What are cases of reissuance of the securities practicing certificate in Vietnam?
What are cases of reissuance of the securities practicing certificate in Vietnam? What are practicing principles of securities practicing certificate holders in Vietnam? What documents are included in the application for reissuance of the securities practicing certificate in Vietnam?
What are cases of reissuance of the securities practicing certificate in Vietnam?
What are cases of reissuance of the securities practicing certificate in Vietnam?
Answer:
Pursuant to Clause 1 Article 214 of the Decree 155/2020/ND-CP stipulating as follows:
1. The securities practicing certificate will be reissued in the following cases:
a) The certificate is revoked according to Point a or Point c Clause 3 Article 97 of the Law on Securities; is damaged or lost;
b) The applicant’s personal information on the certificate is changed (ID number, passport number, nationality, full name, date of birth).
What are cases of reissuance of the securities practicing certificate in Vietnam? - Image from Internet
What are practicing principles of securities practicing certificate holders in Vietnam?
What are practicing principles of securities practicing certificate holders in Vietnam?
Answer:
Pursuant to Clause 2 Article 216 of the Decree 155/2020/ND-CP stipulating practicing principles of securities practicing certificate holders in Vietnam as follows:
- A securities brokerage certificate holder may provide securities brokerage and securities investment advisory services;
- A financial analysis certificate holder may provide securities brokerage and securities investment advisory services, proprietary trading, securities underwriting;
- A fund management certificate holder may provide securities brokerage and securities investment advisory services, proprietary trading, securities underwriting, securities investment portfolio management, securities investment fund management;
- A securities practicing certificate is only valid when its holder is working at a securities company, securities investment fund management company, Vietnamese branch of a foreign securities company or foreign fund management company, or investment company and his/her employment has been notified by the company to SSC;
- A person who holds 01 of the 03 securities practicing certificates mentioned in Points a, b, c of this Clause and has certificates of training in derivatives and derivative market may operate within the derivative-related certificates at a securities company or securities investment fund management company;
- A securities practicing certificate holder may only work at 01 securities-related department at a time.
What documents are included in the application for reissuance of the securities practicing certificate in Vietnam?
What documents are included in the application for reissuance of the securities practicing certificate in Vietnam?
Answer:
Pursuant to Clause 2 Article 214 of the Decree 155/2020/ND-CP stipulating as follows:
An application for reissuance of the securities practicing certificate shall contain:
- In case the certificate is revoked according to Point a or Point c Clause 3 Article 97 of the Law on Securities, the documents specified in Clause 4 Article 213 of this Decree;
- In case the certificate is lost or damaged or the applicant’s personal information on the certificate is changed, the application form No. 85 in the Appendix hereof, the unexpired ID card or passport; 02 4x6 cm photos taken within 06 months before the application is received by SSC; the securities practicing certificate issued by SSC unless it is lost.
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