What are regulations on code of guaranteed warrants at the Vietnam Securities Depository Center (VSD)?

What are regulations on code of guaranteed warrants at the Vietnam Securities Depository Center (VSD)?

According to Clause 6, Article 7 of the Regulations on the Activities of Issuing Domestic Securities Codes and International Securities Identification Numbers at the Vietnam Securities Depository Center, issued together with Decision 106/QĐ-VSD in 2021, the regulations on guaranteed warrant codes at the Vietnam Securities Depository Center are as follows:

Guaranteed warrant codes consist of 8 characters, as follows:

The abbreviated symbols of the types of warrants	Underlying asset	Year of registration	Information of registration
1 character	3 characters	2 characters	2 characters

Explanation of the characters in the guaranteed warrant code:

- The first character: This character is either "C" for call warrants or "P" for put warrants.

- The next three characters: These characters refer to the underlying asset. Specifically:

+ For underlying assets that are stocks, the code uses the domestic stock code issued by the VSD.

+ For underlying assets that have domestic codes with more than three characters (exchange-traded funds, stock indices according to the index codes issued by the stock exchange, etc.), the code uses abbreviated letters and numbers or numbers from 001 to 999 for reference. The VSD will announce a list of conversions in cases where the domestic codes of these securities have more than three characters.

- The next two characters: These characters indicate the year of registration of the warrant.

- The last two characters: These characters indicate the order of the warrant registration round according to the underlying security code in the year of all warrant issuers (round: 01, round 2: 02, round 3: 03, from round 100 onwards: use 26 letters in the English alphabet to represent, for example, round 100: A0; round 101: A1; round 200: B0, round 201: B1.. The VSD will announce a list of conversions in cases where the number of registration rounds in the year is 100 or more).

What are regulations on code of guaranteed warrants at the Vietnam Securities Depository Center (VSD)? - Source: Internet

What are regulations on ISIN code at the Vietnam Securities Depository Center (VSD)?

According to Article 8 of the Regulations on the Activities of Issuing Domestic Securities Codes and International Securities Identification Numbers at the Vietnam Securities Depository Center, issued together with Decision 106/QĐ-VSD in 2021, the regulations on ISIN codes at the Vietnam Securities Depository Center are as follows:

ISIN codes consist of 12 alphanumeric characters, as follows:

Country code of the issuer of securities	Domestic securities code	Check character
2 characters	9 characters	1 character

Explanations of the characters in the ISIN code for securities issued in Vietnam:

- Country code (VN): The country code of Vietnam is "VN". This code is assigned by the International Organization for Standardization (ISO 6166).

- Domestic security code: The domestic security code is a nine-character alphanumeric code.

+ In the case of government bonds issued in Vietnam that were previously issued with 10 characters, the conversion to ISIN codes is as follows:

For bonds issued by the State Treasury: replace the first two characters "CP" with the character "T"

For bonds issued by the Development Bank: replace the first two characters "QH" with the character "B"

+ In the case of government bond codes that contain the character "" in the bond code, the conversion to ISIN codes will remove the character "".

+ In the case of domestic stock, bond, or fund certificate codes that have less than 9 characters, the numbers 0 are added before them to ensure that there are enough 9 characters.

- Check character: The check character is a single numerical digit that is calculated according to the principle specified in the International Organization for Standardization (ISO 6166) standard.

What are included in the application for a securities code at the Vietnam Securities Depository Center (VSD)?

Clause 1 Article 9 of the Regulations on the Activities of Issuing Domestic Securities Codes and International Securities Identification Numbers at the Vietnam Securities Depository Center, issued together with Decision 106/QĐ-VSD in 2021, stipulates the following documents for applying for securities codes at the Vietnam Securities Depository Center:

a) For issuers of securities that register securities with the VSD:

The issuer submits a Letter of Application for Securities Code (Form 01/CMCK) along with the securities registration dossier. The code is issued simultaneously with the issuance of the Securities Registration Certificate.

b) For open-end fund certificates:

The fund management company submits an application dossier for code issuance to the VSD, including:

- Letter of Application for Securities Code (Form 01/CMCK);

- Fund establishment license issued by the State Securities Commission (Copy certified from the original or copy certified from the original by the competent authority in accordance with the law).

c) For rights to purchase additional shares of issuers: The issuer does not need to submit an application dossier for code issuance for rights to purchase additional shares at the VSD. The VSD will issue the code for rights to purchase additional shares simultaneously with the processing of the exercise dossier when receiving the Notification of the last registration date of the issuer.

d) For secured warrants: The issuer does not need to submit an application dossier for code issuance at the VSD. The VSD will issue the code for secured warrants simultaneously with the issuance of the Securities Registration Certificate for secured warrants.

dd) For shares of state-owned enterprises being equitized and auctioned at the organization that conducts the share auction or sold in the book building method at the order management organization: The documents for applying for securities codes are carried out according to the current regulations in the Regulations on the Activities of Issuing Securities Codes, Registration, Custody, and Deregistration for First-Time Shares Sold in the Auction/Book Building Method of the Equitized Enterprise, issued by the General Director of the VSD.

e) For derivative securities: The VSD bases on the domestic securities code issued by the Stock Exchange to issue the ISIN code in accordance with the regulations.

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