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PRIME
MINISTER
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SOCIALIST
REPUBLIC OF VIET NAM
Independence - Freedom – Happiness
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No.
79/2009/QD-TTg
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Hanoi,
May 18th, 2009
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DECISION
ISSUING
REGULATIONS ON ORGANIZATION AND OPERATION OF THE NATIONAL FINANCE SUPERVISORY
COUNCIL
THE PRIME MINISTER OF THE GOVERNMENT
Pursuant to the Law on
Organization of the Government dated 25 December 2001;
Pursuant to Resolution 03-2007-NQ-CP of the Government dated 19 January 2007
on; basic solutions for implementing the socio-economic plan and the State
budget for year 2007;
Pursuant to Decision 34 of the Prime Minister of the Government dated 3 March
2008 establishing the National Finance Supervisory Council;
Having considered the proposal of the Chairman of the National Finance
Supervisory Council,
DECIDES:
Article 1. To issue with
this Decision the Regulations on Organization and Operation of the National
Finance Supervisory Council.
Article 2. This Decision
shall be of full force and effect as from 10 July 2009.
Article 3. The Chairman
of the National Finance Supervisory Council, ministers, heads of ministerial
equivalent bodies and Government bodies, and chairmen of people's committees of
provinces and cities under central authority shall be responsible for
implementation of this Decision.
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PRIME
MINISTER OF THE GOVERNMENT
Nguyen Tan Dung
REGULATIONS
ON
ORGANIZATION AND OPERATION OF THE NATIONAL FINANCE SUPERVISORY COUNCIL
(Issued with Decision 79/2009/QD-TTg of the Prime Minister of the Government
dated 18 May 2009)
Chapter 1
GENERAL PROVISIONS
Article 1
The National Finance Supervisory
Council (hereinafter abbreviated to the Council) is the agency exercising the
function of advising the Prime Minister of the Government on coordinating the
operation of supervising the national financial market (banking, securities and
insurance), and of assisting the Prime Minister in general supervision of the
national financial market.
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The Council is an agency with
legal entity status, with headquarters in Hanoi, and a seal bearing the
national emblem; it is permitted to open accounts at the State Treasury and at
commercial banks, and is permitted to arrange full-time administrative staff.
Article 3
The Council shall operate in
accordance with the following principles:
1. Independence and objectivity
in providing advice to the Prime Minister of the Government.
2. Working pursuant to the
regime of one departmental head, ensuring that the activities of membership of
the Council are democratic and subject to direct instruction from the Prime
Minister.
3. Close working co-operation
with State administrative bodies in the banking, securities and insurance
sectors, and with other relevant ministries and branches in order to perform
the Council's assigned functions and duties.
4. Not to change the functions
and duties of specialized branch State administrative bodies.
Article 4
The State shall guarantee the
Council its staffing, material and working facilities and other necessary
working conditions in order for it to perform its assigned functions and
duties.
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Funding for the operation of the
Council shall be guaranteed by the State budget and allocated from funding for
regular activities of the Government Office.
Article 6
The Vietnamese communist party,
other mass organizations and socio-political organizations within the Council
shall operate in accordance with their respective charters and provisions of
law.
Chapter 2
MANAGEMENT APPARATUS
Article 7. Chairman and two
deputy chairmen of the Council
1. The Chairman of the Council
shall be the head of the Council and shall be entitled to the same regimes as
ministers, shall be appointed or relieved of his or her duties by the Prime
Minister of the Government, and shall be responsible before the Prime Minister
of the Government and before the law for performance of his or her assigned
duties and powers.
2. Deputy Chairmen of the
Council shall be appointed or relieved of their duties by the Prime Minister of
the Government on the proposal of the Chairman of the Council; shall be subject
to direction from and delegation of authority by the Chairman of the Council;
and shall be responsible before the law and the Chairman of the Council for
performance of their delegated tasks.
Article 8. Duties and powers
of Chairman of the Council:
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2. To participate in regular
government meetings and at other meetings pursuant to a request from the Prime
Minister; and to participate in meetings of the National Advisory Council on
Financial and Monetary Policies.
3. To request that the Chairman
of the National Advisory Council on Financial and Monetary Policies convene a
meeting of such Council when necessary.
4. To request ministers, heads
of ministerial equivalent bodies and Government bodies and of other relevant
organizations to work with the Council in order to exchange opinions on
relevant issues and to service the work of the Council.
5. To make submissions to the
Prime Minister to establish inter-branch working groups in order to perform the
supervisory functions and duties which are assigned.
6. To establish working groups
of the Council to examine activities of institutions operating in the banking,
securities and insurance sectors in order to perform the supervisory functions
and duties which are assigned.
7. To request ministries and
branches to appoint some of their senior staff to convene when necessary in
order to perform the supervisory functions and duties which are assigned.
8. To make decisions on hiring
external consultants or auditors to provide assistance during specific
activities relevant to the functions and duties of the Council, after obtaining
approval from the Prime Minister.
9. To manage the Council's
staffing apparatus including permanent staff; to implement the regimes on
salary and rewards and other regimes and policies applicable to staff managed
by the Chairman; to organize and instruct scientific research work within the
Council's powers.
10. To specifically regulate the
working relationship and co-ordination between leaders of the Council and its
units on the one hand, with Party and other mass organizations within the
Council.
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12. To perform other duties and
powers assigned to the Council by the Prime Minister of the Government.
Article 9. Organizational
structure of the Council shall comprise:
1. Office.
2. Committee for research and
co-ordination of supervisory policies.
3. Committee for overall
supervision.
4. Committee for supervision of
economic groups.
5. Information Centre on
national finance supervision.
The units prescribed in clauses
1, 2 and 4 inclusive above shall have the function of providing assistance and
advice to the Chairman of the Council; while [the unit prescribed in clause 5
above, namely] the Information Centre shall be a professional entity under the
Council; and the Chairman of the Council shall make a decision on the
functions, duties and powers of all units under the Council.
All the units prescribed in this
article shall have their own offices, and the Chairman of the Council shall
make a decision on the number of offices and on their establishment and
dissolution.
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The Office shall have a Head of
Office and a number of Deputy Heads; all the Committees shall have a Head of
Committee and a number of Deputy Heads; and the Information Centre shall have a
Director and a number of Deputy Directors. The Chairman of the Council shall be
responsible to make all these appointments.
Article 11
Senior staff of the Council
shall exercise all the rights and discharge all the obligations stipulated by
law as applicable to State employees.
State employees working at the
Council shall be entitled to the salary and wages applicable to State employees
working for the State Bank of Vietnam.
Chapter 3
OPERATIONAL ITEMS
Article 12
The Council shall assist the
Prime Minister of the Government in the following supervisory activities:
1. General supervision of the
national financial market; and overall supervision of the operations of finance
groups.
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3. Supervision of the
application of international practice and standards on regulatory operations of
specialized branch inspectorates and other regulatory bodies in the banking,
securities and insurance sectors.
4. The operational items
stipulated in clauses 1, 2 and 3 above shall be exercised by the Council on a
"remote" basis, and shall be exercised independently and ensuring the
principle of not changing the functions and powers of specialized branch State
administrative bodies.
Article 13. The Council shall
assist the Prime Minister of the Government to coordinate specialized branch
supervisory activities via the following activities:
1. By making recommendations to
the Prime Minister to issue regulations on coordinating activities supervising
the national financial market (banking, securities and insurance).
2. By coordinating specialized
branch supervisory operations; by recommending that agencies correctly
implement the supervisory rules and regimes, and correctly apply international
practice and standards to regulation of the financial market.
3. By providing its opinion to
the State Bank of Vietnam, the Ministry of Finance and other relevant agencies
on formulation of regimes, policies and regulations on management, inspection
and supervision of banking, securities and insurance operations; and on
strategies and the developmental orientation of the banking industry, the
securities market and the insurance market.
4. By making recommendations to
competent bodies to conduct research and to issue and amend legal instruments
relevant to banking, securities and insurance operations.
Article 14
The Council shall coordinate
with the relevant ministries and branches to make submissions to the Prime
Minister on the strategy and developmental orientation of the national
financial market.
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The Council shall be responsible
to establish a database system which collates, processes and supplies
information on the national financial market; to analyse, make forecasts and
provide warnings on the safety levels of the financial system and on the level
of risks applicable to the national financial market and to propose solutions
for promptly dealing with same; and to provide reports thereon to the Prime
Minister on a periodic or one-off basis.
Article 16
The Council shall make
recommendations to the Prime Minister, to ministries and branches concerned, to
specialized branch inspectorates, to regulatory bodies and to other authorities
on dealing with breaches by any organization or individual who fails to fully
comply with the regulations and conditions applicable during banking,
securities and insurance operations; and to deal with any organization or
individual who breaches the regulations on provision of periodic or one-off
information servicing the operation of supervising the national financial
market.
Article 17
The Council shall preside over
meetings, seminars, forums and discussions in order to exchange information
about and debate issues within the scope of the powers assigned to it; and
shall hold press conferences and announce information within the scope of its
managerial authority in accordance with law.
Article 18
The Chairman of the Council
shall provide reports to the Prime Minister on the activities and work, and
exercise of powers by the Council, on a three month, six month and annual
basis, and also whenever necessary at the one-off request of the Prime
Minister.
Chapter 4
WORKING RELATIONSHIP
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The Council shall closely
co-ordinate with the Ministry of Finance, the State Bank of Vietnam, with other
ministries, branches and relevant agencies when providing advice to the Prime
Minister on issues regarding management, inspection and supervision of banking,
securities and insurance operations and of the national financial market.
Article 20
The Council shall be responsible
to provide information and periodic reports and its analyses and forecasts both
to the Prime Minister and also to other relevant bodies.
Article 21
The Ministry of Finance, the
State Bank of Vietnam, relevant ministries and branches and other institutions
operating in the banking, securities and insurance sectors shall be responsible
to promptly provide complete data, information and statistics to the Council in
accordance with regulations, on a periodic and one-off request basis.
Article 22
The Council shall exercise the
functions of external relations and international co-operation and integration
in accordance with law in order to assist the exercise of the functions, duties
and powers assigned to it by the Prime Minister.
Chapter 5
IMPLEMENTING PROVISIONS
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The Chairman of the Council
shall be responsible to organize implementation of these Regulations and to
provide implementing guidelines.
Article 24
The Ministry of Finance, the
State Bank of Vietnam and other relevant bodies shall be responsible to co-
ordinate with the Council in implementing these Regulations.
PRIME
MINISTER OF THE GOVERNMENT
Nguyen Tan Dung