at the request of a competent
judgment enforcement officer without a justifiable reason; or failing to hand
over documents relating to such property at the request of a competent judgment
enforcement officer without a justifiable reason;
b) Failing to notify the
civil judgment enforcement agency of any change in address or place of residence;
c) Failing to declare, or
declaring incompletely or inaccurately, property, income, or conditions
relevant to judgment enforcement at the request of a competent judgment
enforcement officer;
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dd) Resisting,
obstructing, or inciting others to resist or obstruct the enforcement of a
civil judgment;
e) Disturbing public order
at the place of judgment enforcement or committing other acts that obstruct the
enforcement of a civil judgment, if not liable to criminal prosecution.
3. A fine ranging from VND
3.000.000 to VND 5.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to perform
obligations specified in the judgment or decision;
b) Failing to cease acts
which are prohibited under a judgment or decision;
c) Delaying the
performance of obligations required by a judgment where the judgment debtor is
capable of performing them;
d) Providing false
information or documents for a civil judgment enforcement agency.
4. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Intentionally damaging
property in order to evade the performance of obligations required by a
judgment or to frustrate the attachment of property;
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c) Failing to comply with a
decision issued by a competent judgment enforcement officer on the deduction
from income;
d) Failing to comply with
a decision issued by a competent judgment enforcement officer on the temporary
seizure of property and documents for judgment enforcement purposes;
dd) Failing to comply with
a decision issued by a competent judgment enforcement officer on the suspension
of registration, transfer of ownership or use rights, or modification of the
existing status of property;
e) Failing to comply with
a decision issued by a competent judgment enforcement officer on the transfer
or return of property and documents for judgment enforcement purposes;
g) Failing to provide
information on the bank accounts and income of the judgment debtor without a
justifiable reason, or providing such information inaccurately or incompletely;
h) Abusing one’s position
or authority to obstruct the provision of information on the bank accounts and
income of the judgment debtor, or hinder account blockade or deductions for
judgment enforcement purposes; unlawfully disclosing or misusing such
information for purposes other than judgment enforcement purposes.
5. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Intentionally disposing
of or concealing property to evade obligations under a judgment or to avoid the
attachment of property;
b) Illegally using,
consuming, transferring, swapping, hiding, or changing the status of attached
property, if not liable to criminal prosecution;
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d) Destroying the attached
property;
dd) Failing to comply with
a decision issued by a competent judgment enforcement officer on the collection
of the judgment debtor’s money or property kept by a third party;
e) Failing to comply with
a judgment enforcement decision regarding the application of an interim injunctive
relief or a court ruling or judgment which must be executed immediately;
g) Disclosing information
to the judgment debtor that enables the transfer or withdrawal of funds from a
bank account, thereby interfering with the enforcement of a judgment.
6. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to comply with
a decision issued by a competent judgment enforcement officer on the deduction
from bank accounts or the seizure of valuable papers of the judgment debtor;
b) Failing to comply with
a decision issued by a competent judgment enforcement officer on the collection
of money from business activities of the judgment debtor or money held by the
judgment debtor;
c) Failing to comply with
a decision issued by a competent judgment enforcement officer on the
attachment, use, or exploitation of the intellectual property rights of the
judgment debtor.
7. A fine ranging from VND
30.000.000 to VND 40.000.000 shall be imposed for failing to comply with a
decision issued by a competent judgment enforcement officer on the blockade of
accounts or attachment of property of the judgment debtor.
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a) Enforced restoration to
the original conditions affected by the violation in Point a Clause 4, or Point
a or b Clause 5 of this Article;
b) Enforced restoration to
original conditions, where necessary, in case of commission of the violation in
point b Clause 3 of this Article.
Article
66. Violations against regulations on civil judgment enforcement committed by
bailiffs
1. A fine ranging from VND
500.000 to VND 1.000.000 shall be imposed for failing to notify a decision or
other documents regarding civil judgment enforcement within the prescribed time
limit and in the prescribed form to the litigants and persons with relevant
rights and obligations as prescribed.
2. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to carry out
verification of the conditions for judgment enforcement or failing to complete
such verification within the prescribed time limit;
b) Carrying out
verification of the conditions for judgment enforcement with incomplete
information, or incorrect subject or location;
c) Making a record of
verification of the conditions for judgment enforcement in contravention of
regulations;
d) Violating regulations
on confidentiality of information relating to verification of the conditions
for judgment enforcement;
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3. A fine ranging from VND
5.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to allow
litigants to reach agreements on prices or selection of valuation organization
or property auction practice organization;
b) Entering into a
valuation agreement with an unqualified valuation organization;
c) Failing to notify
litigants of valuation results before entering into the property auction
agreement;
d) Failing to strictly
comply with regulations on litigants’ requests for revaluation of their
property.
4. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to make
payments under a judgment in the prescribed order or in the prescribed
proportions.
b) Making cash payments in
contravention of regulations in case the judgment debtor is an enterprise,
agency, organization, or individual holding a bank account;
c) Paying collected
judgment sums into the fund in contravention of regulations;
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dd) Verifying enforcement
conditions or organizing the enforcement of a judgment relating to rights or
interests of the bailiff or his/her relative, including: his/her spouse,
biological or adopted child, biological or adoptive parent, paternal or
maternal grandparent, paternal or maternal uncle or aunt, biological sibling,
sibling of the bailiff’s spouse, nephew, niece, or grandchild of the bailiff.
5. A fine ranging from VND
15.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to pay
collected judgment sums into the fund within the prescribed time limit;
b) Using the judgment sums
in contravention of regulations.
6. Additional penalties:
a) The bailiff’s card
shall be suspended for a fixed period of 06 – 09 months in case of commission
of the violation in Point c, d or dd Clause 4 of this Article;
b) The bailiff’s card
shall be suspended for a fixed period of 09 – 12 months in case of commission
of the violation in Clause 5 of this Article;
7. Remedial measure:
Enforced return of illicit
gains obtained from the commission of the violation in Clause 4 or Point b
Clause 5 of this Article.
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Article
67. Violations against regulations on applications for appointment,
re-appointment, or dismissal of bailiffs, and registration of bailiff practice;
applications for establishment, transformation, consolidation, merger,
transfer, operation registration, and registration of changes to operation
registration contents of bailiff offices
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for appointment, re-appointment or
dismissal of bailiff, or an application for registration of bailiff practice;
b) Erasing, altering, or
falsifying documents issued by competent authorities, organizations, or
persons, and included in an application for establishment, transformation,
consolidation, merger, transfer, operation registration, or registration of
changes to operation registration contents of a bailiff office.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Making untruthful
declarations or concealing information on individuals or organizations in an
application for appointment, re-appointment, or dismissal of a bailiff, an
application for registration of bailiff practice, or an application for
establishment, transformation, consolidation, merger, transfer, operation
registration, or registration of changes to operation registration contents of a
bailiff office;
b) Using a certification
that does not comply with the requirements as prescribed in Clause 3 of this
Article.
3. A fine ranging from VND
15.000.000 to VND 25.000.000 shall be imposed for commission of one of the
following violations:
a) Giving a certification
of law practice period that is incorrect in order to apply for appointment as a
bailiff;
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4. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Clause 1 of this
Article shall be confiscated.
5. Remedial measures:
a) Proposed consideration
and handling by competent authorities, organizations or persons of their issued
documents involving in one of the violations in Clauses 1 and 2 of this Article;
b) Enforced return of
original copies of erased, altered, or falsified documents to issuing authorities
or persons in case of commission of the violation in Clause 1 of this Article,
unless such original copies have been confiscated as prescribed in clause 4 of
this Article;
c) Enforced return of
illicit gains obtained from the commission of one of the violations in Clauses
1, 2 and 3 of this Article.
Article
68. Violations against regulations on bailiff practice
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to fully
participate in annual professional training or continuing education courses for
bailiffs without legitimate reasons;
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2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying the bailiff’s card;
b) Rectifying technical
errors in bailiff records against regulations;
c) Supervising a bailiff
traineeship without satisfying the eligibility requirements as prescribed;
d) Refusing to supervise a
bailiff traineeship against regulations.
3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to participate
in annual professional training or continuing education courses for bailiffs
without legitimate reasons;
b) Engaging in bailiff
practice at a bailiff office other than the one where the bailiff is
registered, or practicing at 02 or more bailiff offices simultaneously;
c) Practicing as a bailiff
while simultaneously practicing as a notary, lawyer, valuer, auctioneer, or
asset management and liquidation officer;
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dd) Claiming any amounts
of money or benefits other than those agreed upon in the service contract;
e) Serving documents,
files, or records at the request of the Court, Procuracy, or civil judgment
enforcement agency in contravention of regulations;
g) Serving documents,
files, or records relating to judicial assistance in the civil field of foreign
competent authorities against regulations;
h) Drawing up bailiff
records which do not comply with the prescribed form or contents;
i) Failing to sign each
page of the bailiff record as prescribed.
4. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Using information on
bailiff’s activities to infringe upon lawful rights and interests of other
individuals, authorities, or organizations;
b) Drawing up bailiff
records against regulations on national defense and security, including:
Infringing upon national defense and security objectives; disclosing state
secrets, or disseminating information, documents and objects classified as
state secrets; violating regulations on entry into/exit from or travel within
banned zones, restricted zones, or safety belts of national defense and
security works and military zones; violating regulations on protection of
secrets, national defense and security works, and military zones;
c) Drawing up bailiff
records that infringe upon one’s private life, personal secrets, or family
secrets as prescribed in the Civil Code, or are contrary to social ethics;
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dd) Drawing up bailiff
records of events or acts for the transfer of land use rights or property
ownership without documents evidencing such land use rights or ownerships as
prescribed by law;
e) Drawing up bailiff
records of events or acts for the conduct of illegal transactions of requesters;
g) Drawing up bailiff
records of events or acts of on-duty officials, public employees, officers,
non-commissioned officers, defense public employees or workers working at
authorities or units of people’s army, or on-duty officers, non-commissioned
officers or soldiers working at authorities or units of people’s public security;
h) Violating the rules of
professional ethics of bailiffs as prescribed by law;
i) Preparing documents
enclosed to the bailiff records against the prescribed authority and scope.
5. A fine ranging from VND
15.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Allowing another person
to use one’s bailiff appointment or reappointment decision;
b) Allowing another person
to use the bailiff’s card;
c) Using the bailiff
appointment or reappointment decision or the bailiff’s card of another person
to practice as bailiff.
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7. The bailiff’s card
shall be suspended for a period of 09 – 12 months for the commission of one of
the following violations:
a) Drawing up bailiff
records of events or acts which have not been directly witnessed by the bailiff;
b) Colluding with the
requester and related persons to falsify contents of the bailiff record or any
document in the case file.
8. Additional penalties:
a) The bailiff’s card
shall be suspended for a fixed period of 01 – 03 months in case of commission
of the violation in Point dd Clause 3 of this Article;
b) The bailiff’s card
shall be suspended for a fixed period of 06 - 09 months in case of commission
of the violation in Point b Clause 3, Clause 4, or Point b Clause 5 of this
Article;
c) The bailiff’s card
shall be suspended for a fixed period of 09 – 12 months in case of commission
of the violation in Point c Clause 3 of this Article.
9. Remedial measures:
a) Enforced return of the
bailiff’s card which has been erased, altered, or falsified, to the issuing
authority or person in case of commission of the violation in Point a Clause 2
of this Article;
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c) Enforced return of
illicit gains obtained from the commission of the violation in Point dd Clause
3, Point b, c, d, dd, e, g, or h Clause 4, Clause 5, 6, or 7 of this Article;
d) Enforced notification
on the web portal or website of the provincial-level Department of Justice
where the bailiff is registered of the bailiff records drawn up in the
violation in Clause 7 of this Article.
Article
69. Violations against regulations on operations of bailiff offices
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to provide
bailiffs with uniforms as prescribed;
b) Archiving case files
against regulations.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to assign bailiffs
to participate in professional training or continuing education courses for
bailiffs;
b) Serving documents,
files, or records beyond the authorized scope of operation or the prescribed
jurisdiction;
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d) Drawing up bailiff
records without entering in a service contract or with a service contract whose
contents are inconsistent with law;
dd) Failing to send
bailiff records and documentary evidences to the provincial-level Department of
Justice for operation registration within the prescribed time limit;
e) Assigning a bailiff who
fails to meet eligibility requirements to supervise bailiff trainees;
g) Assigning a bailiff to
supervise more than 03 bailiff trainees simultaneously;
h) Failing to post or
fully post the office timetable or the internal rules for reception of
requesters at the bailiff office;
i) Failing to post or
fully post the procedures and charges for rendering services at the bailiff
office;
k) Preparing, managing, or
using records and forms in contravention of regulations;
l) Failing to fully
implement regulations on information provision and reporting;
m) Failing to display a
signboard of the prescribed form;
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a) Failing to display a
signboard as prescribed;
b) Failing to prepare,
manage, and use records and forms as prescribed;
c) Failing to implement
regulations on information provision and reporting; failing to submit reports
at the request of competent authorities for inspection, examination and
supervision purposes;
d) Failing to send bailiff
records and documentary evidences to the provincial-level Department of Justice
for operation registration as prescribed;
dd) Collecting service
charges against regulations or at a rate higher than the one agreed upon in the
service contract;
e) Operating at a location
other than the one stated in the certificate of operation registration;
g) Failing to adequately
and continuously purchase professional liability insurance for bailiffs.
4. A fine ranging from VND
10.000.000 to VND 15.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying the establishment decision or operation registration certificate of
a bailiff office;
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c) Engaging in production,
business or service provision in addition to bailiff practice activities;
d) Failing to purchase
professional liability insurance for bailiffs;
dd) Failing to notify the
bailiff who no longer works at its office to the relevant provincial-level
Department of Justice for deregistration.
5. A fine ranging from VND
15.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Opening a branch,
representative office, or transaction office outside its office;
b) Failing to carry out
registration of bailiff practice for its bailiffs as prescribed;
c) Failing to carry out
registration of changes in name, address, or full name of the head of the
bailiff office, list of its bailiffs being general partners, or list of
bailiffs working under employment contracts as prescribed;
d) Allowing persons who
are not its bailiffs to practice as bailiffs under its name;
dd) Allowing others to use
its establishment decision or operation registration certificate.
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7. Additional penalties:
a) Operations of the
violating entity shall be suspended for a fixed period of 01- 03 months in case
of commission of the violation in Point e Clause 3 of this Article;
b) Operations of the
violating entity shall be suspended for a fixed period of 03- 06 months in case
of commission of the violation in Point c Clause 4, or Point a or d Clause 5 of
this Article;
c) Operations of the
violating entity shall be suspended for a fixed period of 06- 09 months in case
of commission of the violation in Point dd Clause 5 of this Article;
d) The exhibit, including
the erased, altered, or falsified decision on approval for establishment of the
bailiff office, of the violation in Point a Clause 4 of this Article shall be
confiscated.
8. Remedial measures:
a) Enforced restoration to
the original conditions affected by the violation in Point a Clause 5 of this
Article;
b) Enforced return of
original copy of erased, altered, or falsified decision on approval for
establishment of the bailiff office to the issuing authority or person in case
of commission of the violation in point a Clause 4 of this Article, unless such
original copy has been confiscated as prescribed in point d clause 7 of this
Article;
c) Enforced return of
erased, altered, or falsified operation registration certificate of the bailiff
office to the issuing authority or person in case of commission of the
violation in Point a Clause 4 of this Article;
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Chapter
VI
ADMINISTRATIVE
VIOLATIONS AGAINST REGULATIONS ON BANKRUPTCY AND REHABILITATION OF ENTERPRISES
AND COOPERATIVES, PENALTIES, FINES, AND REMEDIAL MEASURES
Article
70. Obstruction or hindrance to exercise of right to file petitions
A fine ranging from VND
500.000 to VND 1.000.000 shall be imposed for obstructing or hindering the
exercise of the right to file a petition for the commencement of bankruptcy
proceedings against an insolvent enterprise or cooperative by persons entitled
to file such petition.
Article
71. Violations against regulations on obligations to file petitions
A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed on the legal representative of an
enterprise or cooperative; the Board of Directors of a joint-stock company; the
Board of Members of a multi-member limited liability company; the Board of
General Partners of a partnership; the General Meeting of Members of a
cooperative; the sole proprietor of a sole proprietorship; or the owner of a
single-member limited liability company for failing to file a petition for the
commencement of bankruptcy proceedings when the enterprise or cooperative
becomes insolvent, except where a petition for the application of
rehabilitation procedures has already been filed.
Article
72. Violations against regulations on obligations of participants in bankruptcy
and rehabilitation proceedings, and of agencies, organizations and individuals
involved in bankruptcy and rehabilitation cases
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed upon a participant in bankruptcy or
rehabilitation proceedings for commission of one of the following violations:
a) Failing to comply with
requests made by the Judge, the asset management officer, the asset management
and liquidation enterprise, or the civil judgment enforcement agency in
accordance with regulations of law on rehabilitation and bankruptcy;
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c) Failing to appear at
the request of the asset management officer or the asset management and
liquidation enterprise, pursuant to a court summons, or failing to comply with
decisions of the Court during the resolution of the bankruptcy or
rehabilitation case.
2. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed upon an agency, organization, or
individual involved in a bankruptcy or rehabilitation case for commission of
one of the following violations:
a) Failing to fully and
promptly provide documents and evidence related to the bankruptcy or
rehabilitation case within the prescribed time limit at the request of
creditors, the subject enterprise or cooperative, the Court, the Procuracy, the
asset management officer, or the asset management and liquidation enterprise;
b) Failing to provide
information on debts, legal status, and other information relating to the
enterprise or cooperative during the resolution of the bankruptcy or
rehabilitation case within the prescribed time limit at the request of the
Court;
c) Failing, without
legitimate reasons, to comply with requests or requirements of the Court during
the resolution of the bankruptcy or rehabilitation case.
3. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed upon a participant in bankruptcy or
rehabilitation proceedings, any employee, agency, organization or individual
involved in the bankruptcy or rehabilitation case for intentionally concealing
or liquidating assets, documents or evidence of the enterprise or cooperative.
4. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for abusing bankruptcy or
rehabilitation proceedings in order to infringe upon the lawful rights and
interests of the State, agencies, organizations or individuals.
5. Remedial measure:
Enforced restoration to
the original conditions affected by the violation in Clause 3 of this Article.
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1. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed for filing a petition for the
commencement of bankruptcy proceedings in a non-objective manner, thereby
adversely affecting the honor, reputation, or business operations of an
enterprise or cooperative.
2. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed on a petitioner for committing
fraudulent acts in filing a petition for the commencement of bankruptcy
proceedings, thereby adversely affecting the honor, reputation, or business
operations of an enterprise or cooperative.
Article
74. Violations against regulations on operations of enterprises and
cooperatives after Court’s acceptance of petition or issuance of decision to
commence bankruptcy proceedings
1. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed upon an enterprise or cooperative
for failing, after the Court has accepted a petition for the application of
rehabilitation proceedings, to report to the asset management officer or the
asset management and liquidation enterprise for supervision prior to performing
one of the following activities:
a) Carrying out activities
relating to borrowing; pledge, mortgage, guarantee and other measures securing
the performance of obligations; purchase, sale, transfer or lease of assets;
sale or transfer of shares or capital contributions; or transfer of ownership
of assets;
b) Terminating the
performance of an effective contract;
c) Paying debts incurred
after the Court has accepted the petition, or paying salaries to employees of
the enterprise or cooperative;
d) Conducting other
transactions inconsistent with the interests of the enterprise or cooperative.
2. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed upon an enterprise or cooperative
for failing, after a decision to commence bankruptcy proceedings has been
issued, to report to the asset management officer, the asset management and
liquidation enterprise, or the creditors’ committee, prior to performing one of
the following activities:
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b) Terminating the
performance of an effective contract;
c) Paying debts incurred
after the Court has accepted the petition, or paying salaries to employees of
the enterprise or cooperative;
d) Conducting other
transactions inconsistent with the interests of the enterprise or cooperative.
3. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed upon an enterprise or cooperative
for, after the Court has accepted a petition for the application of
rehabilitation proceedings or after a decision to commence bankruptcy
proceedings has been issued, performing one of the following acts:
a) Concealing, liquidating
or donating assets;
b) Renouncing the right to
claim debts;
c) Paying debts arising
prior to the Court’s acceptance of the petition;
d) Converting unsecured
debts into secured debts or debts partially secured using assets of the
enterprise or cooperative;
dd) Distributing profits
or allocating income.
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Enforced restoration to
the original conditions affected by the violation in Clause 3 of this Article.
Article
75. Violations against regulations on time limits and obligations relating to
inventory of assets
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed upon an insolvent enterprise or
cooperative for failing to conduct an inventory of assets, report the results of
such inventory, or carry out valuation of such assets within the prescribed
time limit, after receipt of a decision to commence bankruptcy proceedings.
2. A fine ranging from VND
5.000.000 to VND 10.000.000 shall be imposed upon a representative of an enterprise
or cooperative or any other person for failing to cooperate in the inventory of
assets, intentionally concealing assets, or intentionally falsifying the
inventory of assets;
Article
76. Violations against regulations on obligations of banks holding accounts of
enterprise or cooperative subject to liquidation proceedings
1. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed upon a credit institution where
an enterprise or cooperative declared bankrupt maintains accounts for paying
debts of such bankrupt enterprise or cooperative after receipt of the Court’s
decision declaring bankruptcy, unless agreed in writing by the Court or the
civil judgment enforcement agency.
2. Remedial measure:
Enforced recovery of any
payments improperly made in case of commission of the violation prescribed in
this Article.
Article
77. Violations against regulations on participation in creditors’ meeting
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Article
78. Violations against regulations on supervision of implementation of business
rehabilitation plans
A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed upon an enterprise or cooperative
for failing to submit report on the implementation of its business
rehabilitation plan to the asset management officer, the asset management and
liquidation enterprise, the creditors’ committee, or creditors.
Article
79. Violations against regulations on applications for practicing certificates
for asset management officers; registration of asset management and liquidation
practice as an individual; registration of practice by asset management and
liquidation enterprise
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or falsifying
documents issued by competent authorities, organizations, or persons, and
included in an application for asset management officer’s practicing
certificate; registration of asset management and liquidation practice as an
individual; or registration of practice by asset management and liquidation
enterprise;
b) Making untruthful
declarations in an application for issuance or re-issuance of asset management
officer’s practicing certificate; registration of asset management and
liquidation practice as an individual; or registration of practice by
asset management and liquidation enterprise.
2. Additional penalty:
The exhibits, including
erased, altered, or falsified documents, of the violation in Point a Clause 1
of this Article shall be confiscated.
3. Remedial measures:
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b) Enforced return of
original copies of erased, altered, or falsified documents to issuing
authorities or persons in case of commission of the violation in Point a Clause
1 of this Article, unless such original copies have been confiscated as
prescribed in clause 2 of this Article;
Article
80. Violations against regulations on asset management and liquidation practice
1. A fine ranging from VND
1.000.000 to VND 3.000.000 shall be imposed for commission of one of the
following violations:
a) Erasing, altering, or
falsifying asset management officer’s practicing certificates, or documents
supporting the inclusion in the list of asset management officers, and asset
management and liquidation enterprises;
b) Failing to submit
reports to the Department of Justice of province or central-affiliated city
where practicing activities are registered, or at the request of competent
authorities, on asset management and liquidation practice in accordance with
regulations;
c) Failing to notify the
Department of Justice of province or central-affiliated city where practicing
activities are registered of the termination of operations or termination of
asset management and liquidation practice;
d) Failing to notify
within the prescribed time limit of participation in a bankruptcy case;
dd) Failing to report to
the enforcement officer on the selection of valuation organization or property
auction practice organization for the conclusion of valuation or auction
contract when conducting asset valuation or sale in accordance with
regulations;
e) Failing to report to
the enforcement officer on changes in the valuation organization or property
auction practice organization; failure to select valuation organization or
property auction practice organization; or unsuccessful auction;
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h) Archiving documents on
asset management and liquidation activities in contravention of regulations.
2. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Allowing another person
to use one’s practicing certificate for asset management officer to practice
asset management and liquidation;
b) Using another person’s
practicing certificate for asset management officer to practice asset
management and liquidation;
c) Performing asset
management and liquidation activities when having a business association with
the insolvent enterprise or cooperative as prescribed in the law on
enterprises, or where there are sufficient grounds that the bankruptcy judge or
civil judgment enforcement agency has made the request that is unlawful or
inconsistent with the principles of asset management and liquidation practice,
or the code of professional ethics for asset management officers;
d) Establishing or
participating in the establishment of 02 or more asset management and
liquidation enterprises at the same time;
dd) Simultaneously
registering to practice asset management and liquidation as an individual and
to practice at an asset management and liquidation enterprise;
e) Practicing at 02 or
more asset management and liquidation enterprises at the same time;
g) Failing to apply for
approval of changes in registered practice address; failing to purchase
professional liability insurance as required for an asset management officer
practicing as an individual;
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3. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Giving hints for or
receiving any sum of money or material benefits from participants in bankruptcy
proceedings; abusing the asset management officer’s position or abusing the
powers and duties of the enterprise to obtain benefits from individuals or
organizations in addition to the fees paid to an asset management officer as
prescribed;
b) Abusing duties and
powers to collude with individuals or organizations for personal gain;
c) Disclosing information
relating to cases, matters, or clients obtained during the practice of asset
management, unless agreed in writing by the enterprise or cooperative or
otherwise prescribed by law;
d) Failing to report to,
and obtain the opinion of, the Judge prior to carrying out set-off of
obligations in accordance with regulations, unless otherwise prescribed by law;
dd) Failing to prepare
lists of creditors and debtors, verify debts, or collect documents relating to
debts in accordance with Clause 3 Article 55 of the Law on Bankruptcy and
Rehabilitation No. 142/2025/QH15;
e) Preparing lists of
creditors or debtors containing incomplete information as prescribed;
g) Failing to publish
lists of creditors and debtors on the National portal on enterprise and
cooperative rehabilitation and bankruptcy at least 07 days prior to the
convening of the creditors’ meeting;
h) Failing to review
transactions of the enterprise or cooperative in accordance with regulations;
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k) Failing to report to
the Judge on contents of supervision in accordance with regulations;
l) Failing to report to
the Judge on the implementation of the business rehabilitation plan in
accordance with regulations;
m) Failing to conduct
mediation at the request of the enterprise or cooperative, creditors, or other
participants in bankruptcy or rehabilitation proceedings.
4. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for practicing asset management
and liquidation without satisfying the conditions for such practice.
5. Additional penalties:
a) The asset management
officer’s practicing certificate shall be suspended for a fixed period of 01 –
03 months in case of commission of the violation in Point a, b, c, d, dd, or e
Clause 2 of this Article;
b) The asset management
officer’s practicing certificate shall be suspended for a fixed period of 03 -
06 months in case of commission of the violation in Clause 3 of this Article.
6. Remedial measures:
a) Enforced return of
original copies of erased, altered, or falsified documents to their issuing
authorities or persons in case of commission of the violation in Point a Clause
1 of this Article;
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Article
81. Violations against regulations on operation of asset management and
liquidation enterprises
1. A fine ranging from VND
3.000.000 to VND 7.000.000 shall be imposed for commission of one of the
following violations:
a) Failing to send a
written notice to the Department of Justice of the province or
central-affiliated city where the asset management and liquidation enterprise
is headquartered after its branch or representative office has been issued with
an operation registration certificate, or to the Department of Justice of the
province or central-affiliated city where its branch or representative office
is located in case the asset management and liquidation enterprise establishes
a branch or representative office in a province or central-affiliated city
other than the one where it is headquartered;
b) Failing to request the
Department of Justice of the province or central-affiliated city where the
enterprise’s practicing activities are registered to modify registered
information on asset management and liquidation practice upon occurrence of any
change in the enterprise’s name, headquarters address, representative office,
branch, legal representative, or list of asset management officers who work for
the asset management and liquidation enterprise, in accordance with regulations.
2. A fine ranging from VND
7.000.000 to VND 10.000.000 shall be imposed for commission of one of the
following violations:
a) Allowing another
individual or organization to use its name or enterprise registration
certificate to practice asset management and liquidation;
b) Appointing a person who
is not an asset management officer to perform asset management and liquidation
activities;
c) Operating beyond or
inconsistently with the scope of the enterprise’s registered activities;
d) Failing to purchase
professional liability insurance for asset management officers working for the
enterprise.
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4. Remedial measure:
Enforced return of illicit
gains obtained from the commission of the violation in Point c Clause 2 or
Clause 3 of this Article.
Chapter
VII
OTHER
VIOLATIONS
Article
82. Forgery of documents, or use of forged documents of agencies or
organizations
1. Upon detection of any
act of forging documents or using forged documents of agencies or organizations
in an application for: issuance, re-issuance, renewal or modification of
license; practicing certificate; card; registration or re-registration of
operations; traineeship registration; appointment or dismissal; establishment
license; or other documents or instruments in the fields of judicial support,
judicial administrative actions, marriage and family, civil judgment
enforcement, or bankruptcy and rehabilitation of enterprises and cooperatives,
the competent person who is handling the case shall immediately transfer the
case file to the authority competent to institute criminal proceedings for
criminal prosecution in accordance with Article 62 of the Law on Handling of
Administrative Violations.
Where a decision not to
file criminal charges is issued, the authority competent to institute criminal
proceedings shall return the case file to the person having power to impose
penalties as prescribed in Clause 3 Article 62 of the Law on Handling of
Administrative Violations for imposing penalties in accordance with clauses 2,
3 and 4 of this Article.
2. A fine ranging from VND
10.000.000 to VND 20.000.000 shall be imposed for commission of one of the
following violations:
a) Using forged documents
of agencies or organizations in an application for issuance of lawyer’s
practicing certificate or admission to a Bar Association; issuance of
certificate of registration to practice law or license to practice law in
Vietnam; an application for registration of operation for law practice
organization or its branch; an application for establishment license or
operation registration certificate for a branch of a foreign law practice
organization, foreign law firm, or its branch in Vietnam;
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c) Using forged documents
of agencies or organizations in an application for establishment or operation
registration of judicial expertise office;
d) Using forged documents
of agencies or organizations in applying or following procedures for issuance
of auctioneer practicing certificate; or in an application for operation
registration or approval of changes to operation registration contents of a
property auction enterprise;
dd) Using forged documents
of agencies or organizations in an application for establishment or operation
registration of an arbitration centre, or registration of its branch;
establishment, operation registration, or changes in the name or scope of
operation of a branches of a foreign arbitration organization in Vietnam;
establishment, replacement of the chief representative, or relocation of a
representative office of a foreign arbitration organization in Vietnam;
e) Using forged documents
of agencies or organizations in an application for establishment, operation
registration, or changes in the name or headquarters address of a commercial
mediation center; an application for operation registration for a branch of a
commercial mediation center; an application for establishment, operation
registration, or changes in the name, head, or location of a branch of a
foreign commercial mediation organization in Vietnam; or an application for
establishment or changes in the name, chief, or location of a representative
office of a foreign commercial mediation organization in Vietnam;
g) Using forged documents
of agencies or organizations in applying or following procedures for
appointment or re-appointment of bailiff; or in an application for
establishment, operation registration, changes to operation registration
contents, or practice registration for bailiffs;
h) Using forged documents
of agencies or organizations in an application for issuance, renewal, or
modification of the operating license of a foreign adoption office in Vietnam;
i) Using forged documents
of agencies or organizations in an application for issuance of asset management
officer’s practicing certificate; registration of asset management and
liquidation practice as an individual; or registration of practice by asset
management and liquidation enterprise;
k) Using forged
certificates, cards, registration certificates, or licenses;
l) Using forged papers or
documents to request notarization;
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n) Using forged papers or
documents to establish eligibility to receive legal aid, or provide legal aid, or
act as legal aid service provider;
o) Using forged papers or
documents to follow procedures for registration, determination, change,
correction and addition of civil status information;
p) Using forged papers or
documents to follow nationality procedures;
q) Using forged papers or
documents to follow child adoption registration procedures;
r) Using forged papers,
documents or evidence as the basis for claiming compensation; evidencing right
to claim compensation; withdrawing compensation claims and serving the
resolution of compensation claims;
s) Using forged papers or
documents to request judgment enforcement or falsify civil judgment enforcement
order, procedures or results.
3. A fine ranging from VND
20.000.000 to VND 30.000.000 shall be imposed for commission of one of the
following violations:
a) Forging documents of
agencies or organizations in an application for issuance of lawyer’s practicing
certificate or admission to a Bar Association; issuance of certificate of
registration to practice law or license to practice law in Vietnam; an
application for registration of operation for law practice organization or its
branch; an application for establishment license or operation registration
certificate for a branch of a foreign law practice organization, foreign law
firm, or its branch in Vietnam;
b) Forging documents of
agencies or organizations in applying or following procedures for appointment,
re-appointment or dismissal of a notary, or issuance of notary card; or in an
application for establishment, operation registration, or registration of
changes to operation registration contents, or practice registration for
notaries of a private notary office;
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d) Forging documents of
agencies or organizations in applying or following procedures for issuance of
auctioneer practicing certificate; or in an application for operation
registration or approval of changes to operation registration contents of a
property auction enterprise;
dd) Forging documents of
agencies or organizations in an application for establishment or operation
registration of an arbitration centre, or registration of its branch;
establishment, operation registration, or changes in the name or scope of
operation of a branch of a foreign arbitration organization in Vietnam;
establishment, replacement of the chief representative, or relocation of a
representative office of a foreign arbitration organization in Vietnam;
e) Forging documents of
agencies or organizations in an application for establishment, operation
registration, or changes in the name or headquarters address of a commercial
mediation center; an application for operation registration for a branch of a
commercial mediation center; an application for establishment, operation
registration, or changes in the name, head, or location of a branch of a
foreign commercial mediation organization in Vietnam; or an application for
establishment or changes in the name, chief, or location of a representative
office of a foreign commercial mediation organization in Vietnam;
g) Forging documents of
agencies or organizations in applying or following procedures for appointment
or re-appointment of bailiff; or in an application for establishment, operation
registration, changes to operation registration contents, or practice
registration for bailiffs;
h) Forging documents of
agencies or organizations in an application for issuance, renewal, or
modification of the operating license of a foreign adoption office in Vietnam.
i) Forging documents of
agencies or organizations in an application for issuance of asset management
officer’s practicing certificate; registration of asset management and
liquidation practice as an individual; or registration of practice by asset
management and liquidation enterprise;
k) Forging certificates,
cards, registration certificates, or licenses;
l) Forging papers or
documents to request notarization;
m) Forging papers or
documents to request certification;
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o) Forging papers or
documents to follow procedures for registration, determination, change, correction
and addition of civil status information;
p) Forging papers or
documents to follow nationality procedures;
q) Forging papers or
documents to follow child adoption registration procedures;
r) Forging papers,
documents or evidence as the basis for claiming compensation; evidencing right
to claim compensation; withdrawing compensation claims and serving the
resolution of compensation claims;
s) Forging papers or
documents to request judgment enforcement or falsify civil judgment enforcement
order, procedures or results.
4. Remedial measures:
a) Enforced revocation and
cancellation of forged papers, documents or evidences in case of commission of
one of the violations in Clause 2 and Clause 3 of this Article;
b) Enforced return of illicit
gains obtained from the commission of one of the violations in Clause 2 and
Clause 3 of this Article;
c) Proposed consideration
and handling by competent authorities, organizations, or persons of their
issued documents or papers involving in the violation in Clause 2 of this
Article;
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Chapter
VIII
POWER
TO MAKE RECORDS OF AND IMPOSE PENALTIES FOR ADMINISTRATIVE VIOLATIONS
Article
83. Power to make records of administrative violations
While performing their
duties, the following persons have the power to make records of administrative
violations:
1. The persons having the
power to impose administrative penalties mentioned in Articles 84, 85, 86, 87,
88 and 89 of this Decree.
2. Civil servants working
in judicial – civil status sector who have the power to make records of
administrative violations in clause 1, point a clause 2 Article 19; Articles
21, 37, 38, 40, 41, 42, 43, 44, 45, 47, 48, 50, 51; Section 3 Chapter III
Chapter IV; points m, o, q and s clause 2, points m, o, q and s clause 3
Article 82 of this Decree.
3. Civil servants and
public employees working for provincial-level Departments of Justice who have
the power to make records of administrative violations in Chapters II, III, IV,
VI and VII of this Decree.
4. Civil servants working
for civil judgment enforcement agencies who have the power to make records of
administrative violations in Chapter V and point s clause 2, point s clause 3
Article 82 of this Decree.
5. Civil servants working
for units affiliated to the Ministry of Justice who are assigned to perform
state management and specialized inspection of judicial support, judicial
administrative actions, marriage and family, and civil judgment enforcement,
and have the power to make records of administrative violations in this Decree
within the ambit of their assigned functions and tasks.
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7. Diplomatic service
officers and consular officers working for diplomatic missions, consular
missions and other missions authorized to perform consular duties of the
Socialist Republic of Vietnam in foreign countries who have the power to make
records of administrative violations in clause 1 and point a clause 2 Article
19; Articles 20, 21, 37, 38, 40, 41, 42, 43, 44, 45 and 46; points m, o and q
clause 2, points m, o and q clause 3 Article 82 of this Decree.
8. Civil servants and
public employees working for Ministries, ministerial agencies, and
provincial-level specialized agencies in charge of management of judicial
expertise and judicial expertise organizations who have the power to make
records of administrative violations in Section 6 Chapter II of this Decree.
9. Public employees of
public notary offices who have the power to make records of administrative
violations in Article 14; clause 1 and point a clause 2 Article 19; points l
and m clause 2, points l and m clause 3 Article 82 of this Decree.
10. Public employees of
property and transaction registration center; civil servants and public
employees of authorities competent to carry out registration of security
interests by land use rights, property on land, aircrafts and ships, who have
the power to make records of administrative violations in Section 4 Chapter III
of this Decree.
11. Public employees of
state legal aid centers who have the power to make records of administrative
violations in Article 53; point n clause 2 and point n clause 3 Article 82 of
this Decree committed by persons receiving legal aid.
12. Public employees of
property auction service centers who have the power to make records of
administrative violations in Article 29 of this Decree.
13. Enforcement officers
assigned to enforce decisions to declare bankruptcy who have the power to make
records of administrative violations in points dd and e clause 1, point d
clause 3 Article 80 of this Decree.
14. Persons assigned to
settle compensation claims who have the power to make records of administrative
violations in Article 59 of this Decree; persons assigned by agencies directly
managing law enforcement officers who caused damage, or agencies paying
compensation to join councils in charge of considering reimbursement liability,
who have the power to make records of administrative violations in clause 1,
clause 2, clause 3 and point a clause 4 Article 60; point r clause 2 and point
r clause 3 Article 82 of this Decree.
15. Heads of inspection
teams, and inspectors being members of inspection teams who have the power to
make records of administrative violations in this Decree within the ambit of
their assigned functions and tasks.
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1. Chairpersons of
commune-level People’s Committees have the power to:
a) Issue warning;
b) Impose a fine up to VND
15.000.000 for administrative violations against regulations on judicial
administrative actions, marriage and family; up to VND 25.000.000 for
administrative violations against regulations on judicial support;
c) Suspend operations for
a fixed period, or suspend practicing certificates or licenses, certificates of
practice registration, legal consultant cards, notary cards, or legal aid
collaborator’s cards;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
2. Chairpersons of provincial-level
People’s Committees have the power to:
a) Issue warning;
b) Impose a fine up to VND
30.000.000 for administrative violations against regulations on judicial
administrative actions, marriage and family; up to VND 40.000.000 for
administrative violations against regulations on bankruptcy and rehabilitation
of enterprises and cooperatives; up to VND 50.000.000 for administrative
violations against regulations on judicial support;
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d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
Article
85. Power to impose administrative penalties of heads of authorities performing
state management tasks in fields and sectors; Director General of Department of
Criminal and Administrative Legislation and Administrative Violation
Management; heads of specialized examination teams
1. Directors of
Provincial-level Departments of Justice have the power to:
a) Issue warning;
b) Impose a fine up to VND
24.000.000 for administrative violations against regulations on judicial
administrative actions, marriage and family; up to VND 32.000.000 for
administrative violations against regulations on civil judgment enforcement,
bankruptcy and rehabilitation of enterprises and cooperatives; up to VND 40.000.000
for administrative violations against regulations on judicial support;
c) Suspend operations for
a fixed period, or suspend practicing certificates or licenses, certificates of
practice registration, legal consultant cards, notary cards, or legal aid collaborator’s
cards;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
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a) Issue warning;
b) Impose a fine up to VND
40.000.000 for administrative violations against regulations on bankruptcy and
rehabilitation of enterprises and cooperatives; up to VND 50.000.000 for
administrative violations against regulations on judicial support;
c) Suspend operations for
a fixed period, or suspend practicing certificates or licenses, certificates of
practice registration, legal consultant cards, and notary cards;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree;
e) Impose penalties for
administrative violations against regulations on anti-money laundering,
counter-terrorist financing, and countering the financing of proliferation of
weapons of mass destruction in field of judicial support as prescribed in
Article 22 of this Decree falling within his/her jurisdiction.
3. Director General of the
Department of Judicial Administration has the power to:
a) Issue warning;
b) Impose a fine up to VND
30.000.000 for administrative violations against regulations on judicial
administrative actions, marriage and family;
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d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
4. Director General of
Department of Criminal and Administrative Legislation and Administrative
Violation Management has the power to:
a) Issue warning;
b) Impose a fine up to VND
30.000.000 for administrative violations against regulations on judicial administrative
actions, marriage and family;
c) Suspend operations for
a fixed period, or suspend legal aid collaborator’s cards;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
5. Heads of specialized
examination teams established by heads of the following units affiliated to the
Ministry of Justice of Vietnam, including the Bureau of Judicial Affairs
Support, the Department of Judicial Administration, the Department of Civil
Judgment Enforcement Management, the Department of Legal Dissemination,
Education and Legal Aid, the Department of Registration of Secured Transactions
and State Compensation, and the Department of Criminal and Administrative
Legislation and Administrative Violation Management have the power to impose
administrative penalties as prescribed in clause 1 of this Article for the
administrative violations in the corresponding fields in which they are
assigned or authorized to conduct specialized examinations.
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a) Issue warning;
b) Impose a fine up to VND
30.000.000 for administrative violations against regulations on judicial
administrative actions, marriage and family; up to VND 40.000.000 for
administrative violations against regulations on civil judgment enforcement,
bankruptcy and rehabilitation of enterprises and cooperatives; up to VND
50.000.000 for administrative violations against regulations on judicial
support;
c) Suspend operations for
a fixed period, or suspend practicing certificates or licenses, certificates of
practice registration, legal consultant cards, notary cards, bailiff’s cards,
or legal aid collaborator’s cards;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
Article
86. Power to impose administrative penalties of civil judgment enforcement
agencies
1. Heads of civil judgment
enforcement agencies; Heads of Judgment Enforcement Divisions of military zones
have the power to:
a) Issue warning;
b) Impose a fine up to VND
20.000.000 for administrative violations against regulations on civil judgment
enforcement;
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d) Suspend bailiff’s card
for a fixed period or suspend operations for a fixed period;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
2. Director General of the
Department of Civil Judgment Enforcement Management affiliated to the Ministry
of Justice of Vietnam, and Director General of the Judgment Enforcement
Department affiliated to the Ministry of National Defense of Vietnam have the
power to:
a) Issue warning;
b) Impose a fine up to VND
40.000.000 for administrative violations against regulations on civil judgment
enforcement;
c) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
d) Suspend bailiff’s card
for a fixed period or suspend operations for a fixed period;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
Article
87. Power to impose administrative penalties of diplomatic missions, consular
missions, and other missions authorized to perform consular duties of the
Socialist Republic of Vietnam in foreign countries
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1. Issue warning.
2. Impose a fine up to VND
30.000.000 for administrative violations against regulations on judicial
administrative actions; up to VND 50.000.000 for administrative violations
against regulations on judicial support;
3. Confiscate the exhibits
and instrumentalities used for committing administrative violations.
4. Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
Article
88. Power to impose administrative penalties of Courts
1. Judges assigned to
settle bankruptcy cases have the power to:
a) Issue warning;
b) Impose a fine up to VND
1.000.000;
c) Confiscate the
exhibits/instrumentalities whose value does not exceed twice the fine specified
in point b of this clause.
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a) Issue warning;
b) Impose a fine up to VND
7.500.000 for administrative violations against regulations on bankruptcy and
rehabilitation of enterprises and cooperatives;
c) Confiscate the
exhibits/instrumentalities whose value does not exceed twice the fine specified
in point b of this clause.
3. Chief Justices of
provincial-level People’s Courts, Chief Justices of Military Courts of military
zones, and Presidents of appellate courts of the People’s Supreme Court have
the power to:
a) Issue warning;
b) Impose a fine up to VND
30.000.000 for administrative violations against regulations on state
compensation; up to VND 40.000.000 for administrative violations against
regulations on bankruptcy and rehabilitation of enterprises and cooperatives;
c) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
d) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
Article
89. Power to impose administrative penalties of People’s Public Security Forces
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a) Issue warning;
b) Impose a fine up to VND
3.000.000 for administrative violations against regulations on judicial
administrative actions; up to VND 4.000.000 for administrative violations
against regulations on bankruptcy and rehabilitation of enterprises and
cooperatives; up to VND 5.000.000 for administrative violations against
regulations on judicial support;
c) Confiscate the
exhibits/instrumentalities whose value does not exceed twice the fine specified
in point b of this clause.
2. Heads of Police Posts,
Station Heads, and Team Leaders have the power to:
a) Issue warning;
b) Impose a fine up to VND
9.000.000 for administrative violations against regulations on judicial
administrative actions; up to VND 12.000.000 for administrative violations
against regulations on bankruptcy and rehabilitation of enterprises and
cooperatives; up to VND 15.000.000 for administrative violations against
regulations on judicial support;
c) Suspend
licenses/practicing certificates, or suspend operations for a fixed period;
d) Confiscate the
exhibits/instrumentalities whose value does not exceed twice the fine specified
in point b of this clause;
dd) Impose the remedial
measures specified in points a and e clause 1 Article 28 of the Law on Handling
of Administrative Violations.
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a) Issue warning;
b) Impose a fine up to VND
15.000.000 for administrative violations against regulations on judicial
administrative actions; up to VND 20.000.000 for administrative violations
against regulations on bankruptcy and rehabilitation of enterprises and
cooperatives; up to VND 25.000.000 for administrative violations against
regulations on judicial support;
c) Suspend licenses/practicing
certificates, or suspend operations for a fixed period;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
4. Heads of professional
divisions of the following authorities, including the Internal Political
Security Department, the Police Department for Administrative Management of
Social Order, and the Department of Cybersecurity, Hi-tech Crime Prevention and
Control, and Heads of divisions affiliated to provincial-level police
departments, including: Internal Political Security Divisions; Economic
Security Divisions; Investigation Police Divisions for Social Order Crimes;
Police Divisions for Investigation into Corruption, Economy, Smuggling and
Environment-related Crimes; Police Divisions for Administrative Management of
Social Order; Cybersecurity, Hi-tech Crime Prevention and Control Divisions;
and External Security Divisions, have the power to:
a) Issue warning;
b) Impose a fine up to VND
24.000.000 for administrative violations against regulations on judicial
administrative actions; up to VND 32.000.000 for administrative violations
against regulations on bankruptcy and rehabilitation of enterprises and cooperatives;
up to VND 40.000.000 for administrative violations against regulations on
judicial support;
c) Suspend
licenses/practicing certificates, or suspend operations for a fixed period;
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dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
5. Directors of
provincial-level Police Departments; Directors General of the Internal
Political Security Department, the Economic Security Department, the
Investigation Police Department for Social Order Crimes, the Police Department
for Investigation into Corruption, Economy and Smuggling-related Crimes, the
Police Department for Administrative Management of Social Order, and the
Department of Cybersecurity and Hi-tech Crime Prevention and Control, have the
power to:
a) Issue warning;
b) Impose a fine up to VND
30.000.000 for administrative violations against regulations on judicial
administrative actions; up to VND 40.000.000 for administrative violations
against regulations on bankruptcy and rehabilitation of enterprises and
cooperatives; up to VND 50.000.000 for administrative violations against
regulations on judicial support;
c) Suspend
licenses/practicing certificates, or suspend operations for a fixed period;
d) Confiscate the exhibits
and instrumentalities used for committing administrative violations;
dd) Impose the remedial
measures specified in Clause 3 Article 3 of this Decree.
Article
90. Apportionment of powers to impose administrative penalties
1. Chairpersons of
People’s Committees of all levels have the power to impose administrative
penalties and remedial measures against administrative violations specified
herein and committed in their management areas within their competence prescribed
in Article 84 of this Decree.
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a) Directors of
provincial-level Departments of Justice have the power to impose administrative
penalties and remedial measures against administrative violations specified
herein according to their competence prescribed in clause 1 Article 85 of this
Decree;
b) Director General of the
Bureau of Judicial Affairs Support, and heads of specialized examination teams
established under his/her authority have the power to impose administrative
penalties and remedial measures against administrative violations specified in
Chapter II; Chapter VI; points , b, c, d, dd, e, i, k, l, m clause 2, points a,
b, c, d, dd, e, i, k, l, m clause 3 Article 82 of this Decree according to
their competence prescribed in clauses 2 and 5 Article 85 of this Decree;
c) Director General of the
Department of Judicial Administration, and heads of specialized examination
teams established under his/her authority have the power to impose
administrative penalties and remedial measures against administrative
violations specified in Section 1 Chapter III; points h, k, o, p, q clause 2,
points h, k, o, p, q clause 3 Article 82 of this Decree according to their
competence prescribed in clauses 3 and 5 Article 85 of this Decree;
d) Director General of the
Department of Criminal and Administrative Legislation and Administrative
Violation Management, and heads of specialized examination teams established
under his/her authority have the power to impose administrative penalties and
remedial measures against administrative violations specified in Sections 2, 3,
4 and 5 Chapter III, Chapter IV, points k, n, r clause 2, points k, n, r clause
3 Article 82 of this Decree according to their competence prescribed in clauses
4 and 5 Article 85 of this Decree;
dd) Heads of specialized
examination teams established by Director General of the Department of Legal
Dissemination, Education and Legal Aid have the power to impose administrative
penalties and remedial measures against administrative violations specified in
Articles 50, 51; Section 3 Chapter III; points k and n clause 2, points k and n
clause 3 Article 82 of this Decree according to their competence prescribed in
clause 5 Article 85 of this Decree;
e) Heads of specialized
examination teams established by Director General of the Department of
Registration of Secured Transactions and State Compensation have the power to
impose administrative penalties and remedial measures against administrative
violations specified in Sections 4 and 5 Chapter III; points k and r clause 2,
points k and r clause 3 Article 82 of this Decree according to their competence
prescribed in clause 5 Article 85 of this Decree;
g) Heads of specialized
examination teams established by the Minister of Justice of Vietnam have the
power to impose administrative penalties and remedial measures against
administrative violations specified herein according to their competence
prescribed in clause 6 Article 85 of this Decree.
3. Title holders having
the power to impose administrative penalties of civil judgment enforcement
agencies, and heads of specialized examination teams established by the Director
General of the Department of Civil Judgment Enforcement Management affiliated
to the Ministry of Justice of Vietnam have the power to impose administrative
penalties and remedial measures against administrative violations specified in
Chapter V, points g, k and s clause 2, points g, k and s clause 3 Article 82 of
this Decree according to their competence prescribed in clause 5 Article 85 and
Article 86 of this Decree.
4. Heads of diplomatic
missions, consular missions and other missions authorized to perform consular
duties of the Socialist Republic of Vietnam in foreign countries have the power
to impose penalties for the administrative violations specified in clause 1 and
point a clause 2 Article 19; Articles 20, 21, 37, 38, 40, 41, 42, 43, 44, 45
and 46 of this Decree according to their competence prescribed in Article 87 of
this Decree.
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6. Title holders having
the power to impose administrative penalties of People’s Public Security Forces
have the power to impose administrative penalties and remedial measures against
administrative violations specified in point a clause 4, clause 6, points c, d
and e clause 7, points a, b, d and dd clause 8 Article 8; points a, b clause 3
Article 9; point b clause 3 Article 10; point g clause 2 Article 11; clause 2,
point a and point b clause 3 Article 12; clause 1, point a clause 3 Article 14;
point h clause 4 Article 16; point a clause 3 Article 17; clause 1 and point a
clause 2 Article 19; Article 20; clause 1 and clause 3 Article 21; Article 22;
point a clause 1, point a clause 2 Article 23; clauses 2 and 3 Article 24;
point a clause 1, points b and c clause 2, points a and b clause 6 Article 28;
points a, b and h clause 1, clause 2 Article 29; points n, r, t clause 2, point
d clause 4 Article 30; point dd clause 3 Article 35; point b clause 2, point b
clause 5 Article 39; point c clause 2 Article 43; clause 1, point a and point b
clause 2, clause 3, point b clause 4 Article 45; point b clause 2, clause 4
Article 46; point a and point c clause 3 Article 8; clause 2 and clause 3
Article 50; Article 51; point a clause 3 Article 52; clause 3 Article 53; point
c clause 3, point b and point c clause 4 Article 54; points a and g clause 2
Article 55; clause 1 Article 56; Article 57; Article 58; clauses 1, 2 and 3
Article 59; clause 1 and clause 2 Article 60; Articles 61, 62, 63, 64; points
d, D and e clause 2 Article 65; point a clause 2, points c and h clause 4
Article 68; point a clause 4 Article 69; point a clause 1 Article 80 and
Chapter VII of this Decree according to their competence prescribed in Article
89 of this Decree.
Chapter
IX
IMPLEMENTATION
Article
91. Transition
As from July 01, 2026 (the
date on which the Law on Civil Judgment Enforcement No. 106/2025/QH15 takes
effect), the title “Thừa phát lại” shall be renamed “Thừa hành viên” (both
titles are commonly rendered in English as “bailiff”). The “Văn phòng Thừa phát
lại” (Bailiff Office) shall be renamed the “Văn phòng Thi hành án dân sự”
(Civil Judgment Enforcement Office).
Article
92. Effect
This Decree comes into
force from May 18, 2026, and supersedes the Decree No. 82/2020/ND-CP (as
amended by the Decree No. 117/2024/ND-CP).
Article
93. Responsibility for implementation
Ministers, heads of
ministerial agencies, heads of Governmental agencies, and Chairpersons of
People’s Committees of provinces or cities shall organize the implementation of
this Decree.
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ON BEHALF OF THE GOVERNMENT
PP. THE PRIME MINISTER
DEPUTY PRIME MINISTER
Ho Quoc Dung