What are obligations of listed enterprises and fund management companies at the Ho Chi Minh Stock Exchange in Vietnam?

1. Dossier of registration for listing of shares

1.1. Certificate of registration to list shares

Appendix No. 01(a)

Circular 202/2015/TT-BTC

1.2. The original of the General Meeting of Shareholders' decision approving the listing of shares or the approval decision of a competent state agency on the equitization scheme (in the case of listing shares of a state-owned enterprise). currently equitized)

-

-

1.3. Register of shareholders of the organization registering to list ( made within 01 month before the time of submitting the application for listing registration and updated until the time the application for listing registration is complete and valid )

In case the listing registration organization is a public company that has registered its securities at the Vietnam Securities Depository, a copy of the official dispatch notifying the Vietnam Securities Depository about the date of registration shall be added. close the list of shareholders to make a register of shareholders.

-

regulated by the Securities Depository Center

1.4. Summary of the shareholder book of the organization registered for listing

Disclosure / Ho Chi Minh Stock Exchange - 09

Regulations on information disclosure at Ho Chi Minh Stock Exchange

1.5. List of insiders, major shareholders, strategic shareholders and related groups of insiders.

NY-10A

NY Regulations at Ho Chi Minh Stock Exchange

1.6. The prospectus and its attachments include:

- A valid copy of the Certificate of Business Registration

- Charter of the Company in accordance with the listed company.

- Record of property identification (if any).

- The price determination of equipment, factory, ... (if any).

- Introduction of legal documents related to listed organizations.

- Audited financial statements of two (02) consecutive years prior to the year of listing registration.

- Report on legal disputes (if any).

- Other appendices (if any).

Appendix No. 02

Circular 29/2017/TT-BTC

1.7. Commitment to hold securities (for individuals/organizations)

NY-06A

NY-06B

NY Regulations at Ho Chi Minh Stock Exchange

1.8. Letter of commitment to limit the participation rate of foreign parties as prescribed by law for specific business fields (if any)

-

-

1.9. The State Bank's written approval for joint-stock credit institutions

-

-

1.10. Listing consulting contract (if any)

-

-

1.11. Certificate of the Securities Depository Center that the shares registered for listing have been registered for centralized depository

-

regulated by the Securities Depository Center

1.12. Valid copy of specialized business license (if any)

-

-

1.13. Power of attorney for information disclosure

Appendix No. 01

Circular 155/2015/TT-BTC

1.14. Summarizing the process of raising capital

NY-04

NY Regulations at Ho Chi Minh Stock Exchange

1.15. Summary of the process of buying/selling treasury shares

NY-05

NY Regulations at Ho Chi Minh Stock Exchange

1.16. Commit to listing

NY-09

NY Regulations at Ho Chi Minh Stock Exchange

1.17. Information provided by insiders of the listed company

Appendix No. 03

Circular 155/2015/TT-BTC

1.18. Dispatch to publicize all debts owed to the company by members of the Board of Directors, Supervisory Board, Director (General Director), Deputy General Director (Deputy General Director), Chief Accountant, major shareholders and related persons

-

-

1.19. Official letter of commitment to have no debts overdue for more than 1 year by the time of listing registration

-

-

1.20. Other required documents (if any)

-

-

1.21. Documents submitted after being approved for official listing:

-

-

- Certificate of registration of the first transaction date.

NY-01A

NY Regulations at Ho Chi Minh Stock Exchange

- Internal process on information disclosure of listed organizations.

- Internal regulations on corporate governance.

-

-