Vietnam: Report form on derivative trading
Form No. 03 Appendix Issued together with Circular 58/2021/TT-BTC is specified as follows:
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NAME OF DERIVATIVE TRADING ORGANIZATION ---- |
SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness -------------- |
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No.:…/BC- |
…,day…month…year… |
REPORT
derivative trading of month.../quarter.../year...
Dear: State Securities Commission
The derivative trading organization… was granted the Certificate of Eligibility for Derivatives Securities Business No. … by the State Securities Commission.
We respectfully submit to the State Securities Commission the report on derivative trading for the month.../quarter.../year... as follows:
Table 1. Personnel
Unit: person
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Entity |
Number of persons holding securities practice certificates |
Number of persons holding specialized certificates in derivatives and derivative market |
Notes |
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End of period |
Increase/Decrease compared to the end of the previous period |
End of period |
Increase/Decrease compared to the end of the previous period |
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(1) |
(2) |
(3) |
(4) |
(5) |
(6) |
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I. Head Office |
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1. Board of Directors |
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2. Brokerage Department |
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3. Proprietary Trading Department |
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4. Investment consultancy department |
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II. Branches |
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1. Branches... (branch name) |
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- Branch Manager |
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- Brokerage Department |
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- Consulting Department |
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2. Branches... (branch name) |
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- Branch Manager |
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- Brokerage Department |
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- Consulting Department |
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III. Transaction Office |
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1. Transaction offices... (name of transaction office) |
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2. Transaction office... (name of transaction office) |
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IV. Other parts (if any) |
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Total |
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Note:
- Columns (2), (3), (4), (5): Input in “Number" format. For negative numbers, enclose in parentheses ().
Table 2. Number of derivative trading accounts of investors
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Customer Type |
Number of accounts |
Number of accounts with transactions in the period |
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End of Term |
Increase/decrease compared to the end of the previous period |
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(1) |
(2) |
(3) |
(4) |
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I. Domestic |
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1. Individuals |
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2. Organization |
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II. Overseas |
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1. Individuals |
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2. Organization |
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Sum (I + II) |
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Note:
- Columns (2), (3), (4): Input in “Number" format. For negative numbers, enclose in parentheses ().
Table 3. Deposits for derivative transaction of investors
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No. |
Depository bank |
Account balance (million VND) |
Note |
|---|---|---|---|
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(1) |
(2) |
(3) |
(4) |
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1 |
I. Bank A |
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2 |
1. Account No. A1 |
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3 |
2. Account No. A2 |
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4 |
3. Account No.… |
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5 |
II. Bank B |
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6 |
1. Account No. B1 |
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7 |
2. Account No. B2 |
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8 |
3. Account No.… |
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9 |
Total (I + II +…) |
Note:
- Detail each account at all banks receiving investor derivative transaction deposits.
- Line 1, column (3): Total balance on accounts A1, A2,...
- Line 5, column (3): Total balance on accounts A1, A2,...
Table 4. Derivative Transactions
Unit: Contract
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Types of securities |
Total Purchase |
Total Sale |
Total buying and selling |
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During the |
Accumulated from the beginning of the year |
During the |
Accumulated from the beginning of the year |
During the |
Accumulated from the beginning of the year |
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(1) |
(2) |
(3) |
(4) |
(5) |
(6) |
(7) |
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I. Investors |
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Product 1 |
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1. Derivative securities trading by domestic investors |
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2. Derivative securities trading by foreign investors |
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Product 2 |
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1. Derivative securities trading by domestic investors |
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2. Derivative securities trading by foreign investors |
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Product... |
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1. Derivative securities trading by domestic investors |
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2. Derivative securities trading by foreign investors |
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II. Proprietary trading |
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1. Product 1 |
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2. Product 2 |
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3. Product... |
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Table 5. Derivative consulting activities
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Number of contracts at the beginning of the period |
Number of contracts closed during the period |
Number of new contracts during the period |
Number of effective contracts at the end of the period |
Fee collected during the period |
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HEAD OF INTERNAL |
(GENERAL) DIRECTOR (Sign, specify full name, seal) |
Respectfully!
