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THE STATE BANK OF VIETNAM
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THE SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 22/2018/TT-NHNN
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Hanoi, September 05, 2018
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CIRCULAR
GUIDELINES FOR PROCEDURES AND APPLICATION FOR APPROVAL FOR PROVISIONAL
LISTS OF PERSONNEL OF COMMERCIAL BANKS, NON-BANK CREDIT INSTITUTIONS AND
FOREIGN BANKS’ BRANCHES
Pursuant to the Law on
the State bank of Vietnam dated June 16, 2010;
Pursuant to the Law on
Credit Institutions dated June 16, 2010 and Law on amendments to some Articles
of the Law on Credit Institutions dated November 20, 2017 (hereinafter referred
to as “the Law on Credit Institutions);
Pursuant to the
Government’s Decree No. 16/2017/ND-CP dated February 17, 2017 defining
functions, tasks, entitlements and organizational structure of the State Bank
of Vietnam;
At the request of the
Chief Inspector of the Central Banking
Inspection and Supervision Authority;
The Governor of the
State Bank of Vietnam hereby promulgates a Circular on guidelines for procedures
and application for approval for provisional lists of personnel of commercial
banks, non-bank credit institutions and foreign banks’ branches.
Chapter
I
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Article
1. Scope
1. This Circular provides
guidelines for procedures and application for approval for provisional lists of
elected or appointed members of the Board of Directors, members of Board of
Members, members of Board of Controllers or Director General (Director)
(hereinafter referred to as “personnel”) in accordance with regulations of the
Law on Credit Institutions with respect to commercial banks, non-bank credit
institutions and foreign banks’ branches that have been issued with the license
for establishment and operation by the State Bank of Vietnam (hereinafter referred
to as “the State Bank”).
2. The approval for the
provisional list of personnel of a state-owned commercial bank, and approval
for the provisional list of personnel appointed or introduced by the owner of
state capital as members of Board of Directors, members of Board of Controllers
or Director General of a joint stock commercial bank over 50% of charter
capital of which is held by the State shall comply with documents about human
resource management promulgated by the Governor of the State Bank.
Article
2. Regulated entities
1. Commercial banks
(except state-owned commercial banks), non-bank credit institutions
(hereinafter referred to as “credit institutions”).
2. Foreign banks’
branches.
3. Organizations and
individuals related to procedures and application for approval for provisional
lists of personnel of credit institutions and foreign banks’ branches.
Article
3. Rules for preparing and submitting applications
1. An application for
approval for provisional list of personnel of a credit institution or foreign
bank’s branch shall be prepared according to the following rules:
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b) Translations from a
foreign language into Vietnamese must be notarized or bear the translator’s
signature as prescribed by law;
c) Copies of documents of
personnel to be elected or appointed must be copies from the master register or
certified true copies as prescribed by law;
d) The documents prepared
by personnel to be elected or appointed must bear signatures as prescribed by
law.
2. The document of a
credit institution or foreign bank’s branch requesting the State Bank to
approve the list of its personnel must be signed by the legal representative or
the authorized representative (hereinafter referred to as “the legal
representative”).
In case the authorized
representative appends his/her signature, the application must include a power
of attorney made as prescribed by law.
3. The application enclosed
with a list of documents prepared by the credit institution/foreign bank’s
branch shall be submitted by post or directly to the State Bank.
4. The credit
institution, foreign bank’s branch and personnel to be elected or appointed
shall take legal responsibility for the adequacy, accuracy and truthfulness of
the application.
Article
4. Power of the State Bank
The Governor of the State
Bank of Vietnam shall consider approving provisional lists of personnel of
credit institutions and foreign banks’ branches.
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The State Bank’s written
approval for provisional lists of personnel of credit institutions and foreign
banks’ branches shall remain valid within 06 months from the date on which it
is signed. After the effective period, if the election or appointment of
personnel of credit institutions and foreign banks' branches fail to be
completed, the State Bank's written approval will become automatically null and
void.
Chapter
II
PROCEDURES
AND APPLICATION FOR APPROVAL FOR PROVISIONAL LISTS OF PERSONNEL OF CREDIT
INSTITUTIONS AND FOREIGN BANKS’ BRANCHES
Article
6. Application for approval for provisional lists of personnel of credit
institutions
An application for
approval for provisional list of personnel of a credit institution includes:
1. A document of the
credit institution requesting the State Bank to approve the list of its
personnel application for approval for provisional lists of personnel of the
credit institution, which contains at least:
a) Reasons for election
or appointment;
b) Provisional list of
personnel, which specifies full names, titles and supervisory unit; titles
before and after election or appointment carried out at the credit institution;
c) Composition and list
of members of Board of Directors, members of Board of Members and members of
Board of Controllers before and after the election or appointment (in the case
of election or appointment of members of Board of Directors, members of Board
of Members or members of Board of Controllers). To be specific:
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(ii) Regarding the credit
institution being a limited liability company: clearly state the number of
members of Board of Directors, the number of members of Board of Controllers,
the number of full-time members of Board of Controllers.
d) A document about the
assessment of fulfillment of conditions and standards in accordance with the
Law on Credit Institutions and relevant regulations of law by personnel to be
elected or appointed, including the assessment of fulfillment of each
condition.
2. A document ratifying
the provisional list of personnel of the credit institution (clearly stating
the term of the Board of Directors, Board of Members or Board of Controllers),
to be specific:
a) The credit institution
that is a joint-stock company shall submit a Resolution of the Board;
b) The credit institution
that is a single-member limited liability company shall submit a document
issued by its owner;
c) The credit institution
that is a multi-member limited liability company shall submit:
(i) a document issued by
the competent representatives of the capital contributors (in case of the
appointment of members of Board of Members or members of Board of Controllers);
(ii) the Resolution of
Board of Members (in case of appointment of Director General (Director)).
3. Resumé of personnel to
be elected or appointed, made using the sample in the Appendix 01 hereof.
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a) In case the proposed
personnel holds Vietnamese nationality, his/her criminal record must be issued
by the agency managing criminal record database and contain sufficient
information about criminal records (including the criminal records that have
been or not been expunged) and prohibition from holding certain positions,
incorporation and management of enterprises and cooperatives;
b) In case the proposed
personnel does not hold Vietnamese nationality, his/her criminal record or an
equivalent document (which contains sufficient information about criminal
records, including the criminal records that have been or not been expunged,
and about prohibition from holding certain positions, incorporation and
management of enterprises and cooperatives) must be issued by a Vietnamese
competent authority or foreign competent authority as prescribed.
The criminal record or
equivalent document must be issued by a competent authority before the credit
institution submits the application for approval for the provisional list of
personnel for a maximum of 06 months.
5. A list of the persons
relating to the personnel to be elected or appointed, made using the sample in
the Appendix 02 hereof.
6. Copies of diplomas and
certificates proving professional qualifications of the personnel to be elected
or appointed; if diploma of a Vietnamese person is issued by a foreign
educational institution, it must be recognized by the Ministry of Education and
Training in accordance with relevant regulations of law.
7. Documentary evidences
for fulfillment of standards and conditions by the personnel expected to hold
the position of member of Board of Director or member of Board of Members of
the credit institution as prescribed in Point d Clause 1 Article 50 of the Law
on Credit Institutions, to be specific:
a) Regarding the
condition “have at least 03 years’ experience of working as a manager or
executive of a credit institution or at least 05 year’s experience of working
as a manager or executive of a finance, banking, accounting or audit
enterprise”:
(i) A copy of the
enterprise registration certificate (regarding the enterprise that is not a
credit institution);
(ii) Contents of Charter
of the credit institution or enterprise about the manager and executive;
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b) Regarding the
condition “have at least 05 years’ experience of working as a manager or
executive of an enterprise whose equity is not smaller than the legal capital
of a credit institution”:
(i) Contents of Charter
of the credit institution or enterprise about the manager and executive;
(ii) Copies of financial
statements audited by the independent audit organization of the enterprise
where the proposed personnel worked or is working;
(iii) A document issued
by the competent representative of the enterprise where the personnel worked or
is working, which certifies his/her position and period of time over which
he/she has held the position or copies of documents proving his/her position
and period of time over which he/she has held the position.
(c) Regarding the
condition “have at least 05 years’ experience of working in a finance, banking
accounting or audit department”: A document issued by the competent
representative of the unit where the personnel worked or is working, which
certifies he/she has worked in the finance, banking accounting or audit
department and period of time over which he/she has worked in such department
or copies of documents proving the department where he/she has worked and
period of time over which he/she has undertaken his/her tasks in such
department.
8. Documentary evidences
for fulfillment of standards and conditions by the personnel expected to hold
the position of Director General (Director) of the credit institution as
prescribed in Point d Clause 4 Article 50 of the Law on Credit Institutions, to
be specific:
a) Regarding the
condition “have at least 05 year’s experience of working as an executive of a
credit institution”:
(i) Contents of Charter
of the credit institution or enterprise about the executive;
(iii) A document issued
by the competent representative of the credit institution where the personnel
worked or is working, which certifies his/her position and period of time over
which he/she has held the position or copies of documents proving his/her
position and period of time over which he/she has held the position.
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ii) Copies of financial
statements audited by the independent audit organization of the enterprise
where the proposed personnel held or is holding the position of Director
General (Director) or Deputy Director General (Deputy Director);
(ii) A document issued by
the competent representative of the enterprise where the personnel worked or is
working, which certifies his/her position and period of time over which he/she has
held the position or copies of documents proving his/her position and period of
time over which he/she has held the position;
(iii) A document issued
by the competent representative of the unit where the personnel worked or is
working, which certifies he/she has worked in the finance, banking accounting
or audit field and period of time over which he/she has worked in such field or
copies of documents proving the field that he/she has been in charge of and
period of time over which he/she has undertaken his/her tasks in such field.
(c) Regarding the
condition “have at least 10 years’ experience of working in the finance,
banking, accounting or audit field”: A document issued by the competent
representative of the unit where the personnel worked or is working, which
certifies he/she has worked in the finance, banking accounting or audit field
and period of time over which he/she has worked in such field or copies of
documents proving the field that he/she has been in charge of and period of
time over which he/she has undertaken his/her tasks in such field.
9. Documentary evidences
for fulfillment of the standard and condition “have at least 03 years’
experience of working in the finance, banking, accounting or audit field” by
the personnel expected to hold the position of member of Board of Controllers
of the credit institution as prescribed in Point c Clause 3 Article 50 of the
Law on Credit Institutions: A document issued by the competent representative
of the unit where the personnel worked or is working, which certifies he/she
has worked in the finance, banking accounting or audit field and period of time
over which he/she has worked in such field or copies of documents proving the
field that he/she has been in charge of and period of time over which he/she
has undertaken his/her tasks in such field.
10. Regarding the
personnel to be elected or appointed in the cases specified in Points dd and e
Clause 2 Article 33 of the Law on Credit Institutions: a document issued by the
competent authority appointing the proposed personnel as the representative of
the State’s stakes at the credit institution.
Article
7. Application for approval for proposal for appointment of Director General
(Director) of a foreign bank’s branch
1. A document issued by the
foreign bank's branch requesting the State Bank to approve the proposal
for appointment of Director General (Director) of a foreign bank’s branch in
Vietnam, which contains at least:
a) Reasons for
appointment of Director General (Director) of the foreign bank’s branch;
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c) A document about the
assessment of fulfillment of conditions and standards in accordance with the
Law on Credit Institutions and relevant regulations of law by the Director
General (Director) to be appointed, including the assessment of fulfillment of
each condition.
2. A document issued by
the competent representative of the foreign bank ratifying the proposal for
appointment of Director General (Director) of the foreign bank’s branch in
Vietnam.
3. Documents prescribed
in Clauses 3, 4, 5, 6 and 8 Article 6 of this Circular.
Article
8. Procedures for approval for provisional lists of personnel of credit institutions
and foreign banks’ branches
1. The credit institution
or foreign bank’s branch shall prepare an application as prescribed in Articles
6 and 7 of this Circular and submit it to the State Bank (Central Banking
Inspection and Supervision Authority). If the application is unsatisfactory,
within 07 working days from the receipt of the application, the State Bank
(Central Banking Inspection and Supervision Authority) shall request the credit
institution or foreign bank’s branch in writing to complete it.
2. The credit institution
or foreign bank’s branch shall complete the application at the request of the
State Bank within up to 45 working days from the date on which additional
documents are requested in writing by the the State Bank (Central Banking Inspection
and Supervision Authority). After the aforementioned time limit, the credit
institution or foreign bank’s branch shall re-submit an application as
prescribed in this Circular to the State Bank for consideration and approval.
3. Within 30 working days
from the receipt of satisfactory application prescribed in Articles 6 and 7 of
this Circular, the State Bank shall send a written approval or written
rejection of the provisional list of the credit institutions or foreign bank’s
branch. In case of rejection, a written explanation shall be provided.
Chapter
III
RESPONSIBILITIES OF RELEVANT UNITS
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Article
9. Reviewing standards and conditions to be satisfied by personnel
Credit institutions and
foreign banks’ branches shall review and assess personnel's fulfillment of
standards and conditions as prescribed by law and take legal responsibility for
the adequacy, accuracy and truthfulness of the documents provided for the State
Bank.
Article
10. Following procedures related to election or appointment of personnel
1. Prepare and complete
applications upon request and follow procedures for requesting the State Bank
to approve provisional lists of personnel in accordance with regulations of
this Circular and relevant regulations of law.
2. Elect or appoint
personnel as prescribed by law and on the basis of the provisional lists of
personnel approved by the State Bank.
Article
11. Complying with reporting regulations
1. Promptly notify the
State Bank (Central Banking Inspection and Supervision Authority) in writing
of:
a) Changes related to
fulfillment of standards and conditions by personnel to be elected or appointed
that occur during the State Bank’s approval for provisional lists of personnel.
b) Changes related to
fulfillment of standards and conditions by personnel to be elected or appointed
that occur from the date on which the State Bank grants the written approval
for provisional lists of personnel to the date on which the personnel is
elected or appointed.
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a) The credit institution
that is a limited liability company, credit institution that is a joint-stock
company whose headquarters is located in a province or central-affiliated city
(hereinafter referred to as “province or city”) where the Banking Inspection
and Supervision Department is located shall submit the notification to the
Central Banking Inspection and Supervision Authority.
b) The credit institution
that is a joint-stock company whose headquarters is located in a province or
city where the Banking Inspection and Supervision Department is not located shall
submit the notification to the branch of the State Bank of the province or city
where the headquarters of the credit institution that is a joint-stock company
is located and the Central Banking Inspection and Supervision Authority.
Section
2: RESPONSIBILITIES OF AFFILIATES OF THE STATE BANK
Article
12. Responsibilities of the Central Banking Inspection and Supervision
Authority
1. Within 20 working days
from the receipt of satisfactory application submitted by the credit institution
or foreign bank’s branches as prescribed, Central Banking Inspection and
Supervision Authority shall be in charge of assessing the fulfillment of
application requirements, standards and conditions by credit institutions and
foreign banks’ branches in accordance with regulations of the Law on Credit
Institutions and this Circular; see opinions of relevant units; consolidate and
submit applications for approval for provisional lists of personnel of credit
institutions and foreign banks’ branches to the Governor of the State Bank who
will grants written approval or written rejection.
2. Receive notifications
sent by credit institutions and foreign banks’ branches as specified in Clause
1 Article 11 of this Circular; consider and give opinions to the Governor of
the State Bank about the fulfillment of standards and conditions by proposed
personnel or propose solutions therefor.
3. Receive and review
notifications of credit institutions (except the credit institution that is a
joint-stock company whose headquarters is located in a province or city where
the Banking Inspection and Supervision Department is not located) and foreign
banks’ branches as specified in Clause 2 Article 11 of this Circular. If errors
are found, the Central Banking Inspection and Supervision Authority shall
request the credit institutions and foreign banks’ branches to correct them or
propose correction measures to the Governor of the State Bank.
Article
13. Responsibilities of branches of the State Bank of provinces or cities where
the headquarters of the credit institution that is a joint-stock company is
located (except for provinces or cities where the Banking Inspection and
Supervision Department is located)
1. Branches of the State
Bank of provinces or cities shall give written opinions at the request of the
Central Banking Inspection and Supervision Authority within 05 working days
from the date on which the written request is received.
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Article
14. Responsibilities of other relevant affiliates of the State Bank
Relevant affiliates of
the State Bank shall give written opinions at the request of the Central
Banking Inspection and Supervision Authority within 05 working days from the
date on which the written request is received.
Chapter
IV
IMPLEMENTATION
CLAUSE
Article
15. Transition clause
The application for
approval for provisional lists of personnel of credit institutions and branches
of foreign banks that is received before the effective date of this Circular
shall continue to be considered and processed under the guidance of the State
Bank at the time of receipt.
Article
16. Effect
1. This Circular comes
into force from November 01, 2018.
2. The following
regulations are repealed:
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b) Regulations on
approval for personnel specified in Section II Part III; Section III Part III;
Circular No. 03/2007/TT-NHNN dated June 05, 2007 of the Governor of the State
Bank;
c) Decision No.
516/2003/QD-NHNN dated May 26, 2003 of the Governor of the State Bank and
Decision No. 14/2006/QD-NHNN dated April 04, 2006 of the Governor of the State
Bank.
Article
17. Implementation organization
The Chief of Office, the
Chief Inspector of the Central Banking Inspection and Supervision Authority,
heads of affiliates of the State Bank, Directors of branches of the State Bank
of provinces and cities, Presidents and members of Board of Directors and Board
of Members, heads and members of Board of Controllers, Directors General
(Directors) of credit institutions and Directors General (Directors) of foreign
banks’ branches are responsible for the implementation of this Circular./.
PP. THE GOVERNOR
THE DEPUTY GOVERNOR
Nguyen Dong Tien
ANNEX
NO. 01
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SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
----------------
PERSONAL
INFORMATION(1)
1. Self
introduction
Passport
photo
(4x6cm)
- Full birth
name.
- Full name.
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- Aliases.
- Date of
birth.
- Place of
birth.
- Nationality/nationalities
(if any)
- Permanent
address according to the registration book, address according to the ID
card/citizen identification and current residence address.
- ID/citizen identification
number (or passport/equivalent legal identification document number); Date and
place of issue of the ID card/citizen identification (or passport/equivalent
legal identification document);
- Name and
address of the juridical person whom the declarant represents, the holding
represented (in case the declarant represents stakes of shareholders or
contributing members who are juridical persons or persons assigned to represent
the stakes owned by the State at credit institutions).
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- Formal
education.
- Academic
titles and diplomas (specify name and address of education institute; major;
education period; degree (fully list all degrees)).
3. Work
experience:
- Professions,
employers and titles from 18 years of age until present(2).
No.
Period
(from mm/yyyy to mm/yyyy)(3)
Employers
Titles(4)
Sectors
of enterprises and assigned tasks
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- Commendations,
disciplines and responsibilities according to inspection conclusions resulting in
imposing of administrative sanctions upon credit institutions or foreign branch
bank (FBB)(6).
4. Legal
capacity(7)
5. Declaration
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- I satisfy
standards and conditions to hold the position of …… at credit institution or
FBB.
- I do not
violate regulations and law in monetary and banking sectors.
- To inform
the credit institution or FBB about any change related to this declaration
contents arising during the period in which the State Bank of Vietnam considers
request of ……… (credit institution or foreign bank’s branch).
- The personal
information I provided for the credit institution or FBB is truthful. I hereby
claim legal responsibility for adequacy, honesty and accuracy of information
declared above.
...., (Date)
Signature and full name of declarant
(Signature authentication)
Note:
1. The
declarant must fully declare information as requested and be responsible to the
law and the credit institution or FBB for adequacy, accuracy and honesty of the
document, specify no additional information in case of no additional
information.
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3. Ensure
chronological continuity.
4. Specify
clearly if the declarant holds managerial or executive rank according to
regulations and law and charter of the credit institution or enterprise.
5. Specify
if the employer is:
a) A subsidiary of the credit
institution; or
b) An enterprise whose charter
capital is owned by the State for more than 50%; or
c) An entity specified in Point
e Clause 2 Article 33 of Law on credit institutions; or
d) An entity specified in Points
c and d Clause 1 Article 33 of Law on credit institutions;
6. Specify
if it is any of the cases mentioned in Points dd and h Clause 1 Article 33 of
Law on credit institutions
7. Write
“full legal capacity”, “limited legal capacity” or “incapacitated”.
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ANNEX
NO. 02
Attached
to Circular No. 22/2018/TT-NHNN dated September 05, 2018 of Governor of State
Bank of Vietnam providing guidelines of procedures and application for approval
of list of provisional personnel of financial banks, non-bank credit
institutions and foreign branch bank)
SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
----------------
Related
persons declaration
No.
Declarant
and his/her “related persons”
Relationship
with the declarant
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Position
at requesting credit institution
Position
at subsidiary of requesting credit institution
Holding
in the requesting credit institution (%)
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(1)
(2)
(3)
(4)
(5)
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(7)
…
1
Nguyen
Van A
Declarant
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2
Nguyen
Thi B
Spouse
…
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I hereby guarantee truthfulness of
the information above. I hereby claim legal responsibility for adequacy, honesty
and accuracy of information declared above.
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(Signature
authentication)
Note:
- With
respect to column (3) of the related persons declaration: Refer to actual
relationship with the related persons in column (2) according specific cases
set forth under Clause 28 Article 4, Clause 2 Article 62 of Law on credit
institutions and relevant law provisions to fill in this column.
(Apart from basic information
above, the declarant may add other information if necessary)
ANNEX
NO. 03
Attached
to Circular No. 22/2018/TT-NHNN dated September 05, 2018 of Governor of State
Bank of Vietnam providing guidelines of procedures and application for approval
of list of provisional personnel of financial banks, non-bank credit
institutions and foreign branch bank)
SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
----------------
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NOTICE
List
of persons elected or assigned to be members of the Board of Directors, members
of the Board of Members, members of the Board of Controllers or General
Director (Director)
To:...........................
Based on the provisional list of
persons elected or assigned to be members of the Board of Directors, members of
the Board of Members, members of the Board of Controllers or General Director
(Director) approved by the State Bank of Vietnam in document No. ………… dated
……………….., the credit institution/foreign bank’s branch has adopted procedures
to elect and assign personnel as per the law.
The credit institution/FBB hereby
inform the State Bank of Vietnam about results of the personnel election and
assignment:
1. Board of
Directors/Board of Members (…… tenure)
a) Results of the personnel
election and assignment:
No.
Full
name
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Voter
turnout at the General Meeting of Shareholders (if the credit institution is
a joint-stock company)
Resolution/Decision
on personnel election/assignment (*)
b) Structure of the Board of Directors
as specified in Article 62 of Law of credit institutions (applicable to credit
institutions that are joint-stock companies), in which must specify independent
members, members that hold/do not hold executive ranks in the credit
institution and members of the Board of Directors that are related persons.
2. Board of
Controllers (…… tenure)
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No.
Full
name
Elected
and/or assigned title(2)
Voter
turnout at the General Meeting of Shareholders (if the credit institution is
a joint-stock company)
Resolution/Decision
on personnel election/assignment (*)
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b) Structure of the Board of Controllers
as specified in Article 44 of Law on credit institutions, in which must specify
full-time/part-time members of the Board of Controllers.
3. General
Director (Director):
No.
Full
name
Decision
on assignment (*)
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(Location
and date)
Legal representative of credit institution/FBB
(Signature, full name and stamp)
Note:
1. Specify
in details title of Chairperson or member of Board of Directors/Board of
members, or member of independent Board of Directors.
2. Specify
in details title of head or member of the Board of Controllers
(full-time/part-time)
(*) Specify in details type,
number, date of issue and entry into force of that document and copy(s) of that
document.
(Apart from basic information
above, the credit institution/FBB may add other information if necessary)
