Quyết định 132/QD-UBCK

DECISION

ON GUIDING WORKING OFFICES, MATERIAL FACILITIES IN SERVICE FOR ACTIVITIES OF SECURITIES BUSINESS

THE CHAIRPERSON OF STATE SECURITIES COMMISSION

Pursuant to the Law on Securities, of June 29, 2006;

Pursuant to the Law on amending and supplementing a number of articles of Law on Securities, of November 24, 2010;

Pursuant to the Government's Decree No. 58/2012/ND-CP of July 20, 2012 detailing and guiding the implementation of a number of articles of the Securities Law and the Law amending and supplementing a number of articles of Securities Law;

Pursuant to the Decision No. 112/2009/QD-TTg of September 11, 2009 of the Prime Minister defining the functions, tasks, powers and organizational structure of the State Securities Commission affiliated the Ministry of Finance;  

Pursuant to the Circular No. 210/2012/TT-BTC of November 30, 2012 of the Ministry of Finance guiding on the establishment and operation of securities companies;

At the proposal of Director of Securities business management Department,

DECIDES:

Article 1. Guidance on working offices of securities companies

1. Head offices, branches, transaction offices (hereinafter referred to as working offices) of securities companies must be in Vietnam’s territory, at a defined address with number of room (if any), number of storey, name of building (for leased Office Buildings), house number, name of street or name of commune (ward or township), district (district, town or provincial-level city), province (central-affiliated cities).

2. The right to use working offices of a securities company is not less than one year, from the day when such securities company files dossier for grant of the establishment and operation permit or dossier for change of location of its working office.

3. The minimum floor area used for securities transaction at head office of a securities company with professional activity on securities broker is 100m².

Article 2. Guidance on material facilities in service for securities business activities of securities companies

1. Area, arrangement of ground of working offices:

1.1. Total area:

1.2. Arrangement of offices, divisions, transaction premises (according to the securities business operations in the request for permit or acceptance):

- Transaction floor;

- Office of securities broker;

- Office of securities self-business;

- Office of guarantee for securities issuance;

- Office of securities investment advisory;

- Office of securities depository;

2. Technical material facilities executing securities business operations:

2.1. General material facilities:

a. System of office equipment;

b. System of provision;

c) System of information and data storage;

d. Confidential and security system.

2.2. Material facilities in service for activities of securities broker:

a. System of counters; seats for investors;

b. System of information disclosure: Projectors, projection screens; Television sets; tables to stick information disclosure on, atbles and checks, computers connected with internet servicing for investors in accessing information; cupboards, shelves containing documents of information disclosure; 

c. System of servers: Servers, firewall, switch, router;

d. Storage system:  Warehouses, safes, tools, devices for saving and storage of data; file cabinet;

e. System of receipt of the order and entering the order in computer: Telephones, equipment of sound recording, camaras; internet system; workstations to enter the orders;

f. Command system:  Command lines connecting with the Stock Exchanges and Stock Depository Centers; command lines connecting among head offices, branches and transaction offices;

g. Software system: Software of account management; transaction software; software of depository transaction management in case being allowed to perform depository transaction; software in service for depository activities.

2.3. Material facilities in service for activities of securities self-business:

a. System of servers:

b. Command system;

c. Software system;

d. Storage system.

3. For material facilities in service for securities business activities of branches, transaction offices of securities companies, comply with authorization of securities companies.

Article 3. This Decision takes effect on the day of its signing.

Article 4. The Chief of office, director of Securities Business Management Department, general directors of the Hochiminh city the Stock Exchange, the Hanoi city the Stock Exchange and the Vietnam Stock Depository Center, directors general (directors) of securities companies and relevant parties shall implement this Decision.