THE GOVERNMENT
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SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 50/2016/ND-CP
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Hanoi, June 01, 2016
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DECREE
PENALTIES FOR ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS
ON PLANNING AND INVESTMENT
Pursuant to the Law on
Government organization dated June 19, 2015;
Pursuant to the Law on
Actions against administrative violations dated June 20, 2012;
Pursuant to the Law on
Public Investment dated June 18, 2014;
Pursuant to the Law on
Enterprises dated November 26, 2014;
Pursuant to the Law on
Investment dated November 26, 2014;
Pursuant to the Law on
Bidding dated November 26, 2013;
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Pursuant to the Law on
Cooperatives dated November 20, 2012;
At the request of the
Minister of Planning and Investment;
The
Government promulgates a Decree on penalties for administrative violations
against regulations on planning and investment.
Chapter
I
GENERAL
PROVISIONS
Article
1. Scope
1. This Decree provides
for administrative violations, penalties, fine levels, remedial measures, the
power to issue records on administrative violations, the power to impose
penalties for violations against regulations on planning and investment.
2. Administrative
violations against regulations on planning and investment specified in this
Decree include:
a) Violations against
regulations on management and use of public capital;
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c) Violations against regulations
on bidding management;
d) Violations against
regulations on business registration of enterprises, business households,
cooperatives, and cooperative associations.
3. Relevant Decrees on
penalties for administrative violations shall apply to other administrative
violations against regulations on planning and investment that are not
specified in this Decree.
Article
2. Entities incurring penalties
Vietnamese and foreign
organizations and individuals that commit administrative violations against regulations
on planning and investment shall incur penalties.
Article
3. Penalties and remedial measures
1. An organization or
individual shall incur one of the following penalties as the primary penalty
for each administrative violation committed:
a) Warning;
b) Fine.
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Article
4. Fines
The fines for administrative
violations specified in Chapter II of this Decree are imposed upon
organizations, except for the fines for violations specified in Article 41,
Article 42, Article 43, and Article 44 of this Decree, which are imposed upon
individuals. For the same violation, the fine incurred by an individual is half
(1/2) that incurred by an organization.
Chapter
II
ADMINISTRATIVE
VIOLATIONS, PENALTIES AND REMEDIAL MEASURES
Section
1. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON MANAGEMENT AND USE OF PUBLIC
CAPITAL, PENALTIES AND REMEDIAL MEASURES
Article
5. Violations against regulations related to the report on proposal of
investment guidelines, pre-feasibility study report, feasibility study report
1. A fine of
VND 1,000,000 - VND 5,000,000 shall be imposed for any of the
following violations:
a) Failure to follow
procedures for making and appraising a report on proposal of investment
guidelines, pre-feasibility study report, or feasibility study report;
b) Failure to follow
procedures and conditions for adjusting a program/project.
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a) Making a budget
estimate, payment, or statement of expenditures on the making of a report on
proposal of investment guidelines, pre-feasibility study report, or feasibility
study report according to incorrect unit prices or norms;
b) Making the report on
proposal of investment guidelines, pre-feasibility study report, or feasibility
study report that is not conformable with national standards or technical
regulations;
c) Making an inadequate
report on proposal of investment guidelines, pre-feasibility study report, or
feasibility study report.
3. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Making a report on
proposal of investment guidelines, pre-feasibility study report, or feasibility
study report that is not part of planning or not included in planning by a
competent authority;
b) Making a report on
proposal of investment guidelines, pre-feasibility study report, or feasibility
study report against approved planning.
4. Remedial measures:
a) Return the excess
funding because of the incurrent budget estimate, acceptance, payment, or
statement of expenditures on making the report on proposal of investment
guidelines, pre-feasibility study report, or feasibility study report in case
of any of the violations specified in Point a Clause 2 of this Article;
b) Adjust the report on
proposal of investment guidelines, pre-feasibility study report, or feasibility
study report according to national standards or technical regulations in case
of any of the violations specified in Point b Clause 2 of this Article;
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d) Adjust the report on
proposal of investment guidelines, pre-feasibility study report, or feasibility
study report according to the approved planning in case of any of the
violations specified in Point b Clause 3 of this Article.
Article
6. Violations against regulations on reporting, providing information about
public investment
1. A fine of
VND 2,000,000 - VND 5,000,000 shall be imposed for failure to report
the progress of a program/project execution.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for provision of
inadequate or incorrect information or documents about a program/project
design.
3. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Deliberately reporting
or providing incorrect information affecting the process of making or deciding
a plan, program, or project;
b) Deliberately reporting
or providing incorrect information affecting the supervision, assessment,
inspection, and dealing with violations in implementing a plan/program/project.
4. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for deliberate
destruction, falsification, concealment, or inadequate retention of documents
about the decision on investment guidelines or decision on program/project
execution.
Article
7. Violations against regulations on supervision, assessment, inspections of a
public investment plan/program/project
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2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Failure to carry out
supervision or inspection of a plan/program/project;
b) Failure to carry out
an initial, midterm, and terminal assessment of the program/project.
Article
8. Violations against regulations on use of public capital
1. A fine of
VND 10,000,000 - VND 20,000,000 shall be imposed for using public
capital for improper purposes or beyond the approved limit.
2. Remedial measure:
withdraw the public capital to state budget.
Article
9. Administrative violations against regulations on use of public capital that
involves construction elements
Where an administrative violation
against regulations on use of public capital involves construction elements
such as survey, design, construction supervision, construction execution,
quality control, commissioning & acceptance, payment, financial statement
of a investment project, the person entitled to impose penalties specified in
this Decree may impose a penalty in accordance with the Government’s
regulations on penalties for administrative violations against regulations on
construction.
Article
10. Violations against regulations on reporting investment supervision and
assessment
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a) Making a report on
investment supervision/assessment behind schedule;
b) Making an inadequate
report on investment supervision/assessment.
2. A fine of
VND 2,000,000 - VND 5,000,000 shall be imposed for any of the
following violations:
a) Failure to make and
send a report on investment supervision/assessment to a competent authority;
b) Making an untruthful
report on investment supervision/assessment.
3. Remedial measures:
a) Complete the report on
investment supervision/assessment in case of the violation specified in Point b
Clause 1 of this Article;
b) Send the report on investment
supervision/assessment to a competent authority in case of the violation
specified in Point a Clause 2 of this Article;
Article
11. Violations against regulations on management of execution of a
program/project funded by official development assistance (hereinafter referred
to as ODA program/project)
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a) Failure to organize
the supervision and/or assessment of the execution of an ODA program/project;
b) Execute the
program/project behind schedule not because of an objective difficulty or a
force majeure event.
2. A fine of
VND 20,000,000 - VND 30,000,000 shall be imposed for executing a
program/project against the decision on investment or the decision on approval
for the technical assistance program/project instrument.
3. Remedial measure: The
violator shall have to organize the supervision and/or assessment of the
program/project in case of any of the violations specified in Point a Clause 1
of this Article.
Article
12. Violations against regulations on reporting and providing information about
an ODA program/project
1. A fine of
VND 1,000,000 - VND 2,000,000 shall be imposed for failure to comply
with regulations on reporting the result of an ODA program/project to a
competent authority.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for provision of
incorrect information or documents for the parties of the contract, the parties
counseling and executing the ODA program/project.
3. Remedial measures:
a) Make and send a report
to a competent authority in case of the violation specified in Clause 1 of this
Article;
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Section
2. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON DOMESTIC INVESTMENT AND
OUTWARD INVESTMENT, PENALTIES AND REMEDIAL MEASURES
Article
13. Violations against regulations on investment in Vietnam
1. A fine of
VND 1,000,000 - VND 5,000,000 shall be imposed for failure to submit
a report to the investment registration authority before commencing the
execution of an investment project which is not granted an investment
registration certificate.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Failure to submit
reports on investment activities, investment project supervision and/or
assessment;
b) Submitting an
untruthful report on investment activities;
c) making investment in
conditional business lines without satisfying all conditions specified in the
Law on Investment;
d) Establishing an
executive office of a foreign investor in the business cooperation contract
without registering with the investment registration authority of the area
where the executive office is located;
dd) Shutting down an
executive office of a foreign investors in the business cooperation contract
without notifying the investment registration authority of the area where the
executive office is located.
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4. A fine of
VND 20,000,000 - VND 30,000,000 shall be imposed for any of the
following violations:
a) Failure to follow
procedures for registration of capital contribution, purchase of capital
contributions/shares of a business organization;
b) Failure to follow
procedures for investment project adjustment;
c) Extending the duration
of project execution or investment without submitting a written proposal to the
investment registration authority or such proposal is not approved in writing
by the investment registration authority;
d) Suspend an investment
project without sending a written notification to the investment registration
authority or the suspension is not approved in writing by the investment
registration authority;
dd) Failure to follow
procedures for shutting down or liquidating an investment project.
5. A fine of
VND 30,000,000 - VND 40,000,000 shall be imposed for any of the
following violations:
a) Failure to make
investment in accordance with the content of the application for investment
registration (where the investment registration certificate is not issued) or
the certificate of investment or investment registration certificate or
decision on investment guidelines;
b) Failure to satisfy
conditions for investment by capital contribution or purchase of capital
contributions/shares of foreign investors;
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d) Making investment in
business lines banned from investment specified in the Law on Investment.
6. A fine of
VND 40,000,000 - VND 60,000,000 shall be imposed for any of the
following violations:
a) Failure to follow
investment procedures;
b) Carrying on the
project execution after the investment registration authority issues a decision
on suspension of the project;
c) Carrying on the
project execution after its shutdown without approval by the investment
registration authority;
d) Failure to commence
the investment project after 12 months without by the investment registration
authority.
7. A fine of
VND 60,000,000 - VND 80,000,000 shall be imposed for commencing a
project before a certificate of investment, investment registration
certificate, or decision on investment guidelines is issued.
8. Remedial measures:
a) Register the executive
office of a foreign investors in the business cooperation contract in case of the
violation specified in Point d Clause 2 of this Article;
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Article
14. Violations against regulations on use of state capital for investment or
business operation
1. A fine of
VND 30,000,000 - VND 50,000,000 shall be imposed for any of the
following violations:
a) Using state capital
for making investment, contributing capital, or purchasing shares without
approval by a competent authority;
b) Changing an investment
project funded by state capital without approval by a competent authority.
2. A fine of
VND 50,000,000 - VND 70,000,000 shall be imposed for investing or doing
business using state capital for improper purposes.
Article
15. Violations against regulations on outward investment
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Failure to comply with
regulations on reporting overseas investment activities;
b) Failure to notify or
adequately notify investment project execution.
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a) Failure to adhere to
the outward investment registration certificate;
b) Failure to transfer
profit and income from outward investment to
Vietnam;
c) Failure to transfer
lawful assets and capital to Vietnam after the project is finished.
3. A fine of
VND 30,000,000 - VND 40,000,000 shall be imposed for any of the
following violations:
a) Submit incorrect or
untruthful documents to obtain the outward investment registration certificate;
b) Failure to follow
procedures for adjusting the outward investment registration certificate in
case of changes to the outward investment project;
c) Failure to follow
procedures for adjusting the investment registration certificate when the
profit from overseas investment is used for increasing capital or expanding
overseas investment;
d) Using profit from an
overseas investment project to execute another overseas investment project
without following procedures for obtaining the outward investment registration
certificate for such project.
4. A fine of
VND 50,000,000 - VND 60,000,000 shall be imposed for any of the
following violations:
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b) Transferring capital
to abroad without satisfying all conditions;
c) Using state capital to
make outward investment against the law.
5. Remedial measures:
a) Make investment
reports in case of the violation specified in Point a Clause 1 of this Article;
b) Adhere to the
investment registration certificate in case of the violation specified in Point
a Clause 2 of this Article;
c) Follow procedures for
adjusting the investment registration certificate in case of the violation
specified in Point b or Point c Clause 3 of this Article;
d) Follow investment
procedures in case of the violation specified in Point d Clause 3 of this
Article.
Article
16. Violations against regulations on investment incentives
1. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for failure to
notify a competent authority of the failure to fulfill conditions for
investment incentives. If the application for
investment incentives involves tax offences, penalties for tax offences shall
be imposed.
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3. Remedial measures: Return
the investment incentives improperly provided in case of any of the violations
specified in Clause 1 and Clause 2 of this Article.
Article
17. Violations against regulations on investment under public-private
partnerships (PPP)
1. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for failure to
adjust the feasibility study report in the following cases:
a) The project is
affected by a natural disaster or other force majeure events;
b) There is the potential
for higher effectiveness of the project;
c) Changes to the
planning affect the purposes, location, or scale of the project;
d) The project is not
attractive to investors after market survey, prequalification, or bidding;
dd) Other cases decided
by the Prime Minister.
2. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for any of the
following violations:
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b) failure to determine
the value of state capital in the project funded by state capital before
approving the feasibility study report or project proposal (for Group C
projects).
3. A fine of
VND 20,000,000 - VND 30,000,000 shall be imposed for any of the
following violations:
a) Failure to implement a
performance security measure;
b) Failure to impose
rules for contractor selection uniformly applied throughout the project
execution process;
c) Failure to satisfy all
conditions for project commencement;
d) Failure to prepare a
financial statement of the construction.
4. A fine of
VND 30,000,000 - VND 40,000,000 shall be imposed for any of the
following violations:
a) Failure to satisfy all
conditions and follow procedures for transferring a construction;
b) Failure to satisfy all
conditions for project commencement.
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Section
3. ADMINISTRATIVE VIOLATIONS AGAINST REGULATIONS ON BIDDING MANAGEMENT,
PENALTIES AND REMEDIAL MEASURES
Article
18. Violations against regulations on planning contractor/investor selection
1. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Failure to carry out a
prequalification before making an investor selection plan;
b) Failure to follow
procedures for making, appraising, approving the contractor/investor selection
plan;
c) Failure to appraise
the contractor/investor selection plan before approving it.
2. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for verifying,
approving the contractor/investor selection result before the
contractor/investor selection plan is approved.
3. A fine of
VND 20,000,000 - VND 30,000,000 shall be imposed for dividing
procurements that fail to satisfy technical, procedure, uniformity requirements
of the project reducing the competitiveness of bidding.
Article
19. Violations against regulations on request for expression of interest,
prequalification documents, bidding documents, request for proposals
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2. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Failure to appraise
the request for expression of interest, prequalification documents, bidding
documents, or request for proposals before approving it;
b) Making, appraising, or
approving the request for expression of interest, prequalification documents,
bidding documents, or request for proposals ultra vires.
3. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for any of the
following violations:
a) Making, appraising, or
approving the request for expression of interest, prequalification documents,
bidding documents, or request for proposals against regulations of law on
bidders’ qualification, bidding incentives, employment of domestic workers, use
of domestic goods, assessment standards;
b) Making, appraising, or
approving the request for expression of interest, prequalification documents,
bidding documents, or request for proposals against regulations of law on
bidders’ qualification or incentives in investor selection;
c) Imposing conditions to
restrict participation of bidders or give advantage to one or some bidders and
thus causing unfair competition;
d) Imposing standards for
assessing the request for expression of interest, prequalification documents,
bidding documents, or request for proposals that are not appropriate for the
scale or technical characteristics of the procurement.
4. A fine of
VND 20,000,000 - VND 30,000,000 shall be imposed for approving a
bidding documents or request for proposals that is not conformable with the
approved contractor/investor selection plan.
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1. A fine of
VND 1,000,000 - VND 5,000,000 shall be imposed for any of the
following violations:
a) Failure to specify or
correctly specify the address from which the request for expression of
interest, prequalification documents, bidding documents, request for proposals
is sent in the invitation letter;
b) Changing or clarifying
the bidding documents or request for proposals without request;
c) Refusing to receive
expressions of interest, applications for prequalification, bids, or proposals
from bidders/investors.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for failure to
publish the request for expression of interest, bidding documents, request for
proposals, prequalification documents according to the time and location
written on the invitation.
3. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Failure to adhere to
the time for bid opening and bid closing specified in the bidding documents or
invitation letter;
b) Failure to send bid
opening records to bidders;
c) Failure to evaluate
expressions of interest, applications for prequalification, bids, proposals of
bidders/investors;
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4. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for any of the
following violations:
a) Submitting,
appraising, approving, publishing a shortlist or contractor/investor selection
result that is incorrect or contains inadequate information, or ultra vires;
b) Failure to verify the
shortlist, list of bidders/investors satisfying technical requirements in case
of single-stage two-envelope procedures or two-stage two-envelope procedures;
c) Failure to organize
the verification of the contractor/investor selection result before approving
it;
d) Submitting, verifying,
approving the contractor/investor selection result against the
contractor/investor selection plan;
dd) Evaluating bids or
proposals against approved evaluation standards in the bidding documents or
request for proposals without changing the contractor/investor selection
result.
5. A fine of
VND 30,000,000 - VND 40,000,000 shall be imposed for any of the
following violations:
a) Evaluating bids or
proposals against approved evaluation standards in the bidding documents or
request for proposals changing the contractor/investor selection result;
b) Allowing bidders to
clarify their bids and thus changing the nature of bidders.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for failure to carry
out a contract negotiation in contractor selection or preliminary contract
negotiation in investor selection.
2. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for concluding a
contract before the contractor/investor selection result is approved.
Article
22. Violations against regulations on posting bidding information
1. A warning or A fine of
VND 500,000 - VND 1,000,000 shall be imposed for posting the
investor/contractor selection plan behind schedule but before the invitation to
bid for the first procurement or project of the investor/contractor selection
plan is sent.
2. A fine of
VND 1,000,000 - VND 5,000,000 shall be imposed for any of the following
violations:
a) Posting the
investor/contractor selection plan after the invitation to bid for the first
procurement or project of the investor/contractor selection plan is sent;
b) Posting inadequate bidding
information or posting bidding information ultra vires.
3. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for failure to post
bidding information.
Article
23. Administrative violations against other regulations on bidding
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a) Failure to return or
release the deposit paid as bid security to the contractor or investor;
b) Establishing an expert
group which consists of unqualified members;
c) Failure to retain or
adequately retain documents during the contractor/investor selection process.
2. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Participating in the
bidding as an individual without satisfying all requirements;
b) Preparing an
application for prequalification or expression of interest or bid in an
untruthful manner.
3. Remedial measures:
Return the bid security to the investor or contractor in case of the violation
specified in Point a Clause 1 of this Article.
Section
4. VIOLATIONS AGAINST REGULATIONS ON BUSINESS REGISTRATION OF ENTERPRISES,
BUSINESS HOUSEHOLDS, COOPERATIVES, AND COOPERATIVE ASSOCIATIONS, PENALTIES AND
REMEDIAL MEASURES
Article
24. Violations against regulations on preparing the application for enterprise
registration
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Remedial measure:
Correct the information.
Article
25. Violations against regulations on deadline for registering adjustments to
certificates of enterprise registration
1. A fine of
VND 1,000,000 - VND 5,000,000 shall be imposed for registering
adjustments to the certificate of enterprise registration, certificate of
branch/representative office/business location registration 1 – 30 days behind
schedule.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for registering adjustments
to the certificate of enterprise registration, certificate of
branch/representative office/business location registration 31 – 90 days behind
schedule.
3. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for registering
adjustments to the certificate of enterprise registration, certificate of
branch/representative office/business location registration 91 days or longer
behind schedule.
4. Remedial measure:
Register adjustments to the certificate of enterprise registration.
Article
26. Violations against regulations on publishing enterprise registration
information
1. A fine of
VND 1,000,000 - VND 2,000,000 shall be imposed for failure to publish
or publish on schedule enterprise registration information on National Enterprise Registration Portal.
2. Remedial measure:
Publish enterprise registration information on National Enterprise Registration
Portal.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Publishing inadequate
of inaccurate information about state-owned enterprises;
b) Failure to notify the
state ownership representative agency and the Ministry of Planning and
Investment of the fact that there is more than one legal representative, or to
publish in on the enterprise’s website;
c) Authorizing a person
to publish information without notifying the state ownership representative
agency and the Ministry of Planning and Investment;
d) Failure to send the
state ownership representative agency a written explanation for changes to
published information;
dd) Suspending
information publishing without notifying the reasons for such suspension or
sending a request for suspension of information publishing to the state
ownership representative agency.
2. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Failure to
periodically publish information;
b) Failure to publish the
enterprise development strategy on the enterprise’s website and send it to the
Ministry of Planning and Investment for publishing;
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
d) Failure to prepare a
report on result of performance of public and social duties (if any);
dd) Failure to annually
publish the progress of enterprise restructuring and innovation, report the
administration and organizational structure of the enterprise, financial
statement, salary and bonus scheme of the enterprise.
3. Remedial measures:
a) Complete or rectify
the published information in case of the violation specified in Point a Clause
1 of this Article;
b) Report, notify, or
publish information in case of the violations specified in Point b, Point c, Point
d and Point dd Clause 1 of this Article;
c) Publish information as
prescribed in case of the violations specified in Clause 2 of this Article.
Article
28. Violations against regulations on enterprise establishment
1. A fine of
VND 2,000,000 - VND 5,000,000 shall be imposed for failure to convert
the type of business when the minimum number of members or partners or
shareholders cannot be maintained for 6 consecutive months.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for operating after
the expiration date written in the Charter without permission for extension.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4. A fine of
VND 20,000,000 - VND 30,000,000 shall be imposed for any of the
following violations:
a) Incorrectly assess the
value assets contributed as capital in a deliberate manner;
b) Carrying on the business
after the certificate of enterprise registration is revoked;
c) Doing business as an
enterprise without registering an enterprise establishment.
5. Remedial measures:
a) Register the business
type conversion in accordance with the Law on Enterprises in case of the
violation specified in Clause 1 of this Article;
b) Revise the Charter or
apply for dissolution in case of the violation specified in Clause 2 of this
Article;
c) Register the change to
the charter capital and holdings of members/partners/shareholders in case of
the violation specified in Clause 3 of this Article;
d) Reassess the assets
contributed as capital and register the charter capital accordingly in case of
the violation specified in Point a Clause 4 of this Article;
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Article
29. Violations against regulations on registering the enterprise founder
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed upon:
a) Any entity that by law
does not have the right to establish an enterprise but still registers the
establishment of an enterprise;
b) Any entity that does
not have the right to contribute capital, purchase capital contributions/shares
but still does so.
2. Remedial measures:
a) Register the change to
the number of members, partners or shareholders of the single-member limited
liability company owned by an organization, joint-stock company, or partnership
in case of the violation specified in Point a Clause 1 of this Article.
b) Replace the
member/partner who is the organization or individual that contributes capital
or purchases capital contributions/shares in case of the violation specified in
Point b Clause 1 of this Article.
Article
30. Violations against regulations on reporting and complying with requests of
business registration authorities
1. A fine of
VND 1,000,000 - VND 5,000,000 shall be imposed for any of the
following violations:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b) Failure to submit a
report or submit a report on time to the business registration authority of the
area where the enterprise’s headquarters is located on changes to members of
the Board of Directors (of a joint-stock company), members of the Control Board
or controllers, Director or General Director.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Carrying on a
conditional business line after a suspension has been requested by the business
registration authority;
b) Failure to change to
the enterprise’s name at the quest of the business registration authority where
the enterprise’s name infringes upon industrial property right.
3. Remedial measures:
a) Submit a report to the
business registration authority in case of the violation specified in Clause 1
of this Article;
b) Change the
enterprise’s name or remove the infringing element in the name in case of the
violation specified in Point b Clause 2 of this Article.
Article
31. Violations against regulations on notifying changes to enterprise
registration content
1. A warning or A fine of
VND 500,000 - VND 1,000,000 shall be imposed for notifying changes to
the enterprise registration content 1 – 30 days behind schedule.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. A warning or A fine of
VND 2,000,000 - VND 5,000,000 shall be imposed for notifying changes
to the enterprise registration content 91 days or longer behind schedule.
4. Remedial measure:
Notify the changes to the Provincial Business Registration Office.
Article
32. Other report-related offences
1. A fine of
VND 1,000,000 - VND 2,000,000 shall be imposed for any of the
following violations:
a) Failure to notify or
notify on time the business registration authority or tax authority of the
lease of a private enterprise;
b) Failure to notify or
notify on time the business registration authority of the private placement of
shares of a privately held company;
c) Failure to notify the
business registration authority of changes to information about founding
shareholders or foreign shareholders of an unlisted company;
d) Failure to notify or
notify on time the business registration authority or tax authority of the time
and duration of business suspension or time of resumption;
dd) Failure to notify or
notify on time the business registration authority of information or changes to
information about the name, nationality, passport number, permanent residence,
quantity and type of shares of a shareholder who is a foreigner; name,
enterprise ID number, headquarters address, quantity and type of shares of a
shareholder that is a foreign organizations and name, nationality, passport
number and permanent residence of the representative thereof if the joint-stock
company is unlisted.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a) Registering a business
suspension without notifying the suspension of the branch, representative
office, or business location;
b) Using, changing,
canceling the stamp design, changing the quantity of stamps of the enterprise
or its branch or representative office without notifying the business
registration authority for posting on the National Enterprise Registration
Portal.
3. Remedial measures:
a) Send a notification to
the business registration authority or tax authority of the information
mentioned in Point a Clause 1 of this Article;
b) Send a notification to
the business registration authority of the information mentioned in Point b,
Point c, Point d, Point dd Clause 1 and Clause 2 of this Article.
Article
33. Violations against regulations on the enterprise’s legal representative
1. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for any of the
following violations:
a) Failure to have a
legal representative residing in Vietnam;
b) Failure to authorize a
person in writing to act as a representative when the only legal representative
of the enterprise leaves Vietnam;
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Remedial measures:
a) Appoint a Vietnamese
resident as the legal representative in case of the violation specified in
Point a Clause 1 of this Article;
b) Authorize another
person as the representative in case of the violation specified in Point b
Clause 1 of this Article;
c) Appoint a qualified
person as the representative in case of the violation specified in Point c
Clause 1 of this Article.
Article
34. Violations against other regulations on organization and management of
enterprises
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the following
violations:
a) Failure to hold the
annual General meeting of shareholders by the deadline;
b) Appoint a person who
does not have the right to enterprise management to hold a managerial position;
c) Appoint an unqualified
person as the Director (General Director).
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a) Failure to issue the
certificate of capital contribution to a company’s member/partner;
b) Failure to make a member/partner/shareholder
register;
c) Failure to put up the
enterprise’s name at its headquarters, branch or representative office; failure
to put up the name of the enterprise’s branch, representative office or
business location at its location;
d) Failure to retain
documents at the headquarters or another location specified in the company’s
charter.
3. Remedial measures:
a) Hold the annual the
General Meeting of Shareholders in case of the violation specified in Point a
Clause 1 of this Article;
b) Dismiss the
unqualified enterprise manager in case of the violation specified in Point b
Clause 1 of this Article;
c) Dismiss the
unqualified Director (General Director) of the joint-stock company in case of
the violation specified in Point c Clause 1 of this Article;
d) Issue a certificate of
capital contribution to the member/partner contributes in case of the violation
specified in Point a Clause 2 of this Article;
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a) Put up the
enterprise’s name at its headquarters, branch or representative office; put up
the name of the enterprise’s branch, representative office or business location
at its location in case of the violation specified in Point c Clause 2 of this
Article;
g) Regain documents in
case of the violations specified in Point d Clause 2 of this Article.
Article
35. Violations against regulations related to the Control Board
1. A fine of
VND 2,000,000 - VND 5,000,000 shall be imposed for failure to have a
Control Board with satisfactory composition.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Failure to establish a
the Control Board where the establishment of a Control Board is compulsory;
b) Appoint an unqualified
person as a Controller.
3. Remedial measures:
a) Reorganize the Control
Board in accordance with law in case of the violation specified in Clause 1 of
this Article;
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c) Dismiss the
unqualified Controller in case of the violation specified in Point b Clause 2
of this Article.
Article
36. Violations against regulations on enterprise dissolution
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Failure to initiate
procedures for enterprise dissolution where dissolution is compulsory;
b) Failure to send or
punctually send the decision on enterprise dissolution and minutes of meeting
to the business registration authority, tax authority, and employees.
2. Remedial measures:
a) Initiate the
enterprise dissolution procedures in accordance with law in case of the
violation specified in Point a Clause 1 of this Article;
b) Send a the decision on
enterprise dissolution and minutes of meeting to the business registration
authority, tax authority, and employees in case of the violation specified in
Point b Clause 1 of this Article.
Article
37. Violations against regulations on establishment, shutdown of branches,
representative offices and business locations of enterprises
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a) Doing business at a location
that is not notified to the Business Registration Office of the province where
the business takes place;
b) Shutting down a
branch, representative office, or business location without notifying the
Business Registration Office of the province.
2. Remedial measure:
Notify the location of the business location to the Business Registration
Office of the province in case of the violation specified in Point a Clause 1
of this Article.
Article
38. Violations against regulations on private enterprises
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
a) Contributing capital
or purchasing capital contributions/shares of a partnership, limited liability
company, or joint-stock company;
b) Failure to adequately record
the increases or decreases of capital; the entire capital and assets including
loan capital and leased assets serving the enterprise’s operation in the
accounting books or financial statement of the enterprise.
2. Record adequate
information in the accounting books or financial statement in case of the
violation specified in Point b Clause 1 of this Article.
Article
39. Violations against regulations on parent company-subsidiary company
relationships
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a) Any subsidiary that
contributes capital to or buy shares of the parent company;
b) Subsidiaries of the
same parent company contribute capital or buy shares to obtain cross-ownership;
c) Subsidiaries of the
same parent company having at least 65% state capital contribute capital to
establish an enterprise.
2. Remedial measures:
a) Withdraw capital or
shares from the parent company or other subsidiaries in case of the violation
specified in Point a and Point b Clause 1 of this Article;
b) Withdraw capital from
the enterprise established in case of the violation specified in Point c Clause
1 of this Article.
Article
40. Violations against regulations on social enterprises
1. A fine of
VND 15,000,000 - VND 20,000,000 shall be imposed for any of the
following violations:
a)
Failure to use at least 51% of annual profit for reinvestment in achievements
of social or environmental objectives as registered;
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Remedial measures:
a) Provide sufficient
capital for reinvestment in achievements of social or environmental objectives
as registered in case of the violation specified in Point a Clause 1 of this
Article;
b) Return the
sponsorships used improperly in case of the violation specified in Point b
Clause 1 of this Article.
Article
41. Violations against regulations on business registration by business
households
1. A fine of
VND 3,000,000 - VND 5,000,000 shall be imposed for any of the
following violations:
a) Registering more than
one business households;
b) Failure to submit a
business report at the request of the business registration authority of the
district;
c) Employ more than 10
regular employees;
d) Wholesaling or doing mobile
business at a location other than that registered with the business
registration authority of the district without notifying the tax authority or
market surveillance authority of the area where the headquarters is located and
where the business is done;
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e) Failure to register
the establishment of a business household where compulsory.
2. A fine of
VND 5,000,000 - VND 7,000,000 shall be imposed for provision of
inaccurate or untruthful information in the application for business household
registration or the application for adjustments to business household
registration content.
3. Remedial measures:
a) Follow procedures for
shutting down the business households except for one business household in case
of the violation specified in Point a Clause 1 of this Article;
b) Register the
enterprise establishment in case of the violation specified in Point c Clause 1
of this Article;
c) Send a notification to
the tax authority or market surveillance authority in case of the violation
specified in Point d Clause 1 of this Article;
dd) Register the business
household establishment in case of the violation specified in Point e Clause 1
of this Article;
dd) File another
application in case of the violation specified in Clause 2 of this Article.
Article
42. Violations against regulations on business household suspension
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2. A fine of
VND 1,000,000 - VND 2,000,000 shall be imposed for any of the
following violations:
a) Failure to inaugurate
the business within 06 months from the issuance date of the certificate of
business household registration;
b) Suspending the
business for more than 6 consecutive months without notifying the business
registration authority of the district.
3. Remedial measure: Send
a notification to the business registration authority of the district in case
of the violation specified in Clause 1 of this Article.
Article
43. Violations against regulations on registering changes to business household
registration contents
1. A fine of
VND 500,000 - VND 1,000,000 shall be imposed for any of the following
violations:
a) Changing the business
registration content without notifying the business registration authority of
the district;
b) Changing business
location without notifying the business registration authority of the district;
c) Failure to suspend the
conditional business line at the request of the business registration authority
of the district.
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a) Send a notification of
changes to business household registration content to the business registration
authority of the district in case of the violation specified in Point a Clause
1 of this Article;
b) Send a notification to
the business registration authority of the district in case of the violation
specified in Point b Clause 1 of this Article.
Article
44. Violations against regulations on shutdown of business households
1. A warning or A fine of
VND 500,000 - VND 1,000,000 shall be imposed for shutting down a
business household without sending a notification or without returning the
original certificate of business registration to the business registration
authority of the district.
2. Remedial measure: Send
a notification or returning the original certificate of business household
registration to the business registration authority of the district.
Article
45. Violations against regulations on business registration by cooperatives and
cooperative associations
1. A fine of
VND 1,000,000 - VND 2,000,000 shall be imposed for any of the
following violations:
a) Failure to hold the
annual general meeting of members of the cooperative or cooperative
association;
b) Failure to make a
member register after a certificate of registration of cooperative or
cooperative association is granted.
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a) Failure to provide
accurate and truthful information in the application for cooperative or
cooperative association registration;
b) Doing business in the
name of a cooperative or cooperative association without a certificate of
cooperative registration.
3. Remedial measures:
a) Hold the annual the
general meeting of members in case of the violation specified in Point a Clause
1 of this Article;
b) Make a member register
in case of the violation specified in Point b Clause 1 of this Article;
c) File another
application in case of the violation specified in Point a Clause 2 of this
Article;
d) Apply for registration
of the cooperative or cooperative association in case of the violation
specified in Point b Clause 2 of this Article.
Article
46. Violations against regulations on capital contribution and registration of
capital contribution by cooperatives and cooperative associations
1. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
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b) Failure to maintain
the legal capital where legal capital is required;
c) Failure to issue a certificate
of capital contribution to a member of the cooperative or an associate
cooperative;
d) Contributing capital,
buying shares, establishing an enterprise without approval by the general
meeting of members;
dd) Using sources of capital that are undistributable
assets of the cooperative or cooperative association to contribute capital, buy
shares, or establish an enterprise;
e) Contributing capital,
buying shares, establishing an using more than 50% of the charter capital of
the cooperative or cooperative association according to the latest financial
statement before the time of capital contribution, share purchase, or
enterprise establishment;
g) Failure to notify the
issuer of the certificate of registration of the capital contribution, share
purchase, establishment of the enterprise, cooperative or cooperative
association.
2. A fine of
VND 10,000,000 - VND 15,000,000 shall be imposed for allowing a
member to contribute more than 20% capital of the cooperative, or an associate
cooperative to contribute more than 30% capital of the cooperative association.
3. Remedial measures:
a) Supplement the capital
as registered in case of the violation specified in Point a Clause 1 of this
Article;
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c) Return the capital or
undistributable assets of the cooperative or cooperative association in case of
the violation specified in Point dd Clause 1 of this Article;
d) Adjust the total investment
in the form of capital contribution, share purchase, or enterprise
establishment in case of the violation specified in Point e Clause 1 of this
Article;
dd) Notify the issuer of
the certificate of registration of the cooperative or cooperative association
in case of the violation specified in Point g Clause 1 of this Article;
e) Adjust the capital
contribution ratio in case of the violation specified in Clause 2 of this
Article.
Article
47. Violations against regulations on changing cooperative or cooperative
association registration content
1. A fine of
VND 500,000 - VND 1,000,000 shall be imposed for any of the following
violations:
a) Failure to register or
punctually register or notify changes to the cooperative or cooperative association
registration content;
b) Failure to register
the change to the cooperative’s name when changing the business line which is
part of the name of the cooperative or cooperative association.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for any of the
following violations:
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b) Carrying on the
business operation during the suspension period.
3. Remedial measure:
Apply for reissuance of the certificate of registration of the cooperative or
cooperative association in case of the violation specified in Clause 1 and
Point a Clause 2 of this Article.
Article
48. Violations against regulations on provision of information about
cooperatives and cooperative associations
1. A fine of
VND 1,000,000 - VND 2,000,000 shall be imposed for failure to
adequately, accurately, and promptly provide information about the business
operation, finance, income distribution, and other information to the members
or associate cooperatives as specified in the Charter.
2. Remedial measure:
Provide adequate, timely, and accurate information for the members or associate
cooperatives in case of the violation specified in Clause 1 of this Article.
Article
49. Violations against regulations on restructuring of cooperatives and
cooperative associations
1. A fine of
VND 2,000,000 - VND 5,000,000 shall be imposed for illegal division,
consolidation, or merger of cooperatives.
2. Remedial measure:
Restructure the cooperative or cooperative association.
Article
50. Violations against regulations on registration of branches, representative
offices and business locations of cooperatives and cooperative associations
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a) Registering the
address of a branch, representative office, or business location that does not
exist on the administrative map;
b) Registering the
address of a branch, representative office, or business location that is not
within the lawful right to ownership or enjoyment.
2. A fine of
VND 5,000,000 - VND 10,000,000 shall be imposed for untruthfully or
inaccurately registering changes to the branch, representative office, or
business location registration content.
3. Remedial measure:
Apply for reissuance of the certificate of registration of the cooperative or
cooperative association in case of the violation specified in Clause 1 and
Clause 2 of this Article.
Chapter
III
POWER TO
IMPOSE PENALTIES
Article
51. The power to impose penalties of inspectors of planning and investment
authorities
1. Inspectors and persons
appointed as inspectors, in the performance of their duties, are entitled to:
a) Issue warnings;
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2. Chief Inspectors of
the Provincial Departments of Planning and Investment, chiefs of inspectorates
of provincial departments are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 25,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 75,000,000 for violations
against regulations on investment and bidding;
c) Enforce remedial
measures specified in Chapter II of this Decree.
3. Chiefs of inspectorates
of the Ministry of Planning and Investment are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 80,000,000 for violations against
regulations on investment and bidding;
c) Enforce remedial
measures specified in Chapter II of this Decree.
4. Chief Inspector of the
Ministry of Planning and Investment is entitled to:
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b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 80,000,000 for violations
against regulations on investment and bidding;
c) Enforce remedial
measures specified in Chapter II of this Decree.
Article
52. The power to impose penalties of the People’s Committees
1. Presidents of the
People’s Committees of communes are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 5,000,000.
2. Presidents of the
People’s Committees of districts are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 25,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 75,000,000 for violations
against regulations on investment and bidding;
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3. Presidents of the
People’s Committees of provinces are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 80,000,000 for violations
against regulations on investment and bidding;
c) Enforce remedial
measures specified in Chapter II of this Decree.
Article
53. The power to impose penalties of tax authorities
1. Tax officials in the
performance of their duties are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 1,000,000.
2. Tax team leaders are
entitled to:
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b) Impose a maximum fine
of VND 5,000,000.
3. Directors of
Sub-departments of taxation are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 25,000,000 for violations against regulations on business
registration;
c) Enforce remedial
measures specified in Chapter II of this Decree.
4. Directors of
Departments of taxation are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 30,000,000 for violations
against regulations on investment;
c) Enforce remedial
measures specified in Chapter II of this Decree.
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a) Issue warnings;
b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 30,000,000 for violations against
regulations on investment;
c) Enforce remedial
measures specified in Chapter II of this Decree.
Article
54. The power to impose penalties of market surveillance authorities
1. Market surveillance
officials in the performance of their duties are entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 1,000,000.
2. Market surveillance
team leaders are entitled to:
a) Issue warnings;
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c) Enforce remedial
measures specified in Chapter II of this Decree.
3. Directors of Market
Surveillance Agencies affiliated to Provincial Departments of Industry and
Trade, heads of anti-smuggling departments, anti-counterfeit goods departments,
goods quality control departments of Market Surveillance Agency are entitled
to:
a) Issue warnings;
b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business
registration; Impose a maximum fine of VND 40,000,000 for violations
against regulations on investment;
c) Enforce remedial
measures specified in Chapter II of this Decree.
4. Director of Market
Surveillance Agency is entitled to:
a) Issue warnings;
b) Impose a maximum fine
of VND 30,000,000 for violations against regulations on business registration;
Impose a maximum fine of VND 40,000,000 for violations against regulations
on investment;
c) Enforce remedial
measures specified in Chapter II of this Decree.
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1. Planning and
investment inspectors have the power to impose administrative penalties and
enforce remedial measures for violations specified in this Decree in accordance
with Article 51 of this Decree and within the scope of their functions, tasks,
and entitlements.
2. Tax inspectors have
the power to impose administrative penalties and enforce remedial measures for
violations specified in Point b and Point c Clause 2 Article 15, Article 25,
Point a Clause 1 Article 30, Article 31, Point a and Point d Clause 1, Point a
Clause 2 Article 32, Point b Clause 1 Article 36, Article 37, Point b Clause 1
Article 38, Point d Clause 1 Article 41, Article 42, Article 43, Article 44,
Point b Clause 2 Article 45, Clause 2 Article 37 and Article 50 of this Decree
in accordance with Article 53 of this Decree and within the scope of their
functions, tasks, and entitlements.
3. Market surveillance inspectors
have the power to impose administrative penalties and enforce remedial measures
for violations specified in Point c Clause 2 and Point d Clause 5 Article 13,
Point b and Point c Clause 4 Article 28, Point a Clause 2 Article 30, Point d
Clause 1 and Point a Clause 2 Article 32, Point c Clause 2 Article 34, Article
37, Point a, Point b, Point d, Point đ and Point e Clause 1 Article 41, Article
42, Article 43, Article 44, Point b Clause 2 Article 45, Article 47, Article 48
and Article 50 of this Decree in accordance with Article 54 of this Decree and
within the scope of their functions, tasks, and entitlements.
Article
50. Determination of the power to impose penalties
The maximum fines imposed
by the persons specified in Article 51, Article 52, Article 53 and Article 54
of this Decree are imposed upon an administrative violation committed by an
organization; the maximum fine such a person may imposed upon an individual is
haft the maximum fine imposed upon an organization.
Article
57. The power to issue administrative violation records
1. The persons entitled
to impose penalties specified in Article 51, Article 52, Article 53, and
Article 54 of this Decree.
2. Officials of the
People’s Committees appointed to inspect the activities specified in this Decree.
3. Officials of planning
and investment authorities appointed as independent inspectors or inspectors of
inspectorates.
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5. The persons having the
power to issue administrative violation records specified in Clause 1, Clause
2, Clause 3 and Clause 4 of this Article may only issue records on violations
within the scope of their duties and are responsible for such records.
Chapter
IV
IMPLEMENTATION
CLAUSE
Article
58. Effect
This Decree comes into
force from July 15, 2016 and replaces the Government's Decree No.
155/2013/ND-CP dated November 11, 2013 on penalties for administrative
violations against regulations on planning and investment.
Article
59. Transition clause
1. Decree No.
155/2013/ND-CP shall apply to violations committed before the effective date of
this Decree that have been dealt with by competent authorities.
2. This Decree may be applied to violations that
are committed before the effective date of this Decree but discovered
afterwards or still under consideration if its provisions are more advantageous
to the violators.
Article
60. Responsibility for implementation
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ON BEHALF OF THE GOVERNMENT
THE PRIME MINISTER
Nguyen Xuan Phuc