Documents Required for Application for Securities Practicing Certificate

Based on Clause 4, Article 213, Decree 155/2020/ND-CP, the dossier for applying for a securities practice certificate includes:

- An application letter according to Form No. 85 Appendix issued together with this Decree;

- Personal information form of the applicant for a securities practice certificate according to Form No. 67 Appendix issued together with this Decree within 06 months up to the date the State Securities Commission receives the dossier;

- Judiciary record card issued by a competent authority within 06 months up to the date the State Securities Commission receives the dossier;

- Bachelor's degree or master's or doctoral degree;

- Legal foreign securities practice certificate or equivalent document proving that the individual is legally permitted to practice securities abroad; professional securities certificates or equivalent certificates;

- Two (02) photos of size 4cm x 6cm taken within 06 months up to the date the State Securities Commission receives the dossier;

- For the case of applying for a fund management practice certificate, the dossier includes a written confirmation of the years of work experience, position held by the applicant for the securities practice certificate provided by the organizations where the applicant has worked or is currently working.

Sincerely!