Procedure for Changing Stock Trading Registration on Upcom

Based on Clause 3, Article 136 of Decree 155/2020/ND-CP, the procedures are stipulated as follows:

- Within 30 days from the date of issuance of the amended Enterprise Registration Certificate or from the date of the conclusion of the issuance, offering, or from the date of change in the number of registered trading shares, the organization registering for trading must submit the application for changes in the trading registration;

- Within 05 working days from the date of receipt of a complete and valid application, the Stock Exchange issues a decision to approve the change in trading registration and simultaneously discloses the information to the market; in case of refusal, it must respond in writing stating the reasons clearly;

- Within 05 working days from the date the Stock Exchange issues the decision to approve the change in trading registration, the organization registering for trading must register the trading date for the new number of shares (the trading date must be at least 06 working days from the date the Stock Exchange receives the written request of the organization registering for trading but not more than 30 days from the date the decision to approve the change in trading registration is issued) and complete the procedures to list the new shares for trading. In case the additionally registered shares include shares with transfer restrictions, the organization registering for trading must also register the trading date of the restricted shares at a specified time after the end of the restriction period.

Sincerely!