Circular 193/2013/tt-Btc: A Guide To The Work Of Monitoring The Compliance Of The State Securities Committee With Respect To Activities In The Fields Of Securities And Securities Certificate Depository ...

Original Language Title: Thông tư 193/2013/TT-BTC: Hướng dẫn công tác giám sát tuân thủ của Ủy ban chứng khoán Nhà nước đối với hoạt động trong lĩnh vực chứng khoán của Sở giao dịch chứng khoán và Trung tâm lưu ký chứng...

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FINANCE MINISTRY
Numbers: 193 /2013/TT-BTC
THE SOCIALIST REPUBLIC OF VIETNAM.
Independence-Freedom-Happiness
Hanoi, December 16, 2013

IT ' S SMART

Compliance with the compliance oversight of the Securities Commission

State for operations in the stock sector of the Department

Vietnam Stock Exchange and Stock Exchange

______________________

The Securities Law Base on June 29, 2006; The Amendment Law, which complements several provisions of the Securities Law on November 24, 2010;

Base of Protocol 58 /2012/NĐ-CP July 20, 2012 of the Government regulates the details and guidelines for the implementation of certain provisions of the Securities Law and Amendment Law, which complements certain provisions of the Securities Law;

Base of Protocol 118 /2008/NĐ-CP November 27, 2008 the Government regulates the function, mandate, jurisdiction, and organizational structure of the Ministry of Finance;

On the recommendation of the Chairman of the State Securities Commission,

The Minister of Finance issued the Executive Director of the State Securities Commission's compliance with operations in the securities sector of the Securities Exchange and the Vietnam Stock Exchange Centre.

Item 1

GENERAL REGULATION

What? 1. Range and subject applicable

This provision guidelines on the implementation of the monitoring work of the State Securities Commission (later abbreviated UBCKN) for adhering to the law regulations of the Stock Exchange (later abbreviated SGDCK) and the Stock Exchange Centre. Vietnam (later abbreviated as TTLKCK) in the organization, performing a career in securities and stock markets.

What? 2. MCKNN ' s powers and responsibilities

1. Build a law-breaking document on oversight compliance with securities and securities markets on SGDCK, TTLKCK, authorship authoritalization and authoritalization of the manual.

2. Attend to SGDCK and TTLKCK issued pursuits on regulation at Article 37 and Article 45 of the Securities Law of June 29, 2006; processes and other texts on the implementation of a career in the field of securities and market. stock.

3. Build and implement the annual compliance monitoring plan for SGDCK and TTLKCK.

4. Implemitalization of the SGDCK, TTLKCK is defined by law to ensure the operation of these units is implemented in accordance with the laws of securities and securities markets (the latter is known as compliance oversight).

5. The temporary securities trading activity of SGDCK, the stock exchange activity of TTLKCK in case of signs affecting the legal rights and interests of the investor.

6. Process in accordance with authority over the regulatory violations of the securities law and stock market of SGDCK and TTLKCK.

7. Report of the Ministry of Finance results execution of compliance monitoring work in Section 4 of this Smart.

What? 3. UBCKNN surveillance method

1. UBCKNN performs compliance monitoring on the basis of reporting by SGDCK, TLTKCK pursuits at Section 4 of this Notice; reflection of organizations, individuals operating on the stock market and sources on the mass information media, as well as other information. through operations coordination between UBCKN and SGDCK, TTLKCK.

2. On the basis of the annual compliance monitoring plan, UBCKNN runs the SGDCK periodic examination, TTLKCK and the organization that test the sudden when needed.

Number four. Obligations of SGDCK and TTLKCK

1. Board of business statutes under regulation at Article 37 and Article 45 securities Law on 29 June 2006; other processes and other texts on the implementation of a business in the field of securities and the correct stock market law and regulations at the Organization and Operations Charter of SGDCK, TLTKCK Vietnam.

2. Make the report mode in accordance with this Section 4.

3. Do the storage and security of the records, documents, testimonies, and the data on the business according to the rule of law.

4. Provide full, accurate, timely, documentation, data, data at UBCKN's request for compliance with compliance.

5. Implemucous oversight of securities regulation on securities and securities markets on the member of SGDCK, member of TTLKCK, the listing organization, transaction registration organization, organization and individual participating in the transaction in the stock market. Stock; handling of the securities law violations of securities and stock markets and the regulation of SGDCK, TTLKCK regulations. In excess of SGDCK jurisdiction, TTLKCK is responsible for reporting UBCKN handling by law.

6. endure the inspection, oversight of the UBCKNN pursuant to regulation in this privacy; report of the solution and the remediation plan to the conclusions, the UBCKN's petition for compliance monitoring results.

7. The petition, which proposes UBCKNN on the promulgation, amendments, complements the legal rules and business writing of SGDCK and TTLKCK for the appropriate.

Item 2

MONITORING COMPLIANCE WITH

STOCK EXCHANGE

Fifth. Active monitoring of text and disseminaction, propaganda

The monitoring content of UBCKN for this activity includes:

1. Monitor the enacrobusiness, add, modify, cancel the content of the rules, processes, and other texts that regulate the business activity of SGDCK.

2. Supervising of popular activity propagation of laws of law, statutes, and career guidelines of SGDCK.

Sixth. Active duty surveillance.

UBCKNN performs the monitoring of securities law on securities and securities markets under the provisions of Chapter IV of the Securities Act of 29 June 2006 and supervised compliance with the texts issued by SGDCK in paragraph 1 Article 4. This message is for SGDCK about the following business activities:

Stock exchange organization: organization, apparatus and operations operating system and stock exchanges; provide information, transaction data; construction, market index management and other relevant activities.

Organization of Securities Exchange: Monitoring of the Securities Exchange led by SGDCK; overseeing the implementation of the report regime and published information on the securities trading of SGDCK, the trading member, organizations, individuals when participating in the transaction. translator on the stock market hosted by SGDCK.

Auction, stock bidding.

Regulation and management of sealing/registration registration: approval, disposal of listing/registration of securities transactions; conditional monitoring of maintaining/registration of transactions; monitoring of controlled securities, warning, and temporary transactions; processing infringement of the organization/registration of the transaction.

Transaction membership management: Appropriation, cancellation of a transaction member; granted, revoking the transaction representative Card; monitoring the condition of maintaining a member of the transaction; the breach of the transaction member's violation by jurisdiction or a competent administrator. The rule of law.

Information technology: Implemuces the information publish mode of SGDCK, the organization listed/registering transactions and members of the transaction.

SGDCK's mediation mediate activity on securities related disputes and stock markets.

SGDCK's internal control activities for stock and stock market operations.

The implementation of the implementation and evaluation of the implementation of the laws of law, the statutes, processes, regulations that regulate career activities issued by SGDCK.

Archive, file security, word, root data.

Other activities of SGDCK are related to stock and stock markets.

Section 3

MONITORING COMPLIANCE WITH

VIETNAM STOCK EXCHANGE CENTER

Number 7. Active monitoring of text and disseminaction, propaganda

The monitoring content of UBCKN for this activity includes:

1. Monitoring the promulgation, addition, modification, cancellation and content of the statutes, processes, and other texts that regulate TTLKCK's business practices in accordance with the rule of law.

2. Monitoring of the disseminable activity of legal law, statutes, processes, career guidelines of TTLKCK.

Number eight. Surveillance on active duty.

UBCKNN performs the monitoring of securities law on securities securities and the regulatory securities market at the June 29, 2006, Stock Exchange of Securities Act of June 29, 2006, and the monitoring of the compliance issued by TTLKCK is specified at Clap 1. This message is for TTLKCK about the following business activities:

Member management of TTLKCK: Appropriation, cancellation of membership; oversight of the condition maintains membership; violations of the membership of TTLKCK under jurisdiction or authorship have jurisdiction over the provisions of the law.

Stock registration: Registration, securities registration; grant, securities code management; implementation of the property rights holders; transfer ownership of securities without the transaction system.

Securities Archives: Open, manage securities storage accounts; sign, withdraw, hold, hold securities.

Transaction code level: Level, manage foreign investor's transaction code.

Report mode and information technology: Implemonation of the information publication of TTLKCK, the release organization; implementation of the report mode of TTLKCK, member of TTLKCK.

Compensation activities, payment of securities: Correction and cancelation of transaction payments; stance, management, use of the Payment Support Fund.

Store security records, magnetic evidence, original data.

Internal control and risk management in each business; compensation for the customer.

Implementation of the implementation and evaluation of the implementation of legal code, statutes, processes, regulations that regulate career activities issued by TTLKCK.

Other activities of TTLKCK are related to stock and stock markets.

Section 4

REPORT MODE

Number nine. Report by SGDCK and TTLKCK

Periodic report

SGDCK and TTLKCK are responsible for reporting UBCKNN compliance with compliance, monitoring compliance monthly in accordance with the rules specified in Appendix 01 and Annex 2 issued by this message within the first 10 working days of the next month.

SGDCK and TTLKCK are responsible for reporting UBCKNN compliance with compliance, monitoring compliance with annual periodic compliance, which evaluated compliance with the regulations of law and related regulation in the deployment of professional activity according to the content of the following. regulation at Section 2 and Section 3 of this and the petitions, the proposal (if any) within 20 days of the first work of the next year.

The reports stipulate at the point a, b 1 This is set up and sent UBCKNN in the form of a text or electronic data information file.

Abnormal report

SGDCK and TTLKCK are responsible for reporting UBCKN within 72 hours of the following of the following events:

Warning, control and suspend the stock exchange and registration of transactions on SGDCK;

Temporary suspension of the operation, clearing and payment of the stock exchange; recovery of the membership certificate of TTLKCK;

Infringement of the organization's release, organization listing/registration of transactions, members of SGDCK, member of TTLKCK under the disposal jurisdiction of UBCKN;

The dispute, the complaint involves the membership of TTLKCK, member of SGDCK, the business activity of SGDCK and TTLKCK under the settlement jurisdiction of UBCKNN.

For the unusual reporting content of this 2 Article, SGDCK, TTLKCK is responsible for stating the assessment opinion and recommendations of the treatment to each case, accompanied by full of relevant records.

Report by request

SGDCK, TTLKCK is responsible for sending a report in accordance with the correct content and deadline when receiving a written request by UBCKN in relation to compliance monitoring work.

Periodic, unusual and prescribed reports at Clause 1, 2 and 3 Article 9 This message is shown in the form of text or electronic data information files. SGDCK, TTLKCK is responsible for storing information that has reported UBCKN under the rule of law.

Number 10. UBCKNN report

In the 20-day period of work, since the full recipient reports compliance and annual compliance monitoring of SGDCK and TTLKCK pursuits to Clause 1 Article 9 This Information, UBCKNN reports the results of the Financial Officer implementation of the work. Compliance with the contents of Section 2 and Section 3 of this.

Section 5

THE ORGANIZATION.

Number 11. Execution clause

This announcement comes into effect from February 16, 2014 and replaces the Digital Information. 151 /2009/TT-BTC June 23, 2009, of the Secretary of the Treasury guidelines for oversight of the State Securities Commission for operations in the securities sector of the Stock Exchange and the Center for Stock Exchange. The amendment, added, replaced this Notice by the Minister of Finance.

KT. MINISTER.
Chief.

(signed)

Chen Xuân