How does the Securities Commission supervise the operations of the Vietnam Exchange?
- How does the Securities Commission supervise the operations of the Vietnam Exchange?
- How does the Securities Commission supervise the operations of Ho Chi Minh City Stock Exchange and Hanoi Stock Exchange?
- How is the report form of the Stock Exchange for the Securities Commission of Vietnam regulated?
How does the Securities Commission supervise the operations of the Vietnam Exchange?
According to the provisions of Article 8 of Circular No. 6/2022/TT-BTC, State Securities Commission shall supervise the compliance with the law on securities and securities market by Vietnam Exchange regarding the following operations:
- Formulation and promulgation regulations on listing and trading of securities, and information disclosure, regulations on its members and other regulations on organization and operation of the securities market; issuance of criteria for supervision of transactions; issuance of trading indicators applied to members of Vietnam Exchange in accordance with regulations of law on securities and securities market.
- Organization of the securities market in accordance with the law on securities.
- Grant and cancellation of membership of members of Vietnam Exchange; management, inspection and taking actions against violations committed by members of Vietnam Exchange in accordance with regulations of the law on securities and acting as a mediator to settle disputes concerning securities trading operations at the request of members of Vietnam Exchange.
- Vietnam Exchange’s supervision of compliance by Ho Chi Minh City Stock Exchange and Hanoi Stock Exchange with operational regulations; general supervision of securities trading and information disclosure by listed organizations, registered organizations, and investors that have to disclose information as prescribed; supervision of listed organizations, registered organizations, and investors operating on securities markets in accordance with regulations of law.
- Assurance of the continuity, openness, fairness, order, safety and efficiency of securities trading on the securities market; implementation of measures for responding to incidents and events that adversely affect the safety, stability and integrity of the securities market; reporting on violations committed by members of Vietnam Exchange; reporting on violations committed by investors, listed organization or registered organizations in accordance with regulations of law.
- Organization and exercise of compliance control by Vietnam Exchange of securities operations.
- Retention and protection of confidentiality of documents, files and original data related to securities operations.
- Other operations of Vietnam Exchange and its subsidiaries involved in its operations.
How does the Securities Commission supervise the operations of the Vietnam Exchange?
How does the Securities Commission supervise the operations of Ho Chi Minh City Stock Exchange and Hanoi Stock Exchange?
According to the provisions of Article 9 of Circular No. 6/2022/TT-BTC, State Securities Commission shall supervise the compliance with the law on securities and securities market by Ho Chi Minh City Stock Exchange and Hanoi Stock Exchange regarding the following operations:
- Organization and operation of securities market in accordance with regulations of law and within the ambit of their assigned tasks.
- Supervision of securities trading; supervision of information disclosure by listed organizations, registered organizations, and investors that have to disclose information as prescribed; supervision of the fulfillment of obligations by members of Vietnam Exchange in accordance with regulations of the law on securities and Vietnam Exchange’s regulations.
- Putting securities under alert, control and restriction in accordance with regulations of law and Vietnam Exchange’s regulations.
- Approving, changing and cancelling listing or registration of securities, and supervision of maintenance of fulfillment of securities listing requirements by listed organizations.
- Inspection and taking actions against violations committed by listed organizations or registered organizations in accordance with Vietnam Exchange’s regulations.
- Provision of auction and bidding services; services involving market information and information about traded securities; technological infrastructure development services for the securities market, and other relevant services specified in their Charter.
- Organization and exercise of compliance control of securities operations.
How is the report form of the Stock Exchange for the Securities Commission of Vietnam regulated?
According to the provisions of Clause 1, Article 12 of Circular No. 6/2022/TT-BTC, Vietnam Exchange shall submit monthly and annual reports which are made using the forms in Appendix I and Appendix IV enclosed herewith to State Securities Commission.
- The monthly report of the Stock Exchange to the State Securities Commission is prescribed as follows:
Download the form of the monthly report of the Stock Exchange to send to the State Securities Commission: Click here.
- The annual report of the Stock Exchange to the State Securities Commission is prescribed as follows:
Download the form of the annual report of the Stock Exchange to submit to the State Securities Commission: Click here.
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