Documents for Registration of Initial Public Offering of Shares

Pursuant to Clause 1 Article 258 of Decree 155/2020/ND-CP, the regulations are as follows:

The dossier for initial public offering (IPO) of shares includes:

a) The registration form for public offering of shares according to Form No. 100 Appendix issued together with this Decree;

b) The charter of the securities investment company as prescribed by the Ministry of Finance;

c) The prospectus and the summary prospectus as prescribed by the Ministry of Finance;

d) The custody and supervision contract between the custodian bank and the securities investment fund management company;

e) The distribution contract of the securities investment company shares between the securities investment fund management company and the distribution agents, accompanied by the certificate of registration for distribution of fund certificates, assessment reports on facilities, techniques, personnel at the distribution locations of the securities investment fund management company and the principles contracts signed with relevant service providers (if any);

f) The list of proposed personnel, the company's executive officers accompanied by personal information forms according to Form No. 91, Form No. 105 of the Appendix issued together with this Decree, and the judicial records of the members of the board of directors, the General Director (Director) issued no more than 06 months prior to the application submission date;

g) In case the securities investment company is not expected to organize the first General Meeting of Shareholders, the securities investment fund management company must supplement the documents soliciting investor opinions on: listing shares on the Stock Exchange, the structure of the Board of Directors, the members of the company's board of directors, and other matters soliciting investor opinions;

h) The commitment to underwriting (if any), advertising materials, information introducing the fund proposed for offering (if any).

Respectfully!