Circular No. 128/2009/TT-BTC of June 23, 2009 amending and supplementing the Regulation on organization and management of trading in securities of unlisted public companies at The Hanoi Securities Trading Center promulgated together with the finance Minister’s Decision No. 108/2008/qd-btc dated November 20, 2008 đã được thay thế bởi Circular No. 01/2015/TT-BTC guidance on registration of securities trading of unlisted public companies và được áp dụng kể từ ngày 01/03/2015.
Nội dung toàn văn Circular No. 128/2009/TT-BTC of June 23, 2009 amending and supplementing the Regulation on organization and management of trading in securities of unlisted public companies at The Hanoi Securities Trading Center promulgated together with the finance Minister’s Decision No. 108/2008/qd-btc dated November 20, 2008
THE MINISTRY OF FINANCE | SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom – Happiness |
No. 128/2009/TT-BTC | Hanoi, June 23, 2009 |
CIRCULAR
AMENDING AND SUPPLEMENTING THE REGULATION ON ORGANIZATION AND MANAGEMENT OF TRADING IN SECURITIES OF UNLISTED PUBLIC COMPANIES AT THE HANOI SECURITIES TRADING CENTER PROMULGATED TOGETHER WITH THE FINANCE MINISTER’S DECISION NO. 108/2008/QD-BTC DATED NOVEMBER 20, 2008
Pursuant to Securities Law No. 70/2006/QH11 passed by the National Assembly on June 28, 2006;
Pursuant to the Government’s Decree No. 14/2007/ND-CP dated January 19, 2007, detailing a number of articles of the Securities Law;
Pursuant to the Government’s Decree No. 118/2008/ND-CP dated November 27, 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Finance;
The Ministry of finance guides the amendment and supplementation of a number of provisions of the Regulation on organization and management of trading in securities of unlisted public companies at the Hanoi Securities Trading Center promulgated together with the Finance Minister’s Decision No. 108/2008/QD-BTC dated November 20, 2008, as follow:
1. To amend and supplement Article 9 as follow:
"Article 9. Securities registration and depository and trading registration
1. Public companies shall carry out procedures for securities registration and depository with the Securities Depository Center (SDC) under the guidance of the State Securities Commission (SSC).
2. The SDC shall specify procedures for registration, depository, clearing and payment of securities of unlisted public companies.
3. The Hanoi Securities Trading Center shall specify procedures for trading registration and trading deregistration".
2. To add the following Article 16a on securities trading by members to Article 16:
"Article 16a. Securities trading by members dealing operation may purchase and sell stocks of the same type within a trading day in order to play it’s a role as a market maker. The SSC shall specify the implementation of this mechanism".
3. This Circular takes effect on the date of its signing.
4. Any problems arising in the course of implementation should be promptly reported by concerned units to the Ministry of Finance for study and additional guidance.
| FOR THE MINISTER OF FINANCE |
