A decision on the amendment of some articles of the additional regulations of clearing, depository and registration of securities issued kèmtheo decision No. 05/1999/QD-UBCK3 on 27/3/1999 of banchứng State Securities Commission Chairman.

 

The CHAIRMAN of the STATE SECURITIES COMMITTEE pursuant to Decree No. 15/CP on 02/3/1993 of the Government about the tasks, powers and responsibilities of the State management, ministerial bodies;

Pursuant to Decree No. 75/CP dated 28/11/1996 of the Government on việcthành the State Securities Committee;

Pursuant to Decree No. 48/1998/ND-CP on 11/7/1998 vềchứng Government securities and stock market;

Pursuant to decision No. 123/1998/QD-TTg dated 11/7/1998 of the Prime tướngchính Government on the establishment of securities trading center;

At the suggestion of the Director of the securities business management, decision: 1. Amendments and supplements to some articles of the regulation of custody, clearing and kýchứng securities attached to decision No. 05/1999/QD-UBCK3 on 27 August 1999 by the Chairman of the State Securities Committee nhưsau : 1.1. Item 7 article 2 is modified as follows: 7. Work Day is the day from Monday to Friday during the week, except for the ngàynghỉ under the provisions of the labor holiday vàngày BộLuật according to the decision of the Director of the stock trading center in trườnghợp computer systems were the incidents and unforeseen circumstances.

1.2. Article 4 is amended as follows: 1. the stock company đượcỦy khoánNhà Water Proof Board licensed securities trading activities for one or a business form sốloại specified in point a, b, c, d paragraph 2 Article số48 Decree 29/1998/ND-CP on 11/7/1998 of the Government about the stock and the market chứngkhoán is the State Securities Committee license activation the Save action kýchứng securities.

2. Within 15 days after the company filed a securities license application enough dynamic phéphoạt depository and licensing fees under provisions of the State securities banChứng Commission, licensed to operate securities depository for The securities tychứng.

3. The records referred to in item 2 of this baogồm: a) the application for a license the depository activity according to annex 01/LK;

b) text captions of technical infrastructure serving the chứngkhoán depository activity of securities companies;

c) list of professional employees of securities firms has been granting vocational phéphành depository;

d) Model of stock company stamp, signature of the Director, membership Director Bangiám depository activity of securities companies and your signature, authorized representative signature of the professional staff.

1.3. Article 7 is amended as follows: foreign bank Chinhánh please license the depository activity in South tạiViệt, in addition to the documents specified in the paragraph 1, 3, 4, 5, 6, 7, 8, 9 Điều6 this regulation must submit additional documents: 1. A copy of the current regulations of the Bank of resources has to be notarized;

2. A copy of the activity licence of the Bank of resources; copy thànhlập and operation of foreign bank branches have been certified;

3. A copy of the Bank's authorization of resources allows Active branch lưuký has been certified;

4. Financial statements for two years continuously and reported the situation to the Bank's depository of unAmerican activities of resources;

5. other documents required by the State Securities Committee.

1.4. Article 17 is modified and complemented as follows: 1. The stock is allowed to save up or re custody at chứngkhoán trading center, including the types of stocks, bonds, stock purchase rights, quỹđầu investment certificates and other types of eligible securities listed in stock dịchchứng Center.

2. The depository is only made for the completed thủtục securities depository.

1.5. Article 18 are additional paragraph 4 paragraph 5 as follows: 4. Each customer is only allowed to open accounts at the depository headquartered or a chinhánh of a member: 5. depository institutions, individual investors made ngoàimuốn the activities of buying and selling stocks on the chứngkhoán trading centre to apply for business registration number issued securities through thànhviên water depository also according to the provisions of the securities trading center.

1.6. Article 19 paragraph 3 is added as follows: 3. Members have a responsibility to depository notifications for hàngngày guests are allowed to place orders for stock transactions.

1.7. Article 20 paragraph 3 is amended as follows: 3. The securities to be traded on the enemy khoánphải certification center focused depository securities Centre.

1.8. Article 23 is amended as follows: Cáctài account securities specified in clause 1 Article 22 this Regulation include: 1. securities account assigned.

2. pause account transactions;

3. Member pledge, 4. clearing account of securities traded;.

5. The other account.

1.9. Remove item 2 article 24, paragraph 3 into account amendments 2 article 24 as follows: 2. The case of securities in addition to Stock Exchange Center quyđịnh in paragraph 1 which the depository is in effect when the stock trading Center of securities credited to a securities account assigned member dịchcủa open depository securities Centre.

1.10 paragraph 4, paragraph 5 article 25 is amended as follows:


4. If the vouchers in paragraph 1 of this article by Member depository filed is accordingly defined vớiquy, the enemy Center of securities accounting consignment stock vàotài stock trading account and give members the relevant depository receipt securities sent giấyxác according to annex 9 CLLK.

5. After the consignment stock accounting on stock trading account, if the stock is no longer circulating value, unqualified, or signature verification is that rather than a stock certificate sign hoặcchủ sign the author has no value, then the securities trading center to cancel the việcký send this stock. Members save up to send this stock type phảichịu responsible for any losses caused by sending the stock that is causing.

1.11. Article 26 added paragraph 4 as follows.

4. stock withdrawal waiting time is 90 days from date of transaction chứngkhoán received stock withdrawal application. In the case of khoáncòn syndrome worth circulating under 90 days, members are not allowed to withdraw depository securities chứngchỉ.

Trongthời period of withdrawal, the center of the stock transfer khoảnhoặc transfer of securities request withdrawn. Chứngkhoán trading center still got done the rights arising with respect to these securities are trongthời waiting to withdraw. The implementation of rights to securities is in the time wait to withdraw must follow the prescribed in the regulations, depository clearing vàđăng securities issued together with decision No. 05/1999/QD-UBCK3 March 27 1999của Chairman of the State Securities Committee and the provisions of the stock giaodịch Center.

1.12. Paragraph 1 article 2 is modified as follows.

1. Đểthực we stock transfer was the result of transaction clearing, Central tâmgiao open stock clearing account securities depository Member dịchcho has delivered, with a separate securities account transactions of thànhviên custody.

1.13. Point b, point e Article 33 paragraph 1 is modified as follows: b) recommended Paper pledge form pledge clearance by trading center khoánquy plan e) requires the transfer of securities pledge on pledge account.

1.14. Article 34 is amended as follows: 1. The clearance of securities pledge is made according to the following rules and procedures: a) the relief pledge of securities must receive the party's pledge of securities;

b) can reduce the entire or a part of securities pledge in the form chuyểnkhoản;

c) party pledge to submit proposed paper pledge-pledge choTrung stock Clearance Center for securities transactions according to the regulations of the chứngkhoán trading centre.

2. If the receiving party profile pledge full and accurate submission, the dịchchứng Center of the stocks perform relief work to pledge securities.

3. After the relief pledge of securities, the securities trading center to gửithông report in writing to the right party pledge and pledge results releases cầmcố stock.

1.15. Clause 1 Article 37 is amended as follows.

1. The compensation payment and securities transactions are executed by the Center schedules theothời stock trading regulations.

1.16. Clause 1 Article 38 is amended as follows: except Việcbù and the payment of a fixed trading is done in the following nguyêntắc: 1. The clearing of transactions even in large batches and batches are made according to thứcbù except multimedia. Bilateral clearing method is only applicable in some trườnghợp, some kinds of transactions according to the regulations of the President Center at chứngkhoán;

2. The payment batch transactions made directly between the convenience retail membership is lưuký securities companies and investors.

1.17. Clause 1 Article 39 is amended as follows: 1. members receive reports of transactions by Stock Exchange Center cungcấp.

1.18. Article 41 is amended paragraph 1, item 2 and sungkhoản 5, paragraph 6, paragraph 7 as follows: 1. The payment of the securities must match the number of chứngkhoán and the amount stated in the payment vouchers in accordance with the Central Securities tâmgiao.

2. The payment is made by transfer through the hệthống account of Member depository and securities trading center to open bank tạimột.

The specified Ngânhàng is a large commercial bank, prestigious country khoánNhà Credentials Committee appointed on the basis of agreement with the State Bank and business bank to open current account for securities trading center vàthành members save up to serve for the payment of the securities transactions.

Ngânhàng specifies the payment is fully responsible to the Chứngkhoán Committee of the State and equities trading centres in the stock cácgiao payments were made at the stock Center.

5. The payment of the securities must be done by thôngqua transfer system of the account of a member account, depository clearing chứngkhoán have transactions of securities trading center to open in the Centre of giaodịch securities.

6. members must ensure the depository transfers securities into account enough the bar toánbù except his transactions were securities tai trading correct khoántheo Centre in the allotted time.


7. In the case of temporary loss of liquidity, securities lưuký members can support securities to members of other depository or receive stock trợchứng support of members of other depository when it was approved by the Central Securities tâmgiao. The temporary depository member takes the possibility of the stock toánchứng must bear all costs, losses and will be sanctioned according to the quyđịnh of the State Securities Committee and stock trading center.

1.19. Article 42 is amended as follows: All the securities must be registered at chứngkhoán trading centre. The registration of securities include: 1. the registration of the newly issued securities;

2. Manage the registry of securities owners;

3. Manage stock transfer registry, the registry of securities pledge, 4. Make a list of people who own the stock to prepare the annual meeting of shareholders;

5. How do mailing services offer shareholders and record for shareholders;

6. Perform the work related to the payment of dividends;

7. Make the registration business of securities related to the capital increase of the typhát;

8. Monitor the rate of participation of foreign parties;

9. Other work pursuant to the securities trading center.

1.20. Paragraph 1 to article 46 is amended as follows.

1. The issuer must báocho stock trading center on the last date of registration is the slowest 15th may work before the registration deadline. When the notice of administrative chứcphát on the last date of registration, the Centre must stock thôngbáo to the members save up slowly as 10 working days before the date of the same kýcuối.

1.21. Clause 1 Article 47 is amended as follows: 1. In the case of the list of securities owners by members save kýnộp tầy not enough information or incorrect information under regulation 3 this regulation 46 Thing tạikhoản, Center for nhậnnhững only stock parts list have full information , and return the list of lưuký members have incomplete information, accurate to lưuký members to edit accordingly. Members save up to send the list be sửalên slow stock trading center is 15 working days after the date of the last đăngký if the edit list used for the ancient đôngthường and 4 working days after the last date of registration if the tuning list using sửasử for the other purposes of the organization.

1.22. Item 2 Article 61 is amended as follows: 1. Within 5 working days from the date of use of the funds of the Fund support payments, custody violations members are obliged to reimburse the Foundation paid enough money has sửdụng, all losses incurred by violation of payment attached to fine computer from ngàysử using the money of the Fund in support of the payment. The penalty interest rate shall be calculated on the amount of chậmtrả and slow pay dates. Penalty interest rate by 1% per day within 5 days đầutiên and by 6% per day since Friday. Penalty interest is transferred to the Foundation trợthanh.

Article 2. account opening contract Changes between the Bank's depository members and hàngđính guests included Appendix 08A/LK by new contract attached to this decision (*).

Article 3-remove the Appendix 13/LK, 14/LK, 15/16/LK LK, 17/LK LK 18, and 19, LK. The mẫubiểu concerned by the securities regulations.

Article 4 this decision takes effect 15 days from the date of signing, the previous rules đâytrái with this resolution are repealed.

5. Office, Managing Director of stock trading, cácđơn heads in State Securities Committee, Director of the chứngkhoán trading centre, depository members and stakeholders have a responsibility to enforce this Quyếtđịnh./.