What are obligations of listed enterprises and fund management companies at the Ho Chi Minh Stock Exchange in Vietnam?
What are obligations of listed enterprises and fund management companies at the Ho Chi Minh Stock Exchange in Vietnam? What are obligations of relevant entities in listing securities at the Ho Chi Minh Stock Exchange in Vietnam? What are actions against violations in listing securities at the Ho Chi Minh Stock Exchange in Vietnam? What are regulations on dossier of registration for initial listing of shares at the Ho Chi Minh Stock Exchange in Vietnam?
Please advise. Thankyou.
What are obligations of listed enterprises and fund management companies at the Ho Chi Minh Stock Exchange in Vietnam?
In Article 30 of the Regulation on listing securities at the Ho Chi Minh Stock Exchange, issued together with Decision 85/QD-SGDHCM in 2018, there are regulations on obligations of listed enterprises and fund management companies at the Ho Chi Minh Stock Exchange as follows:
Each listed enterprise or fund management company on HOSE shall discharge the following obligations:
1. Maintain its satisfaction of listing requirements.
2. Promulgate its Charter which must be not contrary to the Law on enterprises and relevant legislative documents, and comply with regulations on corporate governance applicable to listed enterprises and applicable regulations on securities and securities market while securities are listed on HOSE.
3. Perform information disclosure obligations of listed enterprises/investment funds.
4. Pay relevant service charges as regulated.
5. Fulfill commitments made with HOSE.
6. Regularly, fully and strictly update, study and implement HOSE's regulations and relevant law regulations on securities and securities market.
What are obligations of relevant entities in listing securities at the Ho Chi Minh Stock Exchange in Vietnam?
In Article 31 of the Regulation on listing securities at the Ho Chi Minh Stock Exchange, issued together with Decision 85/QD-SGDHCM in 2018, there are regulations on obligations of relevant entities in listing securities at the Ho Chi Minh Stock Exchange as follows:
1. Fulfill undertaking, reporting and information disclosure obligations as regulated by HOSE and relevant regulations on securities and securities market.
2. Provide explanation at the request of HOSE, where necessary.
What are actions against violations in listing securities at the Ho Chi Minh Stock Exchange in Vietnam?
In Article 33 of the Regulation on listing securities at the Ho Chi Minh Stock Exchange, issued together with Decision 85/QD-SGDHCM in 2018, there are regulations on actions against violations in listing securities at the Ho Chi Minh Stock Exchange as follows:
1. Actions against violations include:
1.1 Public censure;
1.2 Placing securities under warning;
1.3 Placing securities under control;
1.4 Placing securities under special control;
1.5 Suspension of trading of securities;
1.6. Compulsory delisting.
2. HOSE shall decide to take appropriate actions against each violation depending on its nature and severity, and submit report thereof to SSC as regulated.
What are regulations on dossier of registration for initial listing of shares at the Ho Chi Minh Stock Exchange in Vietnam?
In Subsection 1, Section I, Appendix I, List of dossiers of registration for listing, change of registration for listing and delisting at the Ho Chi Minh Stock Exchange issued together with Decision 85/QD-SGDHCM in 2018, there are regulations on dossier of registration for initial listing of shares at the Ho Chi Minh Stock Exchange as follows:
1. Dossier of registration for listing of shares |
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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) |
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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. |
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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) |
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1.9. The State Bank's written approval for joint-stock credit institutions |
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1.10. Listing consulting contract (if any) |
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1.11. Certificate of the Securities Depository Center that the shares registered for listing have been registered for centralized depository |
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regulated by the Securities Depository Center |
1.12. Valid copy of specialized business license (if any) |
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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 |
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1.19. Official letter of commitment to have no debts overdue for more than 1 year by the time of listing registration |
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1.20. Other required documents (if any) |
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1.21. Documents submitted after being approved for official listing: |
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- 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. |
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Best Regards!
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