Announcement of the plan to organize the examination for issuance of securities practicing certificates in 2023? What are the conditions for taking the exam for obtaining a securities practicing certificate in Vietnam?
- What are the conditions for taking the exam for obtaining a securities practicing certificate in Vietnam in 2023?
- Exam schedule for the issuance of securities practicing certificates in 2023 in Hanoi and Ho Chi Minh City?
- What is included in the dossier for examination for issuance of securities practicing certificates in 2023 in Hanoi and Ho Chi Minh City?
What are the conditions for taking the exam for obtaining a securities practicing certificate in Vietnam in 2023?
Candidates taking the exam for obtaining a securities practicing certificate must meet the conditions in Article 213 of Decree No. 155/2020/ND-CP as follows:
Documentation and procedures for issuance of the securities practicing certificate
1. The securities brokerage certificate will be issued to an individual who:
a) Satisfies the conditions specified in Clause 2 Article 97 of the Law on Securities; and
b) Has securities-related qualifications, including: certificate of basic training in securities and securities market, certificate of training in securities and securities market laws, certificate of training in securities analysis and investment, certificate of training in securities brokerage and securities investment counseling or equivalent certificates.
2. The financial analysis certificate will be issued to an individual who:
a) Satisfies the conditions specified in Clause 1 of this Article; and
b) Has the following qualifications: certificate of training in financial counseling and securities underwriting, certificate of training in financial statement analysis or equivalent certificates.
3. The fund management certificate will be issued to an individual who:
a) Satisfies the conditions specified in Clause 2 of this Article; and
b) Has certificates of training in fund and asset management; and
c) Has at least 03 years’ experience of working in sales, investment, finance, accounting departments of enterprises, organization of finance-, banking-, insurance-, securities-, audit-related activities or has a lawful securities practicing certificate issued overseas;
Thus, candidates taking the examination for obtaining securities practicing certificates must meet the following conditions:
(1) The securities brokerage certificate will be issued to an individual who:
- has full legal capacity; is not facing criminal prosecution and is not being banned from securities practice as prescribed by law;
- has a bachelor’s degree or above;
- has professional training in securities; and:
- passes the test for the securities professional certification. Foreigners who have securities qualifications and foreign certified securities professionals need to pass the test securities and securities market of Vietnam.
- has securities-related qualifications, including: certificate of basic training in securities and securities market, certificate of training in securities and securities market laws, certificate of training in securities analysis and investment, certificate of training in securities brokerage and securities investment counseling or equivalent certificates.
(2) The financial analysis certificate will be issued to an individual who:
- Satisfies the conditions specified in Clause 1 of this Article; and
- Has the following qualifications: certificate of training in financial counseling and securities underwriting, certificate of training in financial statement analysis or equivalent certificates.
(3) The fund management certificate will be issued to an individual who:
- Satisfies the conditions for issuance of financial analysis certificate; and
- Has certificates of training in fund and asset management; and
- Has at least 03 years’ experience of working in sales, investment, finance, accounting departments of enterprises, organization of finance-, banking-, insurance-, securities-, audit-related activities or has a lawful securities practicing certificate issued overseas.
Announcement of the plan to organize the examination for issuance of securities practicing certificates in 2023? What are the conditions for taking the exam for obtaining a securities practicing certificate in Vietnam?
Exam schedule for the issuance of securities practicing certificates in 2023 in Hanoi and Ho Chi Minh City?
Recently, the State Securities Commission announced the plan to organize the examination for the issuance of securities practicing certificates in 2023 in Hanoi and Ho Chi Minh City with the specific exam schedule as follows:
- Phase 1: In Ho Chi Minh City:
+ Time to receive documents: from March 23, 2023 to April 21, 2023 during office hours.
+ Expected exam date: May 22 to 26, 2023.
+ Location of dossier collection and exam organization: Branch of Securities Research and Training Center, No. 264B Le Van Sy, Ward 14, District 3, Ho Chi Minh City.
- Phase 2: In Hanoi:
+ Time to receive documents: from 08/05/2023 to 09/06/2023 during office hours.
+ Expected exam date: 03 to 07/07/2023.
+ Location of dossier collection and exam organization: Securities Research and Training Center, 234 Luong The Vinh, Trung Van, Nam Tu Liem, Hanoi
- Phase 3: In the Ho Chi Minh City:
+ Time to receive documents: from August 1, 2023 to September 1, 2023 during office hours.
+ Expected exam date: September 25 to 29, 2023.
+ Location of dossier collection and examination: Location of dossier collection and examination: Branch of Securities Training and Scientific Research Center, No. 264B Le Van Sy, Ward 14, District 3, Ho Chi Minh City Chi Minh
- Phase 4: In Hanoi:
+ Time to receive documents: from September 18, 2023 to October 20, 2023 during office hours.
+ Expected exam date: November 13 to 17, 2023.
+ Securities Research and Training Center, 234 Luong The Vinh, Trung Van, Nam Tu Liem, Hanoi.
What is included in the dossier for examination for issuance of securities practicing certificates in 2023 in Hanoi and Ho Chi Minh City?
The State Securities Commission guides the preparation of documents for the examination for the issuance of securities practicing certificates in 2023 as follows:
(1) For candidates taking the exam for the first time:
- Exam registration form, made according to the attached form, clearly stating that all conditions are met and taking responsibility before law for the accuracy and truthfulness of the content of the test registration paper:
Download the registration form for the securities practicing exam: Click here.
- Photocopies of professional certificates in securities according to the conditions for participating in the securities practicing exam;
- A copy of the university diploma, university degree or equivalent;
- A notarized copy of the valid ID card or passport;
- Two (02) 4x6 photos taken within six (06) months from the date of submission of the application for the contest.
Candidates who register for the Fund Management exam must have at least 03 years of experience in the fields of finance, banking or accounting.
Note: The application file for the exam must be enclosed in a file bag, on the outside of the envelope, clearly state your name, date of birth, nationality, ID number, phone number, exam registration certificate, working unit or individual registered to participate, contest location (Hanoi or Ho Chi Minh City).
(2) For candidates who retake the test (re-take the part that did not pass in the previous test)
- The application form for re-examination of the exam is attached as follows:
Download the application form for the re-examination of the securities practicing certificate: Click here.
- A printed copy of the test scores (on the website: www.srtc.org.vn or www.ssc.gov.vn)
- Two (02) 4x6 photos taken within six (06) months up to the date of submission of application documents;
- Photocopy of University diploma, graduate or equivalent.
Note: The application file for the exam must be enclosed in a file bag, on the outside of the envelope, clearly state your name, date of birth, nationality, ID number, phone number, exam registration certificate, working unit or individual registered to participate, contest location (Hanoi or Ho Chi Minh City).
About the exam fee:
- Brokerage certificate: 400,000 VND/candidate;
- Financial analysis certificate: 500,000 VND/candidate;
- Fund management certificate: 600,000 VND/candidate.
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