Document for Identifying Professional Securities Investors for Persons Holding Securities Practice Certificates

Based on Clause 3, Article 5 of Decree 155/2020/ND-CP stipulating the documents required to identify professional securities investors as follows:

- For individuals stipulated at Point c, Clause 1, Article 11 of the Securities Law, the following documents are included:

+ Valid identity card or citizen identification card or passport;

+ Valid securities practicing certificate.

Based on Point c, Clause 1, Article 11 of the Securities Law 2019, it is stipulated that

- A professional securities investor is an investor with financial capacity or expertise in securities, including:

+ Person holding a valid securities practicing certificate.

Thus, for a person holding a valid securities practicing certificate, the requisite documents include: a valid identity card or citizen identification card or passport; and a valid securities practicing certificate to determine as a professional securities investor.

Respectfully!