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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 NOVEMER 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 the transfer
of profits illegally obtained from the administrative violation to state
budget; enforced the return of fees wrongly collected to their payers; enforced
the return of the amount appropriated to the customers; enforced debt recovery;
enforced the recovery of improperly used funds; enforced the 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 the
termination of operations of paying agents; enforced the separation of checking
accounts for operations of paying agents;
q) Enforced
implementation of regulations on identifying, updating, and verifying
identification information of customers; enforced the 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 the 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 referral 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) Allowing a branch of
a foreign bank to buy convertible bonds.”.
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 period
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
- 9 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 10 checking accounts or above, 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 the 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 - 9
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 above;
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) Organizing the
provision of payment intermediary services while providing support services 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 the
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 debit 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 the 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 contacted paying agents 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 transactions, forgery,
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 the 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 the
termination of operations of paying agents regarding entities conducting
violations prescribed in Clauses 2, 3 of this Article;
c) Enforced the
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 the refund
of illegally collected fees to entities that paid them or submit it to the
state budget in case the subject of the refund is unable to identify regarding
violations prescribed in Point c Clause 1 of this Article;
e) Enforced the 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 the tariff of charges and receipt and exchange of
cash unfit for circulation 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 train in skills of distinguishing between the 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 proliferation and financing 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 and 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 the
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 the 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 the 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 the
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 the
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 the
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;
c) 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;
c) 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
Naval 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 54a.
Power to impose administrative penalties of the Naval Border Guard
1. An officer of the Naval Border 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 Naval Border Guards shall
have the right to:
a) Impose warning;
b) Impose a fine up to
10.000.000 VND;
4. Captains of Naval 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 Naval Guard and Directors of the
Department of Operations and Legislation under the control of the Command of
Naval 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 Naval 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 m, n 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 Naval
Border Guard
Persons competent to
impose penalties of the Naval 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 violations
that happened and ended before this Decree comes into force and discovered
afterward or are currently being considered for penalties when this Decree
comes into force, apply regulations of this Decree if this Decree does not
stipulate liability or provide for lighter liability;
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ON BEHALF OF THE GOVERNMENT
PP. PRIME MINISTER
DEPUTY PRIME MINISTER
Le Minh Khai