Sample of the Request for Securities Code Issuance at the Vietnam Securities Depository Center: Regulations and Requirements

1. What is the regulation on the form for requesting the issuance of a securities code at the Vietnam Securities Depository Center?

According to Form 01/CMCK issued with the Regulation on the issuance of domestic securities codes and international securities identification numbers at VSD attached to Decision 106/QD-VSD of 2021, the form for requesting the issuance of a securities code at the Vietnam Securities Depository Center is regulated as follows:

SOCIALIST REPUBLIC OF VIETNAMIndependence - Freedom - Happiness---------------

REQUEST FOR ISSUANCE OF SECURITIES CODE

To: Vietnam Securities Depository Center

Issuing organization (full name):

Trading name (in Vietnamese):

Trading name (in English):

Head office:

Phone:                                                                                                           Fax:

Charter capital:

Account number:                                                  at Bank:

Enterprise registration certificate/ Establishment license number: ....date... issued by: …..granted.

We request the Vietnam Securities Depository Center (VSD) to grant a securities code for the securities issued by us as follows:

- Name of the security:

- Type of security:[1]

- Proposed securities code:

The company commits to comply with the regulations on securities and the securities market as well as the regulations on the issuance of securities codes issued by VSD.

2. What is the regulation on the form for requesting the retention of a securities code at the Vietnam Securities Depository Center?

According to Form 02/CMCK issued with the Regulation on the issuance of domestic securities codes and international securities identification numbers at VSD attached to Decision 106/QD-VSD of 2021, the form for requesting the retention of a securities code at the Vietnam Securities Depository Center is regulated as follows:

SOCIALIST REPUBLIC OF VIETNAMIndependence - Freedom - Happiness---------------

REQUEST FOR RETENTION OF SECURITIES CODE

To: Vietnam Securities Depository Center

Issuing organization (full name):

Trading name (in Vietnamese):

Trading name (in English):

Head office:

Phone:                                                                                                           Fax:

Charter capital:

Account number:                                                  at Bank:

Enterprise registration certificate number:      Date                issued by:                granted.

We request the Vietnam Securities Depository Center (VSD) to approve our company’s registration of the following securities code:

- Name of the security:

- Type of security:[2]

- Proposed retention securities code:

- Reason for retaining the securities code:

The company commits to comply with the regulations on securities and the securities market as well as the regulations on the issuance of securities codes issued by VSD.

3. What is the form for requesting the provision of a prospective securities code at the Vietnam Securities Depository Center?

According to Form 03/CMCK issued with the Regulation on the issuance of domestic securities codes and international securities identification numbers at VSD attached to Decision 106/QD-VSD of 2021, the form for requesting the provision of a prospective securities code at the Vietnam Securities Depository Center is regulated as follows:

To: Vietnam Securities Depository Center

To proactively issue bonds by the Government of Vietnam/ bonds guaranteed by the Government of Vietnam/ Treasury bills/ national construction bonds in the month/ quarter/ year …., (name of issuing organization) requests the Vietnam Securities Depository Center (VSD) to provide a prospective securities code for our initial issuance of bonds/ bills/ national construction bonds as follows:

- Term ...... (week/ year ...): number of codes: ……

- Term ...... (week/ year ...): number of codes: …..

After the end of the month/ quarter/ year, we will notify VSD of the number of used codes/ unused codes for VSD to know and handle.

Respectfully!