Circular 04/2014/tt-Nhnn: Statistical Reporting Rules And Publicity, Transparency Of Information About The Activities Of Asset Management Companies Of Credit Institutions In Vietnam

Original Language Title: Thông tư 04/2014/TT-NHNN: Quy định báo cáo thống kê và công khai, minh bạch thông tin về hoạt động của công ty quản lý tài sản của các tổ chức tín dụng Việt Nam

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THE STATE BANK OF VIETNAM
Number: 04 /2014/TT-NHNN
THE SOCIALIST REPUBLIC OF VIETNAM.
Independence-Freedom-Happiness
Hanoi, 26 February 2014

IT ' S SMART

The regulation of statistics and public reporting, transparency information about the operation of the company management of the assets of Vietnamese credit organizations.

______________________

Vietnam State Bank Law School No. 46 /2010/QH12 June 16, 2010;

The Code of Credit: 47 /2010/QH12 June 16, 2010;

Statistics Bar. 04 /2003/QH11 June 17, 2003;

The National Enterprise Law Base 60 /2005/QH11 November 29, 2005;

Base of Protocol 156 /2013/NĐ-CP November 11, 2013 of the Government provides for the functions, duties, powers, and organizational structure of the State Bank of Vietnam;

Base of Protocol 53 /2013/ND-CP 18/5/2013 of the Government Regulatory of the Establishment, Organization and Operations of the Property Management Company of Vietnam Credit organizations (later called the Digital Protocol). 53 /2013/ND-CP);

On the recommendation of the Chief of the Report, the statistics,

The Governor of the State Bank of Vietnam issued a report of statistical and public reporting, transparency information on the activities of the Company's Wealth Management Company.

Chapter I

GENERAL REGULATION

What? 1. The adjustment range

1. This information regulates the collection of statistical reports (later called the report) from the Asset Management Company of Vietnam Credit organizations (later known as the Asset Management Company) to meet the implementation of the state management function on the proceeds of the property. Bad, the bank activity of the State Bank of Vietnam (later called the State Bank).

For other reports that are not subject to the regulation of this Smart, the Asset Management Company performs in accordance with the provisions of the State Bank and relevant legal documents.

2. This information regulates the public, transparency information about the operation of the Asset Management Company.

What? 2. The report unit and public, transparency information.

Reporting units and public execution, transparency information is the Asset Management Company.

What? 3. The unit received reports

The unit is reporting the report, the statistics.

What? 4. Statistical Report

1. The Asset Management Company sets up a statistical report under the prescribed report patterns at Appendix 1 accompanied by this message to send to the State Bank.

2. In case it is necessary to serve for the management, direction, affairs, Department, Department of Inspects, the Bank of Inspects, the Bank of the Bank of the State Bank requires the Asset Management Company to report under the unregulated report patterns at the site. Come on. The process for the construction of the report manifold is specified in paragraph 1 and paragraph 2 Article 12 of this.

What? 5. Report Method

1. The Asset Management Company performs regulatory reports at the Annex 1 accompanied by this Information by the method of electronic reporting.

The electronic report is the report shown in the form of a file (file) of electronic data transmitted via a computer network or sent through a bearing object. The electronic report must have the full electronic signature of the head of the head or the competent administrator of the Asset Management Company and, according to the correct sign, the transmission code, the file structure provided by the State Bank.

2. The Property Management Company case has not yet made an electronic report due to the objective cause, the Asset Management Company must submit a written report to the State Bank.

The written report is paper-written and must follow the form of a prescribed form, which is fully marked, the signature of the competent authority of the Asset Management Company and the signature, the name of the founder, the reporting control.

What? 6.

The Asset Management Company connects the network with the Information Technology Bureau to send a regulatory report on Appendix 1 to the State Bank. In the event that the Asset Management Company is not eligible to connect the network to the Information Technology Bureau, the Asset Management Company provides a report to the State Bank by regulation at 2 Article 5 of this.

What? 7. Request for Report Number

Statistical reporting numbers must ensure full, timely, honest, objective, accurate, objective. When a correction for the reported data or data in the report period is variable, the Asset Management Company must be addressed by text at the request of the Forecast, Statistics.

What? 8. Format and deadline for reporting

1. The report and the deadline to send the report is determined by day of work and by the calendar.

2. The report and the statute of limitations are specified specifically on the report patterns at the Appendix 1 attached to this Information.

3. If the deadline day of the deadline for the report is to coincide with the date of the holiday, the holiday or the weekend, then the date of the report is the next day of work immediately after the holidays, the New Year holiday or the holiday weekend.

In case of a written report, the date of the actual report is calculated as the date of the record on the sign of the post office where the report received. The reported case sent via the electronic report channel, the date of the report was the date of the transmission of the successful report on the Bureau of Information Technology.

An emergency or an emergency, the unit must submit a written report via fax. After sending the report via a fax, the Asset Management Company is responsible for sending the official report by the prescribed text at paragraph 2 Article 5 of this. The date of sending the actual report is calculated as the date to fax the report.

What? 9. Electronic report control procedures

1. At the Bureau of Information Technology:

a) Shortly after receiving a report by the deadline to submit a regulatory report issued at the issued statement issued by this message, the Bureau of Information Technology tests the full calculation of the electronic reports transmitted by the Asset Management Company via the network. If found by the Asset Management Company not to transmit or transmit a lack of reporting, the Bureau of Information Technology must inform the trust network to the Asset Management Company to send full reports to the State Bank;

b) Shortly after receiving the results of the investigation of the Forecast, Statistics, Bureau of Information Technology promptly passed the trust network to the Asset Management Company to process, transmit the correct data to the Bureau of Information Technology;

c) Shortly after receiving electronic reports issued by the Asset Management Company to the Bureau of Information Technology, the Bureau of Information Technology notified the news network for the Forecast, Statistics to promptly update the data.

2. At The Forecast, Statistics:

Within the 2 days of work since the expiration of the specified report in the report manifold issued by this message, the Forecast, the statistical examination of the validity of the report figures. If the error was discovered, the Proposition, the Statistics Company, asked the Company to edit the data through sending the results of the investigation into the Information Technology Bureau to inform the Asset Management Company.

3. At the Asset Management Company:

In the 02 working days since the date received the electronic control announcement by the Bureau of Information Technology, the Asset Management Company must fully transmit the full, accurate data reports to the Bureau of Information Technology for the Forecast, updated statistics.

What? 10. The report did not arise

In the absence of a report of the report in the report, the Asset Management Company issued a non-derivative report for the Forecast, which was followed by the guidance of the Information Technology Bureau.

What? 11. Public Affairs, transparency of the operations of the Asset Management Company

1. The Asset Management Company must carry out the public work of the following information:

a) Management policies, internal regulation of purchase, sale, disposal of bad debt by regulation at 1 Article 4 Digital Information 19 /2013/TT-NHNN 06/9/2013 regulations on the purchase, sale and treatment of bad debt by the Property Management Company of Vietnamese credit organizations;

b) processes, debt valuation methods, assets of processes, sales methods, assets built by the Asset Management Company;

c) The annual business activity results report by the Asset Management Company has been audits;

d) Buy bad debt from the credit organization by Schedule 01-PL2/VAMC at Annex 2 issued by this message;

Selling bad debt and selling secured assets under Schedule 02-PL2/VAMC at Annex 2 issued by this Information;

e) Other information on the regulation of the law and of the State Bank.

2. Format and time of public information:

a) For the specified information at the point a, b paragraph 1 This Article, the Asset Management Company performs publicly under the specified deadline at paragraph 2 Article 4 Digital. 19 /2013/TT-NHNN;

b) For the specified information at the point of paragraph 1 This Article, the Asset Management Company performs publicly reporting the year of the year of March 31 of the following year;

c) For the specified information at the point d, e, e paragraph 1 This, the Asset Management Company must publicly follow the slog quarterly valuation on the 25th of the first month of the next quarter.

3. Public method of information:

The specified information at paragraph 1 This is made published by the Asset Management Company in the form prescribed at paragraph 3 Article 24 of the number. 53 /2013/NĐ-CP.

Chapter II

THE RESPONSIBILITY OF THE UNITS OF THE STATE BANK

AND THE COMPANY MANAGES THE ASSETS IN EXECUTION.

STATISTICAL AND PUBLIC REPORTING, TRANSPARENCY OF INFORMATION.

ABOUT THE OPERATION OF THE ASSET MANAGEMENT COMPANY

What? 12. According to the function, the mission is assigned, the cases, the Bureau, the Inspector Agency, the bank oversight of the State Bank are responsible as follows:

1. Build the report patterns applicable to the Asset Management Company to perform the function, the task of its unit.

2. When there is a request for a revised, additional or new issue of the application form a report applicable to the Asset Management Company, Cases, Bureau, Ombudgeting, bank monitoring must build the report patterns that need to modify, add or enact new, unified with The lead unit is the Forecast, the Statistical Service, and the Forecast, General Statistics, the Governor of the Bank of the State of the State.

3. Coordinate with the Forecast, statistical guidance and timely response to the Asset Management Company regarding its responsibility in relation to the implementation of this Information.

4. Coordinated with the Forecast, statistical control statistics of the Asset Management Company; when the report is found to be erronable, it must be notified in time for the Forecast, statistical case to sum up.

5. The organization holds and manages the written statistical reports due to its units receiving the existing regulations on the management of records, documents in the banking industry.

What? 13. Responsible for the Forecast, Statistics

In addition to the responsibility of regulation at Article 12 of this Information, the Forecast, the statistics are responsible:

1. As the composite lead unit and the Chief Executive of the Board of Revised, Additional or Executive Report patterns.

2. As the lead unit in the receiving of written petitions on this Smart implementation, in coordination with relevant units to answer the relevant unit.

3. The President and the Chief of Staff of the State Bank of the State approved the trust of the approved report for units of the State Bank.

4. Watch, the company ' s chief asset management does fully submit, in accordance with specified reports at Appendix 1 accompanied by this Information; upon receiving the coordination co-ordination of the Cases, the Bureau, the Inspector Agency, the bank oversight, must promptly submit the results of the investigation. The Asset Management Company corrects and sends the correct data through the trust network so that the units are involved in updating and exploiting the report.

5. Coordinate with the relevant units of the State Bank, petit the Governor of the State Bank of the State to dispose of the Asset Management Company's violation in the acceptance of regulations at this Smart.

What? 14. The responsibility of the Bureau of Information Technology

1. As the first unit of the organization to receive electronic reports, check out the name, file structure reported by the Asset Management Company passed through the network or sent through the item. The case of a false report on the name, the file structure, must ask the Asset Management Company to edit and send it back accordingly; feedback in time for the data file status for the Asset Management Company, the case of the Bank ' s data transmission incident. The State Department, it must be notified in time for the Asset Management Company and implemented immediately to rectify the incident.

2. Connect and maintain a network of units belonging to the State Bank; ensure the extraction, use for units of the State Bank.

3. Provide, set, install and guide the operation of the statistical reporting program to the units of the State Bank for transmission, receiving, aggregation, exploitation, sample control reporting through computer networking.

4. Guideming, management of the lock code, the e-signing program used in the statistical report for the Asset Management Company that connects the network directly to the Information Technology Bureau.

5. The timely update of the reports issued by the Asset Management Company at the request of the Forecast, statistics on the basis of the search results.

6. The case of the report units reported that the report data was reported but the units received the report not receiving the reports via the network, after receiving a reflection of the units, the Bureau of News Technology was responsible for testing, verification of the report. transmit the report unit's report data and report the results to the report's report to coordinate the process in time.

What? 15. Asset Management Company Accountability

1. Accept the correct rules of the Governor of the State Bank, of the law on statistical and public reporting, transparency of the information at this message. In the course of execution, if there is a timely reflection on the State Bank to be processed.

2. The program and is fully accountable to the full, timely, timely, accurate data of the statistics report and the announcement of the publication.

3. When receiving a report of the report or detection of the report sent to the cases, the Bureau, the Inspector Agency, the bank supervisor has flaws, the Asset Management Company must promptly edit and resubmit the correct report to the unit receiving the report.

What? 16. Mining Reports

1. The cases, the Bureau, the Ombudgt Agency, which oversees the Bank are allowed to exploit the statistical reports due to their unit responsible for construction.

2. Other units belonging to the State Bank when there is a need to exploit a statistical report issued by the case, the Bureau, the Inspector Agency, overseeing the bank construction bank must register in writing with the Forecast, the statistics for aggregation, the House Bank Manager. It's approved.

3. State Bank units are allowed to exploit statistical reporting responsible for management, use of information, purpose statistics and by law.

Chapter III

THE ORGANIZATION.

What? 17. Waste Processing

The Asset Management Company, units of the State Bank, personally violated regulations at this Smart, depending on the nature and extent of the breach that will be processed under the rule of law.

What? 18. Effect of execution

1. This message has been in effect since 1 June 2014.

2. Chief of the Office, the Chief of the Forecast, Statistics, The Head of State Banking Units, Chairman of the Board of the Member and General Manager of the Asset Management Company is responsible for the organization's organization.

KT. GOVERNOR.
Vice Governor.

(signed)

Nguyen Co-Progress