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THE GOVERNMENT
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SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No. 143/2021/ND-CP
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Hanoi, December 31, 2021
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DECREE
AMENDMENTS TO DECREE NO.
88/2019/ND-CP DATED NOVEMBER 14, 2019 ON PENALTIES FOR ADMINISTRATIVE
VIOLATIONS IN MONETARY AND BANKING SECTOR
Pursuant
to the Law on Organization of the Government dated June 19, 2015; the Law on
Amendments to the Law on Organization of the Government and the Law on
Organization of the Local Government dated November 22, 2019;
Pursuant
to the Law on Penalties for Administrative Violations dated June 20, 2012; the
Law on Amendments to the Law on Penalties for Administrative Violations dated
November 13, 2020;
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; the Law on Amendments to
the Law on Credit Institutions dated November 20, 2017;
Pursuant
to the Law on Anti-money Laundering dated June 18, 2012;
Pursuant
to the Law on Anti-terrorism dated June 12, 2013;
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The
Government promulgates the Decree on Amendments to Decree No. 88/2019/ND-CP
dated November 14, 2019 on penalties for administrative violations in monetary
and banking sector.
Article 1. Amendments to a number of Articles of Decree No.
88/2019/ND-CP dated November 14, 2019 of the Government on penalties for
administrative violations in monetary and banking sector
1. Amendments to Point m Clause 2 Article 1 are as follows:
“m)
Violations against regulations on anti-money laundering; anti-terrorism
financing; combating of the financing and proliferation of weapons of mass
destruction;”.
2. Article 2a is added after Article 2 as follows:
“Article
2a. Repetitive administrative violations
Organizations
and individuals that repetitively conduct administrative violations shall
receive penalties for each violation, except for repetitive administrative
violations considered as aggravating circumstances prescribed in Article 5;
Article 9; Article 10; Article 11; Article 12; Article 13; Article 14; Article
14a; Article 15; Article 16; Article 17; Article 18; Article 19; Article 20;
Article 21; Article 22; Clauses 1, 3, 4, 5, 6, 7, 8 of Article 23; Clauses 1,
3, 4, 5, 6, 7, 8 of Article 24; Article 25; Article 26; Article 27; Article 28;
Article 28a; Article 29; Article 30; Article 31; Article 32; Article 33; Clause
1 of Article 34; Article 35; Article 36; Article 37; Article 38; Article 39;
Article 40; Article 41; Article 42; Article 43; Article 44; Article 44a;
Article 45; Article 45a; Article 46; Article 47; Article 50; Article 51 of this
Decree.”.
3. Article 2b is added after Article 2a as follows:
“Article
2b. The time when the violation ends
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1.
Regarding violations of regulations on the reception of deposits, credit
extension, offer and acceptance of trusteeship, purchase of corporate bonds,
and interbank operations prescribed in Point a Clause 2 Article 12; Point b
Clause 3, Points a, b, dd, g Clause 5, Point b Clause 6, Clause 8 of Article
14; Point a Clause 1 Article 15; Clause 3, Points a, b, dd Clause 4 Article 16;
Clause 5, Clause 6 Article 17 of this Decree, the time when the violation ends
shall be the day parties fulfill their obligations according to the agreement
or contract related to administrative violations.
2.
Regarding violations of regulations on publishing and posting information and
providing information, documents, and reports prescribed in Clause 1 Article 8;
Point a Clause 1 Article 12; Point a Clause 1 Article 13; Point c Clause 1
Article 14; Point c Clause 4 Article 17; Point d Clause 2 Article 21; Points a,
c Clause 3 Article 23; Point a Clause 3 Article 24; Point a Clause 1 Article
30; Point a Clause 1 Article 38; Points a, b, d Clause 1, Clause 2, Points a,
b, c Clause 4, Clause 5, Clause 6 Article 47 of this Decree, the time when the
violation ends shall be the day the violator publishes, posts, provides
information, documents, reports, amends or supplements information, documents,
and reports.
3.
Regarding violations of regulations on registering, notifying, and implementing
administrative procedures and sending and issuing internal regulations and
plans prescribed in Article 7; Point b Clause 2 Article 8; Points d, dd, e, g
Clause 3 Article 23; Point a Clause 2 Article 28; Points a, b, c Clause 3
Article 30; Point a Clause 1 Article 40 of this Decree, the time when the
violation ends shall be the day the violator registers, notifies, implements
administrative procedures, sends, issues, amends, supplements internal
regulations or plans.
4.
Regarding violations of regulations on prudential ratios, classification of
assets, off-balance-sheet (OBS) items, creation and use of provisions for
losses prescribed in Article 35; Points a, b, c Clause 1 Article 36 of this
Decree, the time when the violation ends shall be the day the violator properly
implements the prudential ratios, classification of assets, off-balance-sheet
(OBS) items, creation and use of provisions for losses in accordance with
regulations of the law.
5.
Regarding violations of regulations on changes that must be approved in writing
by the State Bank of Vietnam prescribed in Article 5 of this Decree, the time
when the violation ends shall be the day the State Bank of Vietnam provides its
written approval.".
4. Amendments to Clause 4 Article 3 are as follows:
a)
Amendments to Point a Clause 4 are as follows:
“a)
Enforced transfer of profits illegally obtained from the administrative
violation to state budget; enforced return of fees wrongly collected to their
payers; enforced return of the amount appropriated to the customers; enforced
debt recovery; enforced recovery of improperly used funds; enforced recovery of
credit extended beyond the credit extension limits; enforced return of erased
or altered licenses;”;
b)
Amendments to Points m, n Clause 4 are as follows:
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n)
Requesting competent authorities to consider revoking licenses, registration
certificates of currency exchange agents, licenses to open and use offshore
foreign-currency accounts, licenses for individual currency exchange counters,
licenses for gold bullion trading, written approvals of provision of payment
services that are not through customers’ checking accounts, and licenses for
provision of payment intermediary services; dismissing or prohibiting violating
entities and/or persons responsible for the violation from holding management
and supervision positions at credit institutions or foreign bank branches;
implementing other appropriate measures in accordance with the law against
violating entities under the competence of credit institutions or foreign bank
branches;”;
c) Points
p, q are added after Point o of Clause 4 as follows:
“p) Enforced
termination of operations of paying agents; enforced separation of checking
accounts for operations of paying agents;
q)
Enforced implementation of regulations on identifying, updating, and verifying
identification information of customers; enforced issuance of internal
regulations in accordance with the law; enforced implementation of regulations
of the law on correspondent banking relationships, transactions related to new
technologies, special supervision of some transactions, and assessment of risks.".
5. Article 3a is added after Article 3 as follows:
“Article
3a. Implementation of remedial measures
The
implementation of remedial measures in the monetary and banking sector:
1. n)
Regarding remedial measures that are: proposed revocation of licenses,
registration certificates of currency exchange agents, licenses to open and use
offshore foreign-currency accounts, licenses for individual currency exchange
counters, licenses for gold bullion trading, written approvals of provision of
payment services that are not through customers’ checking accounts, and
licenses for provision of payment intermediary services
Within 3
working days from the date of issuance of the decision on penalties of
administrative violations, the person who issues such a decision shall send a
written request to a competent authority on consideration of applying the
proposed remedial measure.
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Within 3
working days from the date of issuance of the decision on penalties of
administrative violations, the person who issues such a decision shall send a
written request to a competent authority on consideration of applying the
proposed remedial measure.
3.
Regarding the remedial measure which is return of erased or altered licenses:
pursuant to the decision on penalties of administrative violations, the license
holder shall return the erased or altered license to the licensing
agency.".
6. Amendments to Clause 6, Clause 8 Article 4 are as
follows:
a)
Amendments to Clause 6 are as follows:
“6. A
fine ranging from 400.000.000 VND to 500.000.000 VND for the following
violations:
a)
Operating without a license, except for cases prescribed in Point c Clause 8
Article 23, Clause 8 Article 24, and Clause 5 Article 27 of this Decree;
b)
Violating regulations on using terms related to banking in accordance with
regulations prescribed in Article 5 of the Law on Credit Institutions.";
b) Point
d is added after Point c of Clause 8 as follows:
d)
Enforced return of erased and altered licenses regarding violations prescribed
in Point b Clause 3 of this Article.”.
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a)
Amendments to Point c Clause 2 are as follows:
“c)
Establishing a domestic branch or transaction office; establishing a domestic
representative office or administrative unit; establishing an overseas
representative office or bank wholly owned by the credit institution; or
commencing operations of a domestic branch, transaction office, or transaction
post office.”;
b) Points
c, d, dd are added after Point b Clause 5 as follows:
“c)
Changing the management branch of a transaction office of a credit institution;
d)
Voluntarily terminating operations of the branch or transaction office of a
credit institution;
dd)
Implementing specific banking operations.”;
c) Point
dd is added after Point d Clause 6 as follows:
“dd)
Providing non-cash payment services that are not through customers’ checking
accounts.”.
8. Amendments to Clause 3 Article 10 are as follows:
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a)
Purchasing or holding shares of another credit institution against the
requirements and limits announced by the State Bank of Vietnam;
b)
Contributing capital and purchasing or receiving the transfer of shares of a
credit institution against the regulations prescribed in Point c Clause 1
Article 54 of the Law on Credit Institutions.”.
9. Amendments to a number of Points and Clauses of Article
14 are as follows:
a) Points
d, dd, e, g are added after Point c Clause 1 as follows:
“d)
Failing to comply with regulations of the law on consumer loans of financial
companies when receiving and handling complaints of customers;
dd)
Failing to organize professional training for employees in accordance with
regulations on consumer loans of financial companies;
e)
Failing to comply with regulations on the maximum rate of consumer loans in
accordance with regulations on consumer loans of financial companies;
g)
Failing to issue an interest rate bracket of consumer loans for each period or
an interest rate bracket of consumer loans with sufficient content as
prescribed by the law on consumer loans of financial companies.”;
b)
Amendments to Clause 2 are as follows:
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a)
Failing to inspect the use of borrowed funds and repayment by borrowers as
prescribed by law;
b)
Failing to comply with regulations on measures to urge and recover debts in
accordance with regulations of the law on consumer loans of financial
companies.”;
c)
Amendments to Point b Clause 3 are as follows:
“b)
Granting exemption or reduction of interest rates on credit extensions before
promulgating internal regulations;”.
10. Article 14a is added after Article 14 as follows:
“Article
14a. Violations against regulations on service counselling point
A fine
ranging from 20.000.000 VND to 40.000.000 VND for the following violations:
1.
Failing to conclude contracts for opening points of service referral.
2.
Failing to specifically prescribe responsibilities and entitlements of related
parties and the contract validity period in the contract for opening points of
service referral.
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11. Point dd is added after Point d Clause 4 Article 16 as
follows:
“dd)
Purchasing convertible bonds (by a foreign bank branch).”.
12. Amendments to a number of Points and Clauses of Article
17 are as follows:
a) Point
d is added after Point c of Clause 1 as follows:
“d)
Purchasing or selling financial instruments with inappropriate currencies in
accordance with regulations of the law.”;
b) Point
dd is added after Point d Clause 2 as follows:
“dd)
Purchasing remaining promissory notes, bills, or certificates of deposits with
remaining term to maturity against regulations of the law.";
c)
Amendments to Clause 5 are as follows:
“5. A
fine ranging from 80.000.000 VND to 120.000.000 VND for the following
violations:
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b)
Purchasing or selling illegally issued financial instruments of financial
companies or financial leasing companies.”.
13. Amendments to a number of Points and Clauses of Article
23 are as follows:
a)
Amendments to Point g Clause 4 are as follows:
“g)
Carrying out fund withdrawal or repayment of foreign debts; carrying out
reimbursement or recovery of offshore loans; recovering guaranteed debts for
non-residents; carrying out transfer of funds serving foreign investments in
Vietnam or Vietnam’s outward investments against law regulations; except for
when this violation is the consequence of violations prescribed in Point d
Clause 4 of this Article;";
b) Points
i is added after Point h of Clause 5 as follows:
“i)
Failing to properly fulfill responsibilities of currency exchange agents as per
the law in case the violation is repeated; acting as a currency exchange agents
for two or more credit institutions against the regulations of the law in case
the violation is repeated.";
c) Points
c is added after Point b of Clause 6 as follows:
“c)
Opening, closing, and using offshore foreign-currency accounts against the
regulations of the law in case the violation is repeated.”;
d)
Amendments to Clause 10 are as follows:
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Proposed
revocation of the certificate of currency exchange agent, license to open and use
an offshore foreign-currency account, or license for individual currency
exchange counter if the violation prescribed in Point i Clause5 and Point c
Clause 6 is committed.".
14. Amendments to Clause 6, Clause 10 Article 24 are as
follows:
a)
Amendments to Clause 6 are as follows:
“6. A
fine ranging from 200.000.000 VND to 250.000.000 VND for the following
violations:
a) Using
imported gold materials against the license to import gold materials to produce
gold jewelry and goldsmiths’ wares.
b)
Trading gold bullion through authorized agents in case the violation is
repeated;
b)
Amendments to Clause 10 are as follows:
“10.
Remedial measures:
Proposed
revocation of the license for gold bullion trading if the violation prescribed
in Point b Clause 6 of this Article is committed.”.
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a)
Amendments to Point b Clause 2 are as follows:
“b)
Failing to provide authentic information related to the use of payment
services.”;
b)
Amendments to Point a Clause 4 are as follows:
“a)
Failing to provide authentic information related to the provision of payment
services.”;
c)
Amendments to Clause 5 are as follows:
“5. A
fine ranging from 40.000.000 VND to 50.000.000 VND for the following
violations:
a)
Renting, leasing, borrowing, lending checking accounts or purchasing and
selling information of 1 to less than 10 checking accounts, if not liable to
criminal prosecution;
b)
Forging receipts when providing or using payment services, if not liable to criminal
prosecution.";
d)
Amendments to Clause 6 are as follows:
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a)
Opening checking accounts for customers or allowing them to use checking
accounts against regulations of the law while providing payment services;
b)
Renting, leasing, borrowing, lending checking accounts or purchasing and
selling information of checking accounts with a quantity of at least 10
checking accounts, if not liable to criminal prosecution;
c)
Forging payment instruments or keeping, circulating, transferring, or using
forged payment instruments, if not liable to criminal prosecution;
d)
Issuing, providing, or using illegal payment instruments, if not liable to
criminal prosecution;
dd)
Operating against the approved content of the State Bank of Vietnam on the
provision of payment services that are not through customers’ checking
accounts.”;
dd)
Amendments to Clause 7 are as follows:
“7. A
fine ranging from 100.000.000 VND to 150.000.000 VND for the following
violations:
a)
Infiltrating or attempting to infiltrate or steal data, destroying or making
illegal changes to software programs or database used in payment system; taking
advantage of computer network errors for profiteering purposes, if not liable
to criminal prosecution;
b)
Opening or maintaining anonymous or impersonation checking accounts;
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d)
Stealing or colluding to steal information of checking accounts, if not liable
to criminal prosecution.";
e)
Amendments to Clause 8 are as follows:
“8. A
fine ranging from 150.000.000 VND to 200.000.000 VND for the following
violations:
a)
Violating regulations on cash payment;
b)
Providing payment services when not licensed to be a provider of payment
services.";
g)
Amendments to Clause 10 are as follows:
“10. Remedial
measures:
a)
Enforced transfer of illegal profits obtained from the administrative violation
prescribed in Clauses 1, 4, 5, 6, 7, and 8 of this Article to state budget;
b)
Prohibition from expanding of the operating scope, scale and areas until remedial
measures against the violation are completed regarding violations prescribed in
Points a, c ,d Clause 6, Point c Clause 7, and Point a Clause 8 of this
Article;
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16. Amendments to a number of Points and Clauses of Article
27 are as follows:
a)
Amendments to Point a Clause 1 are as follows:
“a)
Failing to provide authentic information related to the provision or use of
payment intermediary services;";
b)
Amendments to Clause 2 are as follows:
“2. A
fine ranging from 15.000.000 VND to 20.000.000 VND for the following
violations:
a) Extending
credits to e-wallet users, adding interests to an e-wallet balance, or
performing any acts to increase the balance on an e-wallet compared to the
amount of money deposited to e-wallet by the customer;
b)
Violating regulations on deposit or withdrawal of money into or from e-wallet
accounts.”;
c)
Amendments to Clause 3 are as follows:
“3. A
fine ranging from 20.000.000 VND to 30.000.000 VND for the following
violations:
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b)
Renting, leasing, borrowing, lending e-wallets or purchasing or selling
information of 1 to less than 10 e-wallets;
c)
Violating regulations on payment assurance accounts.”;
d)
Amendments to Clause 4 are as follows:
“4. A
fine ranging from 40.000.000 VND to 50.000.000 VND for the following
violations:
a)
Forging or falsifying documentary evidences of eligibility enclosed with the
application for license to provide payment intermediary services, if not liable
to criminal prosecution;
b)
Illegally editing the content of the license to provide payment intermediary
service; purchasing, selling, transferring, leasing, or lending the license
provide payment intermediary services; entrusting or authorizing other entities
to provide licensed payment intermediary services;
c)
Operating against the license to provide payment intermediary services;
d)
Renting, leasing, borrowing, lending e-wallets or purchasing or selling
information of e-wallets with a quantity of 10 e-wallets or more;
dd)
Forging receipts when providing payment intermediary services, if not liable to
criminal prosecution;
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g)
Violating regulations on transaction limits of e-wallets;
h)
Dishonestly reporting the balance and quantity of e-wallets as prescribed by
law;
i)
Opening or maintaining anonymous or impersonation e-wallet accounts;
k)
Stealing or colluding to steal information of e-wallet accounts;
l)
Providing support services (by intermediary payment service providers) of
paying or collecting on behalf, e-wallet services, electronic payment portal
services without any cooperation agreements or service provision contracts with
banks or other organizations in accordance with the content of the License and
regulations of the law;
m) Not
requesting customers to link their e-wallets with their checking accounts or
debit cards opened at associate banks before using e-wallets.”;
dd)
Clause 4a is added after Clause 4 as follows:
“4a.
A fine ranging from 50.000.000 VND to 60.000.000 VND for dishonestly reporting
the balance and quantity of e-wallet accounts as prescribed by the law, if the
violation is repeated.";
e)
Amendments to Clause 6 are as follows:
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The
exhibits and instrumentalities for committing the violation prescribed in Point
dd Clause 4 of this Article shall be confiscated.
g)
Amendments to Clause 7 are as follows:
“ a)
Enforced transfer of illegal profits obtained from the administrative violation
prescribed in Clause 2, Points b, c Clause 3, Clause 4, and Clause 5 of this
Article to state budget;
b)
Proposed revocation of the license to provide payment intermediary services
regarding violations prescribed in Points a, b, c, e Clause 4; Clause 4a of
this Article;
c)
Enforced return of erased and altered licenses regarding violations prescribed
in Point b Clause 4 of this Article.”.
17. Amendments to a number of Points and Clauses of Article
28 are as follows:
a)
Amendments to Point d Clause 5 are as follows:
“d)
Forming contracts to issue and use cards against regulations of the law.";
b)
Amendments to Clause 6 are as follows:
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a)
Leasing, lending, purchasing, or selling cards or card information or opening
cards on behalf of other persons (except anonymous prepaid cards) if the
violation involves 10 cards or more but is not serious to cause the violating
entity face criminal prosecution;
b)
Issuing cards or processing card payment against law regulations;
c) Not
rejecting card payment when the card is used for transactions prohibited by
law; the card is lost as informed by the cardholder; the card is locked or
expired; the card is used for purposes against the agreed scope prescribed in
the contract or written agreement on the issuance and use of cards.";
c)
Amendments to Clause 7 are as follows:
“7. A
fine ranging from 100.000.000 VND to 150.000.000 VND for the following
violations:
a) Using,
organizing, or facilitating the use of anonymous prepaid cards on the internet,
mobile applications, or in withdrawing cash;
b)
Performing card switching services, compensating card transactions, finalizing
card transactions against regulations of the law on operations of banking
cards;
c)
Transferring point-of-sale terminals or QR Codes to other users; accepting card
payment without entering into a merchant service agreement; illegally using
point-of-sale terminals or QR Codes;
d)
Performing, organizing, or facilitating other persons in conducting fraud card
transactions or fictitious transactions at merchants (no occurrence of any sale
of goods and provision of services).
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d)
Amendments to Clause 9 are as follows:
“9.
Remedial measures:
a)
Enforced transfer of illegal profits obtained from the administrative violation
prescribed in Points b, c Clause 5; Points a, c Clause 6, and Clause 7 of this
Article to state budget;
b)
Prohibition from concluding merchant service agreements with other acquirers
until remedial measures against violation are completed if the violation
prescribed in Point b Clause 5 and Points a, c, d Clause 7 of this Article is
committed.".
18. Article 28a is added after Article 28 as follows:
“Article
28a. Violations against regulations on paying agents
1. A fine
ranging from 5.000.000 VND to 10.000.000 VND for the following violations:
a)
Failing to provide authentic information related to the provision or use of
operations of paying agents;
b)
Receiving, handling, and reviewing complaints of customers against regulations
of the law;
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d) Not
separating the checking account that is exclusive for operations of the paying
agent as prescribed by law;
dd) Not
publicizing the list of paying agents with concluded contracts on the website
or application of the assignor.
2. A fine
ranging from 40.000.000 VND to 50.000.000 VND for the following violations:
a) Taking
advantage of the role of a paying agent to perform, organize, or facilitate other
organizations or individuals to conduct fraudulent or forged transactions,
appropriation of customers’ money, transactions for the purposes of money
laundering, terrorism financing, financing of the proliferation of weapons of
mass destruction, and other acts of law violations;
b)
Performing professional operations of paying agents against the signed contract
with the assignor.
3. A fine
ranging from 50.000.000 VND to 100.000.000 VND for the following violations:
a)
Assigning paying agents or performing as paying agents in an inappropriate
manner to the content in the License for Establishment and Operation or License
for Establishment or Decision on Organization and Operation made by competent
authorities or documents amending the License (if any);
b)
Violating regulations on the quantity of paying agents and transaction limits
for a paying agent (for assignors);
c)
Assigning operations to a 3rd party (regarding a paying agent that is not a
credit institution or branch of a foreign bank);
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dd)
Signing a contract for operations of paying agents with a paying agent that is
not a legally established enterprise or has outstanding loans listed as bad
debts by credit institutions or branches of foreign banks in accordance with
regulations of the State Bank of Vietnam (for assignors);
e)
Impersonating the paying agent.
4.
Remedial measures:
a)
Enforced transfer of illegal profits obtained from the administrative violation
prescribed in Point b Clause 2 and Clause 3 of this Article to state budget;
b)
Enforced termination of operations of paying agents regarding entities
conducting violations prescribed in Clauses 2, 3 of this Article;
c)
Enforced separation of the checking account that is exclusive for operations of
the paying agent regarding violations prescribed in Point d Clause 1 of this
Article;
d)
Prohibition from concluding paying agent contracts with other paying agent
assignors until remedial measures against violation are completed if the
violation prescribed in Points c, d Clause 1 of this Article is committed;
dd)
Enforced refund of illegally collected fees to entities that paid them or
submission to the state budget in case the subject of the refund is unable to
be identified regarding violations prescribed in Point c Clause 1 of this
Article;
e)
Enforced return of the appropriated amount to customers regarding violations
for the purposes of appropriating the money of customers as prescribed in Point
a Clause 2 of this Article.".
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a)
Amendments to Point a Clause 1 are as follows:
“a)
Failing to publicly post the SBV's regulations on cash unfit for circulation
and the receipt and exchange thereof at transaction locations;";
b)
Amendments to Clause 2 are as follows:
“2. A
fine ranging from 5.000.000 VND to 10.000.000 VND for failing to comply with
regulations on classification, packing and delivery of precious metals and
precious stones; packing, sealing, delivery, preservation, transport and
inventory of cash, precious property and financial instruments, except for
cases prescribed in Point a Clause 3 and Points b, c, d, and dd Clause 5 of
this Article.”;
c) Point
dd is added after Point d Clause 3 as follows:
“dd)
Declining the exchange of money unfit for circulation for customers against the
regulations of the law.”.
20. Amendments to Point c Clause 1 Article 31 are as
follows:
“c)
Arranging persons who have yet to be trained in skills of distinguishing
between real and counterfeit money or in professional money assessment to seize
counterfeit money or temporarily seize suspected counterfeit money;”.
21. Amendment to the name of Section 12 of Chapter II is as
follows:
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22. Amendments to Article 39 are as follows:
“Article
39. Violations against regulations on identifying, updating, and verifying
identification information of customers
1. A fine
ranging from 100.000.000 VND to 150.000.000 VND for the following violations:
a)
Failing to identify customers; failing to update or verify the identification information
of customers; failing to properly update or verify the identification
information of customers as prescribed in Articles 8, 9, 10, 11 of the Law on
Anti-money Laundering and Law on Anti-terrorism;
b)
Failing to update the list of entities related to terrorism or terrorism
financing or entities assigned to participate in the financing of proliferation
of weapons of mass destruction.
2. A fine
ranging from 150.000.000 VND to 250.000.000 VND for failing to ensure the
confidentiality of information and reports as prescribed in Article 29 of the
Law on Anti-money Laundering and Law on Anti-terrorism.
3.
Remedial measures:
a)
Enforced implementation of regulations on identifying, updating, and verifying
identification information of customers in accordance with regulations
prescribed in Articles 8, 9, 10, 11 of the Law on Anti-money Laundering and Law
on Anti-terrorism regarding violations prescribed in Point a Clause 1 of this
Article;
b)
Request competent authorities to consider prohibiting violating entities and/or
persons responsible for the violation prescribed in Clauses 1, 2 of this
Article from holding management and supervision positions at credit
institutions or foreign bank branches.
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23. Amendments to Article 40 are as follows:
“Article
40. Violations against internal regulations on anti-money laundering, anti-terrorism
financing, and combating of the financing of proliferation of weapons of mass
destruction
1. A fine
ranging from 200.000.000 VND to 300.000.000 VND for the following violations:
a)
Failing to issue internal regulations or issuing internal regulations against
regulations on the law on anti-money laundering, anti-terrorism financing, and
combating of the financing and proliferation of weapons of mass destruction;
b)
Failing to assign or registering the assignment or assigning managers or departments
responsible for the anti-money laundering and anti-terrorism financing against
the regulations of the law;
c)
Failing to perform internal audits or performing internal audits against
regulations of the law on anti-money laundering and anti-terrorism financing;
d)
Failing to provide training and advanced training or providing training and
advanced training in anti-money laundering and anti-terrorism financing against
regulations of the law.
2.
Remedial measures:
Enforced
compliance with regulations of the law when issuing internal regulations or the
termination of internal regulations with content against the regulations of the
law regarding violations prescribed in Point a Clause 1 of this Article.”.
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“Article
41. Violations against regulations on risk-based customer classification
A fine
ranging from 150.000.000 VND to 200.000.000 VND for failing to perform the
risk-based customer classification or performing the risk-based customer
classification against regulations prescribed in Clauses 2, 3, 4 Article 12 of
the Law on Anti-money Laundering, Law on Anti-terrorism, and Law on Combating
of the Financing and Proliferation of Weapons of Mass Destruction.".
25. Amendments to Article 42 are as follows:
“Article
42. Violations against regulations on identifying foreign customers who are
politically exposed persons (PEPs)
A fine
ranging from 150.000.000 to 200.000.000 for not having a risk management system
to identify foreign guests who are PEPs in accordance with regulations
prescribed in Clauses 2, 3 Article 13 of the Law on Anti-money
Laundering.".
26. Amendments to Article 43 are as follows:
“Article
43. Violations regulations on correspondent banking relationships, transactions
related to new technologies, and special supervision of transactions
1. A fine
ranging from 150.000.000 VND to 200.000.000 VND for the following violations:
a)
Failing to apply measures prescribed in Article 14 of the Law on Anti-money
Laundering when establishing a correspondent banking relationship with a
foreign partner bank;
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2. A fine
ranging from 200.000.000 VND to 300.000.000 VND for failing to perform the
special supervision for some transactions as prescribed in Article 16 of the
Law on Anti-money Laundering.
3.
Remedial measures:
a)
Enforced implementation of measures prescribed in Article 14 of the Law on Anti-money
Laundering regarding violations prescribed in Point a Clause 1 of this Article;
b)
Enforced issuance of procedures in accordance with regulations prescribed in
Article 15 of the Law on Anti-money Laundering regarding violations prescribed
in Point b Clause 1 of this Article;
c)
Enforced special supervision for some transactions in accordance with
regulations prescribed in Article 16 of the Law on Anti-money Laundering
regarding violations prescribed in Point c Clause 1 of this Article;
d)
Request competent authorities to consider prohibiting violating entities and/or
persons responsible for the violation prescribed in Clauses 1, 2 of this
Article from holding management and supervision positions at credit
institutions or foreign bank branches.
Request
credit institutions or foreign bank branches to dismiss and implement other
handling measures in accordance with the law regarding violating individuals
under their management.".
27. Amendments to Article 44 are as follows:
“Article
44. Violations against regulations on reporting on high-value transactions,
suspicious transactions, electronic money transfer, money laundering for
terrorism financing purposes, financing terrorism, and proliferation of weapons
of mass destruction
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2. A fine
ranging from 150.000.000 VND to 250.000.000 VND for the following violations:
a) Failing
to report on high-value transactions;
b)
Failing to report on suspicious transactions related to money laundering,
terrorism financing, and weapons of mass destruction financing and
proliferation;
c)
Failing to report on electronic money transfers;
d)
Failing to report on money laundering activities for terrorism financing
purposes as prescribed in Article 30 of the Law on Anti-money Laundering;
failing to report on customers’ transactions suspected of being related to
terrorism financing or weapons of mass destruction financing and proliferation;
failing to report on customers on the blacklist or the designated list as
prescribed in the Law on Anti-terrorism and Law on Combating of the Financing
and Proliferation of Weapons of Mass Destruction.
3. Remedial
measures:
a)
Enforced submission of sufficient and accurate reports regarding violations
prescribed in this Article;
b)
Request competent authorities to consider prohibiting violating entities and/or
persons responsible for the violation prescribed in this Article from holding
management and supervision positions at credit institutions or foreign bank
branches.
Request
credit institutions or foreign bank branches to dismiss and implement other
handling measures in accordance with the law regarding violating individuals
under their management.".
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Article
44a. Violations against regulations on information provision
1. A fine
ranging from 150.000.000 VND to 200.000.000 VND for failing to provide information
or providing false information or information against regulations of the Law on
Anti-money Laundering, Law on Anti-terrorism Financing, Law on Combating of the
Financing and Proliferation of Weapons of Mass Destruction, if not liable to
criminal prosecution.
2.
Remedial measures:
a)
Enforced correction of false information regarding violations prescribed in
this Article;
b)
Request competent authorities to consider prohibiting violating entities and/or
persons responsible for the violation prescribed in this Article from holding
management and supervision positions at credit institutions or foreign bank
branches.
Request
credit institutions or foreign bank branches to dismiss and implement other
handling measures in accordance with the law regarding violating individuals
under their management.".
29. Amendments to Article 45 are as follows:
“Article
45. Violations against regulations on transaction delay, account freeze, and
asset sealing or impoundment
1. A fine
ranging from 150.000.000 VND to 250.000.000 VND for the following violations:
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b)
Failing to report on account freeze or sealing or impoundment of assets
according to a decision of a competent authority as prescribed in Article 34 of
the Law on Anti-money Laundering;
c) Failing
to immediately report on the suspension of circulation or freeze of money and
assets related to terrorism financing or financing and proliferation of weapons
of mass destruction.
2. A fine
ranging from 250.000.000 VND to 350.000.000 VND for the following violations:
a)
Failing to delay transactions when finding that related parties of the
transaction are on the blacklist or when having reasonable grounds to suspect
that the transaction is related to an offence as prescribed in Clause 1 Article
33 of the Law on Anti-money Laundering;
b)
Failing to freeze accounts, seal, or impound assets according to a decision of
a competent authority as prescribed in Article 34 of the Law on Anti-money
Laundering;
c)
Failing to immediately suspend the circulation or freeze all money and assets
related to terrorism financing or financing and proliferation of weapons of
mass destruction in accordance with the law.
3.
Remedial measures:
a)
Enforced submission of sufficient and accurate reports regarding violations
prescribed in this Clause 1 of this Article;
b)
Request competent authorities to consider prohibiting violating entities and/or
persons responsible for the violation prescribed in Clauses 1, 2 of this
Article from holding management and supervision positions at credit
institutions or foreign bank branches.
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30. Article 45a is added after Article 45 as follows:
“Article
45a. Violations against regulations on risk assessment
1. A fine
ranging from 150.000.000 VND to 250.000.000 VND for the following violations:
a)
Failing to assess or update results of the assessment of risks of money
laundering and terrorism financing in accordance with the Law on Anti-money
Laundering;
a)
Failing to issue, update policies or procedures for managing risks detected
from reports on the management of risks of money laundering and terrorism
financing in accordance with the Law on Anti-money Laundering;
c)
Failing to send, disseminate, or publicize results of the assessment or update
on risks of money laundering and terrorism financing in accordance with the Law
on Anti-money Laundering.
2.
Remedial measures:
a)
Enforced implementation of regulations on the assessment of risks of money
laundering and terrorism financing in accordance with the Law on Anti-money
Laundering regarding violations prescribed in Clause 1 of this Article;
b)
Request competent authorities to consider prohibiting violating entities and/or
persons responsible for the violation prescribed in this Article from holding
management and supervision positions at credit institutions or foreign bank
branches
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31. Amendments to Article 46 are as follows:
“Article
46. Violations against regulations on prohibited acts in anti-money laundering
anti-terrorism financing
1. A fine
ranging from 150.000.000 VND to 250.000.000 VND for obstructing the provision
of information serving the performance of anti-money laundering and
anti-terrorism financing tasks.
2. A fine
ranging from 300.000.000 VND to 400.000.000 VND for the following violations:
a)
Creating or maintaining anonymous accounts or accounts with fake names;
b)
Illegally providing services of receipt of cash, cheques, or other monetary
instruments or stores of value and making payments to beneficiaries at another
location.
3. A fine
ranging from 400.000.000 VND to 500.000.000 VND for the following violations:
a)
Organizing or facilitating money laundering activities if not liable to criminal
prosecution;
b)
Establishing and maintaining business relationship with a bank that is
established in a country or territory but neither exists in that country or
territory nor bears the management or supervision of any competent authority;
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d) Taking
advantage of the suspension, freeze, sealing, impoundment or handling of money
and assets related to terrorism financing to harm the Government's interests or
legitimate rights and benefits of regulatory authorities, organizations and/or
individuals;
dd)
Directly or indirectly providing money, assets, financial resources, economic
resources, financial services, or other services for entities related to terrorism
or terrorism financing.
4.
Remedial measures:
Request
competent authorities to consider prohibiting violating entities and/or persons
responsible for the violation prescribed in Clauses 2, 3 of this Article from
holding management and supervision positions at credit institutions or foreign
bank branches.
Request
credit institutions or foreign bank branches to dismiss and implement other
handling measures in accordance with the law regarding violating individuals
under their management.".
32. Amendments to Point a Clause 4 and Point b Clause 7 of
Article 47 are as follows:
a)
Amendments to Point a Clause 4 are as follows:
“a)
Reporting in a dishonest manner, except for cases prescribed in Point h Clause
4 Article 27 of this Decree;”;
b)
Amendments to Point b Clause 7 are as follows:
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33. Amendments to Point a Clause 5 Article 48 are as
follows:
“a)
Providing information and documents in a dishonest manner;".
34. Amendments to the title and a number of Points of
Clauses 1, 2, and 3 of Article 53 are as follows:
a)
Amendments to the title of the Article are as follows:
“Article
53. Power to impose administrative penalties of Banking Inspectors or
Supervisors";
b)
Amendments to Point c Clause 1 are as follows:
“c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 1.000.000 VND;”;
c)
Amendments to Point c Clause 2 are as follows:
“c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 100.000.000
VND;”;
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“c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 500.000.000
VND;”;
35. Amendments to Article 54 are as follows:
“Article
54. Power to impose administrative penalties of Chairmen of People’s Committees
at various levels
1.
Chairmen of Commune-level People’s Committees shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 5.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 10.000.000 VND.
2.
Chairmen of District-level People’s Committees shall have the right to:
a) Impose
warning;
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c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
dd) Apply
remedial measures prescribed in Clause 4 Article 3 of this Decree.
3.
Chairmen of Province-level People’s Committees shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 1.000.000.000 VND;
c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
dd) Apply
remedial measures prescribed in Clause 4 Article 3 of this Decree.”.
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“Article
54a. Power to impose administrative penalties of the People’s Public Security
1. An
officer of the People’s Public Security on duty shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 500.000 VND;
2. Head
of the Mobile Police Unit at the company level, Station Head, or Team Head of
the person prescribed in Clause 1 of this Article shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 1.500.000 VND;
3.
Commune-level Police Chiefs, Heads of Police Stations, Heads of Border Police
Stations or manufacturing areas, Border Police Chiefs of International
Airports, Battalion Commanders of Mobile Police Battalions, and Marine Captains
shall have the right to:
a) Impose
warning;
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c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 5.000.000 VND.
4.
Commune-level Police Chiefs; Heads of Professional Bureaus of Departments of
Internal Political Security; Heads of Professional Bureaus of Police
Departments for Social Order Administration; Heads of Professional Bureaus of
Police Departments of Traffic; Heads of Professional Bureaus of Departments of
Fire-fighting and Rescue; Heads of Professional Bureaus of Departments of Cyber
Security and Hi-Tech Crime Prevention and Control; Heads of Professional
Bureaus of Departments of Exit and Entry Management; Provincial-level Police
Chiefs include: Heads of Internal Political Security Bureaus, Heads of Police
Bureaus for Social Order Administration, Heads of Police Bureaus investigating
crimes related to social order, Heads of Police Bureaus investigating crimes
related to corruption, economy, and smuggling, Heads of Police Bureaus
investigating crimes related to drugs, Heads of Traffic Police Bureaus, Heads
of Police Bureaus of Road and Rail, Heads of Road Police Bureaus, Heads of
Police Bureaus of Waterways, Heads of Mobile Police Bureaus, Heads of Security
Police Bureaus, Heads of Police Bureaus of Criminal Judgment Execution and
Judicial Assistance, Heads of Police Bureaus for Prevention and Combat of
Environmental Crimes, Heads of Police Bureaus for Fire-Fighting and Rescue,
Heads of Bureaus of Cyber Security and Hi-Tech Crime Prevention and Control, Heads
of Bureaus of Exit and Entry Management, Heads of Bureaus of Economic Security,
Heads of Bureaus of Diplomatic Security, Regiment Commanders of Mobile Police
Regiments, and Marine Captains shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 25.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 50.000.000 VND.
d)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
dd) Apply
remedial measures prescribed in Point e Clause 4 Article 3 of this Decree.
5.
Directors of the provincial-level Police Departments shall have the right to:
a) Impose
warning;
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c) Suspend
licenses, professional practice certificates or operation for a fixed period of
time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
dd) Apply
remedial measures prescribed in Points a, e, g, k, n, p Clause 4 Article 3 of
this Decree.
6.
Directors of Internal Political Security Departments; Directors of Economic
Security Departments; Directors of Police Departments for Social Order
Administration; Directors of Investigation Police Departments for Social Order
Crimes; Directors of Investigation Police Departments for Corruption, Economic
and Smuggling Crimes; Directors of Investigation Police Departments for Drug
Crimes; Directors of Traffic Police Departments; Directors of Fire-fighting and
Rescue Police Departments; Directors of Police Departments for Prevention and
Control of Environmental Crimes; Directors of Cyber Security, Hi-tech Crimes
Prevention and Control Departments; Directors of Internal Security Departments;
Directors of Police Departments for Management of Retention and Execution of
Criminal Judgments at Community, Directors of Departments of Exit and Entry
Management, and Commanders of the Mobile Police shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 1.000.000.000 VND;
c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
dd) Apply
remedial measures prescribed in Points a, e, g, k, n, p Clause 4 Article 3 of
this Decree.
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“Article
54b. Power to impose administrative penalties of the Border Guard
1. A
soldier of the Border Guard on duty shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 500.000 VND;
2. The
Station Head or Team Head of the person prescribed in Clause 1 of this Article
shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 2.500.000 VND;
3.
Leaders of Task Force Teams for drug and crime prevention and control under the
management of Task Force Commissions shall have the right to:
a) Impose
warning;
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c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 20.000.000 VND.
4.
Commanding Officers of Border Guard Posts, Captains of Coast Border Guard
Flotillas, and Commanders of the Border Guard Commands at port border gates
shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 25.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 50.000.000 VND.
5.
Leaders of Task Force Commissions for Drug and Crime Prevention and Control as
an affiliate of the Department of Drug and Crime Prevention and Control under
the management of the Command of Border Guards shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 100.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 200.000.000 VND.
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a) Impose
warning;
b) Impose
a fine up to 1.000.000.000 VND;
c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations.”.
38. Article 54c is added after Article 54b as follows:
“Article 54c. Power to impose administrative penalties of the Vietnam Coast
Guard
1. An
officer of the Vietnam Coast Guard on duty shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 1.500.000 VND.
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a) Impose
warning;
b) Impose
a fine up to 5.000.000 VND.
3. Heads
of Professional Teams of Vietnam Coast Guard shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 10.000.000 VND;
4.
Captains of Coast Guard Flotillas shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 25.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 50.000.000 VND.
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a) Impose
warning;
b) Impose
a fine up to 50.000.000 VND;
c) Confiscate
the exhibits and instrumentalities used for committing administrative
violations provided their value does not exceed 100.000.000 VND.
6.
Regional Commands of Coast Guard and Directors of the Department of Operations
and Legislation under the control of the Command of Coast Guard of Vietnam
shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 100.000.000 VND;
c)
Suspend licenses, professional practice certificates for a fixed period of
time;
d) Confiscate
the exhibits and instrumentalities used for committing administrative
violations.
7. The
Commander of Coast Guard of Vietnam shall have the right to:
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b) Impose
a fine up to 1.000.000.000 VND;
c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations.”.
39. Article 54d is added after Article 54c as follows:
“Article
54d. Power to impose administrative penalties of the Market Surveillance
1. A
market controller on duty shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 500.000 VND;
2.
Leaders of Market Surveillance Teams and Heads of Professional Divisions under
the control of the Departments of Market Surveillance shall have the right to:
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b) Impose
a fine up to 25.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 50.000.000 VND.
3.
Directors of provincial-level Market Management Departments and Directors of
Departments affiliated to Vietnam Directorate of Market Surveillance shall have
the right to:
a) Impose
warning;
b) Impose
a fine up to 50.000.000 VND;
c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
d)
Suspend licenses, professional practice certificates or operation for a fixed
period of time.
4. The
General Director of Vietnam Directorate of Market Surveillance shall have the
right to:
a) Impose
warning;
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c)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
d)
Suspend licenses, professional practice certificates or operation for a fixed
period of time.”.
40. Article 54dd is added after Article 54d as follows:
“Article
54dd. Power to impose administrative penalties of Professional Tourism
Inspectors
1. An
inspector or an assignee performing his/her professional tasks shall have the
right to:
a) Impose
warning;
b) Impose
a fine up to 500.000 VND.
2. Chief
Inspectors of Departments and Heads of Inspector Delegations of Departments
shall have the right to:
a) Impose
warning;
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c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 100.000.000 VND.
dd) Apply
remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.
3. Heads
of Inspector Delegations of Ministries shall have the right to:
a) Impose
warning;
b) Impose
a fine up to 250.000.000 VND;
c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations provided their value does not exceed 500.000.000 VND;
dd) Apply
remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.
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a) Impose
warning;
b) Impose
a fine up to 1.000.000.000 VND;
c)
Suspend licenses, professional practice certificates or operation for a fixed
period of time;
d)
Confiscate the exhibits and instrumentalities used for committing
administrative violations;
dd) Apply
remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.”.
41. Article 54e is added after Article 54dd as follows:
“Article
54e. Power to impose administrative penalties of Customs Authorities
The
General Director of the General Department of Customs shall have the right to
impose a fine up to 1.000.000.000 VND.”.
42. Article 54g is added after Article 54e as follows:
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The
Chairman of the National Competition Committee shall have the right to:
1. Impose
warning;
2. Impose
a fine up to 1.000.000.000 VND.
3. Suspend
licenses, professional practice certificates or operation for a fixed period of
time.
4.
Confiscate the exhibits and instrumentalities used for committing
administrative violations.
5. Apply
remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.”.
43. Amendments to Article 55 are as follows:
“Article
55. Determination of power to impose penalties for administrative violations in
monetary and banking sector
1. Power
to impose administrative penalties of Chairmen of People’s Committee at various
levels
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2. Power
to impose administrative penalties of Market Surveillance Agencies
Persons
competent to impose penalties of Market Surveillance Agencies shall impose
penalties for administrative violations prescribed in Clause 1, Clause 2,
Points a, b, h, i, k, l Clause 3, Points n, o Clause 4, Points e, g, h Clause
5, Point c Clause 8 Article 23; Clause 1, Clause 2, Point a Clause 3, Point a
Clause 4, Point a Clause 6, Clause 7, Points a, c Clause 8 Article 24 of this
Decree.
3. Power
to impose administrative penalties of the Border Guard
Persons
competent to impose penalties of the Border Guard shall impose penalties for
administrative violations prescribed in Clause 1, Clause 2, Points h, i, k
Clause 3, Point h Clause 4, Points e, g, h Clause 5 Article 23; Clause 1,
Clause 2, Clause 4 Article 24; Point c Clause 4 Article 47; Clause 3 Article
48; Point a Clause 5 Article 48 of this Decree.
4. Power
to impose administrative penalties of the Coast Border Guard
Persons
competent to impose penalties of the Coast Border Guard shall impose penalties
for administrative violations prescribed in Clause 1, Clause 2, Points h, i, k
Clause 3, Point h Clause 4, Points e, g, h Clause 5, Point b Clause 8 Article
23; Clause 1, Clause 2, Points a, b Clause 4, Point c Clause 5, Point a Clause
6, Points a, b Clause 8 Article 24 of this Decree.
5. Power
to impose administrative penalties of the People’s Public Security
Persons
competent to impose penalties of the People’s Public Security shall impose
penalties for administrative violations prescribed in Clauses 3, 4, and 5
Article 4; Clause 1, Clause 2, Points a, b, c, h, i, k, l Clause 3, Points h,
n, o Clause 4, Points c, e, g, h Clause 5, Point c Clause 8 Article 23; Clause
1, Clause 2, Clause 3, Clause 4, Points a, c Clause 5, Clause 6, Clause 7,
Clause 8 Article 24; Point b Clause 2, Clause 5, Clause 6, Clause 7 Article 26;
Point a Clause 1, Points a, b Clause 3, Points a, b, c, d, dd, e, i, k Clause
4, Clause 5 Article 27; Points c, d Clause 5, Clause 6, Clause 7 Article 28;
Point a Clause 1, Point a Clause 2, Point e Clause 3 Article 28a; Point c
Clause 3, Clause 4 Article 30; Article 31; Clause 2 Article 39; Article 44;
Article 45; Article 46; Point c Clause 4 Article 47; Article 48; Point b Clause
1, Point c Clause 2 Article 52 of this Decree.
6. Power
to impose administrative penalties of Professional Tourism Inspectors
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7. Power
to impose administrative penalties of Customs Authorities
The
General Director of the General Department of Customs shall impose penalties
for administrative violations prescribed in Point b Clause 8 Article 23, Point
c Clause 5, Point b Clause 8 Article 24 of this Decree.
8. Power
to impose administrative penalties of the Chairman of the National Competition
Committee
The
Chairman of the National Competition Committee shall impose penalties for
administrative violations prescribed in Clause 1, Clause 2, Points h, i, k
Clause 3, Points e, g, h Clause 5 Article 23; Clause 1 Article 24 of this
Decree.
9. Power
to impose administrative penalties of Banking Inspectors or Supervisors
Persons
competent to impose penalties of the Banking Inspector or Supervisor Force
shall impose penalties for administrative violations and apply remedial
measures for administrative violations prescribed in Chapter II of this Decree
according to their competence and assigned functions, tasks, and
entitlements.".
44. Amendments to Clause 1, Clause 2 Article 56 are as
follows:
“1.
Persons that have the power to impose administrative penalties prescribed in
Articles 53, 54, 54a, 54b, 54c, 54d, 54dd, 54e, and 54g of this Decree.
2.
Persons of People’s Army or People’s Public Security Force performing their
duties at the authorities prescribed in this Decree according to legislative
documents or administrative documents promulgated by competent authorities or
officers; pilots in command, ship captains, train masters and persons that they
assign to record violations.”.
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1. Annul
the phrase “tịch tu giấy phép đã bị tẩy xóa, sửa chữa" (confiscation of
erased and altered licenses) in Point c Clause 2 Article 3.
2. Annul
Clause 7 Article 4 and Clause 1 Article 5.
3. Annul
the word “giả mạo” (forging) in Point a Clause 4 Article 4; Clause 2 Article
18.
Article 3. Implementation responsibilities
Governor of
the State Bank of Vietnam, Ministers, Heads of Ministerial-level Agencies,
Heads of Governmental Agencies, Chairmen of People’s Committees of provinces
and centrally affiliated cities, and related agencies shall implement this
Decree.
Article 4. Implementation provision
1. This
Decree comes into force as of January 1, 2022.
2.
Transitional provision
a)
Regarding a violation committed before this Decree comes into force that is
detected or currently being considered for penalties after this Decree comes into
force, this Decree shall be applied if it does not stipulate legal liability or
provide for lighter legal liability;
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ON BEHALF OF THE GOVERNMENT
PP. PRIME MINISTER
DEPUTY PRIME MINISTER
Le Minh Khai