A DECISION.

Functional rules, duties, powers, and organizational structures

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The T-Law Base. socket Ch. I'm The government on December 25, 2001;

The Securities Law Base June 29, 2006; Amendment law. socket i, add a s Stain. Go. Okay. The U of Law. Come on It's the 24th. Ah! 11 in 2010;

The Administrative Administrative Processing Act of 20 May. Ah! 6 in 2012;

Base of Decree Stain. 36 /2012/NĐ-CP 18th 18th Ah! 4 in 2012 of Ch I'm The government rules the functions, duties, powers, and organizational structure of the ministry, the peer-to-peer body;

Base of Decree Stain. 2 1 5/2013/ND-CP December 23, 2013 of the Government stipulated the function, mandate, jurisdiction and organizational structure of the Ministry of Finance. I'm But,

At the suggestion of the Minister of Finance,

Prime Minister Ch I'm The government enacted the decision to determine the function, duties, powers, and organizational structure of the government. Brew The State Securities Board There. c Ministry of Finance I'm Yeah.

What? 1. Location and function

1. The State Securities Commission is the body of the Treasury Department, which performs the staff function, which helps the Minister of Finance to manage the state in securities and stock markets; direct management, monitoring of securities operations and the certification market. The stock services are in the securities sector, the stock market by law.

2. The State Securities Commission has a legal status, the seal of the emblem, which is open to account at the State Treasury, based in the city of Hanoi.

What? 2. Mission and jurisdiction

The State Securities Commission performs tasks, the following powers:

1. The Minister of Finance for the Government, the Prime Minister considers, decided:

a) Law projects, draft resolution of the National Assembly, the draft ordinance, draft resolution of the Standing Committee of the National Assembly; draft Government decree; draft of the Prime Minister's decision on securities and securities markets;

b) Strategy, planning, national target program, action program, project, financial project, and stock market.

2. The Minister of Finance review, the decision:

a) Proposition of information and other texts on securities and stock markets;

b) A yearly stock market development plan.

3. Executive Committee of Professional, Career-based, internal-based text, individual text within the management scope of the State Securities Commission.

4. The organization performs legal, strategic, planning, planning, program, project, project, and stock market, after being granted authority or approval.

5. Proclamation, disseminism, education of law on securities and stock markets.

6. Level, extension, suspension, license recovery, practice certificate and certificates related to securities activity and stock market; approval of changes related to stock and stock exchange.

7. Manager, oversight of the operations of the Securities Exchange, the Centre for Securities and Supporting organizations; the temporary suspension of trading activity, the storage operation of the Stock Exchange, the Stock Exchange Center in the event of a new stock exchange. The sign affects the legal rights and benefits of investors; approval of the regulations, the statute of the Securities Exchange, the Securities Exchange Center; the approval of the delivery of new types of securities, changes, and application of the method. New transaction, new trading system.

8. Ombudship, monitoring, disposal of administrative breach and settlement of complaints, denouncing in securities activity and stock markets.

9. Implematization of statistical work, securities planning and securities markets; organization management and application of information technology, modernization of operations in the stock sector and stock market.

10. The organization of scientific research; organization, coordination with agencies, organizations involved in training, fostering for the public, securities management and securities enforcement officer; knowledge of securities and stock markets. to the public.

11. Perform international cooperation, build and implement integration policy in the field of securities and securities markets according to the division, the hierarchy of the Ministry of Finance and the regulation of the law.

12. Guide, check out the securities associations in the exercise of purpose, respect, and Operations Rules; treatment or petition of the state agency has the authority to handle the laws of securities of the securities associations under the hierarchy of the Minister of Finance. And rule of law.

13. Do the Securities and Markets Report regime according to the regulation of the law and the division, the hierarchy of the Minister of Finance.

14. Manager of the Organization of Machine, payroll; implementation of the wage regime and the regimes, the enaccretion policy, the award-making competition, discipline, training, fostering for civil justice, the officer, the worker within the management scope of the State Securities Commission in accordance with hierarchy of the Minister of Finance and provisions of the law; implement the chamber, the anti-corruption, the negative, and the practice of saving, against the waste in the use of the property, the funding is delivered in accordance with the rule of law.

15. Implemendation of administrative reform in accordance with the goal and content of the administrative reform program approved by the Minister of Finance.

16. Cost management due to the state budget and other funds, the property is delivered; the implementation of the policy of autonomy and the funding of operations under the provisions of the competent authority.

17. perform other duties, other powers delivered by the Minister of Finance and by the provisions of the law.

What? 3. Organization Structure

1. The French case.

2. Stock Market Development.

3. Stock Exchange Management.

4. Company oversight.

5. The Stock Business Administration.

6. The management of the fund management companies and the Securities Investment Fund.

7. Stock Market Monitor.

8. International Cooperation.

9.

10. The Services-Administration.

11. Office (represented in Ho Chi Minh City).

12.

13. Information Technology Bureau.

14. Center for the Research of Science and Training.

15. Stock Review.

Organizations stipulated from Clause 1 to Clause 13 This is the administrative organization that helps the President of the State Securities Commission perform state management functions; the organizations stipulate at Section 14 and Clause 15 This is a career unit.

The State Securities Commission performs a specialized inspection function on securities and stock markets; directly directed by the Chairman of the State Securities Commission and the directorship of the Inspector General of the Treasury. The SEC has Chief Inspector, Deputy Chief Inspector and Inspector.

The Minister of Finance regulates the functions, duties, powers, and organizational structure of the units of the State Securities Commission.

What? 4. Leader

1. The State Securities Commission has its Chairperson and no more than 03 Vice Presidents.

2. Chairperson, Vice Chairman of the State Securities Commission appointed by the Minister of Finance, dismissal and manner in accordance with the provisions of the law.

3. The President is the head of the State Securities Commission, which is responsible to the Minister of Finance and before the legislation on the entire operation of the State Securities Commission. The Vice Chairman of the State Securities Commission is responsible to the President of the State Securities Commission and before the law on the field of work that is assigned in charge.

What? 5. Effect and accountability

1. This decision has been in effect since December 1, 2015.

2. Repeal Decision No. 112 /2009/QĐ-TTg September 11, 2009 the Prime Minister provides for the functions, duties, powers, and organizational structure of the State Securities Commission of the Ministry of Finance.

3. Ministers, peer-to-peer agencies, government ministers of the Government, Chairman of the Provincial People's Committee, Central City and Chairman of the State Securities Commission are responsible for this decision.