What is registration form for offering of corporate bonds in international market by a public company, a securities company or a fund management company in Vietnam?

What is registration form for offering of corporate bonds in international market by a public company, a securities company or a fund management company in Vietnam?

The Appendix 2 issued together with Decree 153/2020/ND-CP has the following provisions:

APPLICATION FOR REGISTRATION OF INTERNATIONAL MARKET OFFERING

To: State Securities Commission.

I. ABOUT THE SMALL ISSUANCE BUSINESS

1. Issuing company name ( full ): ……………………..

2. Address of the head office: ……………………………………………………………………………………………….

3. Phone: ………….. Fax: ……………………..Website: ………………

4. Charter capital: ………………………………………………………………………………………… dong

5. Stock code ( if any ): ………………………………………………………..

6. Place of opening payment account: ……………… Account number: ……………………

7. Certificate of business registration with enterprise code ... issued by the Department of Planning and Investment ... for the first time on ..., issued for the second time ... date... (specify information last changed)

- Main lines of business: ……………………. Industry code: ………………………

- Main products/services: …………………………………………………….

8. License for establishment and operation (if any according to specialized laws): ……………………

9. Issuing enterprises in conditional business lines that are required by specialized laws to obtain approval from competent state management agencies for issuance: ………….. (yes/no).

II. PUBLICATION PURPOSE: ………………………………………………………………………………………………

III. INFORMATION ON BONDS REGISTERED FOR SALE

1. Bond name: …………………………………………………………………………………………..

2. Type of bond: ……………………………………………………………………………………….

3. Bond face value: …………………………………………………………………………..VND/bond.

4. Number of bonds registered for sale: …………………………………………………….. bonds.

5. Total value of bonds registered for sale (at par value) : ……………………..VND.

6. Ratio of total value of bonds calculated at par value to total value of outstanding shares calculated at par value: …………………….. ..%

7. Offer price: ………………………………………………………………………….………….VND/bond.

8. Interest rate: ………………………………………………………………………………………………..%/year.

9. Bond term: …………………….. ................................................. ..

10. Interest payment period: ……………………………………………………………………………………………….

11. Terms of bond redemption, early redemption of bonds (if any) : ……………………..

12. Terms related to bond conversion (in case of offering convertible bonds):

- Conversion period: …………………………………………………….

- Conversion rate or method of determining conversion rate: …………………….

- Plan to ensure foreign ownership ratio: ……………………………………………………..

- Other terms (if any) : …………………….……………………………………………………

13. Terms for warrants attached to bonds (in case of offering bonds with warrants):

- Time limit for exercising the right: ……………………………………………………………………………………………….

- Percentage of exercising the right: ……………………..……………………

- Issue price of warrant exercised shares and principles for calculating the price of warrant exercised shares: ……………………………………………………. ……………………

- Plan to ensure foreign ownership ratio: ……………………………………………………..

- Other terms (if any) : ……………………………………………………..

14. Other information related to secured bonds (in case of offering for sale of secured bonds):

- Form of guarantee: ……………………………………………………………………………………………….

- Value of guaranteed bonds: ………………..…………………………………………………….

- Guaranteed by payment guarantee (in case of guarantee for payment by guarantee):

+ Name of payment guarantee organization: …………………………………………………….

+ Guarantee value: …………………….…………………………………………………….

- Security by property (in case of security for payment by property):

+ Collateral: ………………………………………………………………………………………………..

+ Value of collateral: …………………….………….……………………..

+ Owner of collateral: …………………….………….…………………….

+ Organization receiving collateral: ……………………………………………………

15. Order of priority for bond payment: ……………………………………………………..

16. Information on issued bonds currently in circulation by the issuer

- Total value of bonds currently in circulation of the issuer: ....VND, in which:

+ Total value of bonds offered to the public: …………………………………………………….. VND.

+ Total value of bonds offered for private placement: ……………………………………………………..VND.

- Total value of bonds mobilized in the last 12 months by the time of registration for offering: ……………………..VND, of which:

+ Total value of bonds offered to the public: …………………….VND.

+ Total value of bonds offered for private placement: ……………….VND.

17. Ratio of total value of bonds registered for additional offering to total value of existing bonds: ………………………….%.

18. Expected time of offering: ……………………………………………………. ……………………..

19. Distribution method: ……………….................................................................. ……………………..

20. Issuing market: …………………………………………………….

IV. PLAN TO USE CAPITAL

(Indicate the plan of use, the progress of using the capital obtained from the offering and other counterpart funds (if any))

V. RELATED PARTIES

1. Underwriting organization (if any): ……………………………………………………

2. Consulting organization: ………………………………………………………………………………………………….

3. Auditing organization: …………………………………………………….

4. Other related parties (if any): ……………………………………………………..

VI. COMMITMENT OF SMALL ISSUERS

1. We hereby warrant that the information contained in the application is complete and true, and not inaccurate or incomplete information that may cause damage to the buyer.

2. We commit to:

- Fully research and strictly implement legal documents on securities and securities market.

- There has not been any official statement about the securities offering on the mass media before being approved by the State Securities Commission.

- Use mobilized capital for the right purpose.

- Take all forms of handling if violating the above commitments.

VII. ATTACHED DOCUMENTS

1. The decision of the competent authority to approve the offering plan;

2. The bank's written confirmation of the escrow account opening;

3. ………….

What is report on results of the sale of convertible bonds/bonds with individual warrants in the domestic market of a public company, a securities company or a fund management company in Vietnam?

According to Appendix 3 issued together with Decree 153/2020/ND-CP, there are the following provisions:

REPORT ON THE RESULTS OF OFFERING CONVERT BONDS / PRIVATE WARRANTY BONDS

Bond: ………….…… (bond code)

To: State Securities Commission.

I. ABOUT THE SMALL ISSUANCE BUSINESS

1. Name of issuer (full): ……………………………………………………

2. Head office address: ……………………………………………………..

3. Phone: ……………… Fax: …………………….. Website: ……………………

4. Charter capital: ……………………………………………………….……VND.

5. Stock code (if any): ………………………………………………………………………………………….

6. Place of opening payment account: …………………… Account number: ……………………..

7. Certificate of business registration with enterprise code....issued by the Department of Planning and Investment... for the first time on ……, issued for the second time.... dated .... ( state the most recent change) .

- Main business sectors: ……………………….…………. Industry code: …….......…………

- Main products/services: …………………………………………………….. …………………….

8. License for establishment and operation (if any in accordance with specialized laws): ………………………………………………………………………………………………

II. BONDS PRIVATE SALE

1. Bond name: ………………………………………………………………………………………………

2. Type of bond: ………………………………………………………………………………………………

3. Number of bonds registered for sale: …………………………………………………….. bonds

4. Bond par value: ……………………VND

5. Expected selling price: ………….VND/bond

6. Bond term: ………….year

7. Interest rate: …………./year.

8. Interest payment period: ………………………………………………………………………………………………

9. Restricted transfer period: ……………………………………………………………………………………………….

10. Terms related to bond conversion (in case of offering convertible bonds):

- Condition: ………………………………………………………………………………………………

- Conversion period: ………………………………………………………………………………………………

- Conversion rate and conversion price calculation method: …………………………………………………….

- Other terms (if any): ……………….……………………..

11. Terms of warrants attached to bonds (in case of issuing bonds with warrants):

- Time to exercise the right: ……………………………………………………………………………………………….

- Percentage of exercising the right: …………………………………………………….

- Price of shares issued: …………………………………………………….

12. Release date: ………………………………………………………………………………………………

13. Starting date of the offering: ………………………………………………………………………………………………

14. Closing date of the offering: …………………………………………………………………………………………

15. Time limit for purchase registration: from …….. to ……………………..

16. Date of payment for bond purchase: ………………………………………………………..

17. End date of bond transfer: …………………………………………………….

III. RESULTS OF OFFERING CONVERT BONDS/PRIVATE WARRANTY BONDS

1. Total number of distributed bonds: …….., accounting for....% of the total number of bonds allowed to be offered for sale.

2. Total proceeds from the sale of bonds: ……………..VND (certified by the bank where the blocked account is opened to receive money to buy bonds attached).

3. Total cost: ………………………………………………………………………………………………. copper.

- Issuance guarantee fee: ……………………………………………………………………………………………….

- Bond distribution fee: ……………………………………………………………………………………………….

- Audit fees: …………………………………..……………………………………………………….

- Other expenses (if any) ………………………………………………………………………………………….

4. Total net income from the offering: ……………………………………………………………………………………………… dong

IV. LIST OF INVESTORS PARTICIPATING IN BUYING CONVERT BONDS/PRIVATE WARRANTY BONDS

(State the reason for the change of investors participating in buying bonds in case the list of investors participating in buying bonds changes compared to the list registered with the State Securities Commission)

V. CAPITAL STRUCTURE OF ISSUANCE ORGANIZATION AFTER OFFERING

Unit: 1,000 VND

In which, the total value of bonds held by foreigners after the offering: .... Vietnam dong, accounting for: .... % of the total value of outstanding bonds.

VI. DOCUMENTS SUBMITTED

1. Confirmation of the bank where the escrow account is opened about the proceeds from the offering;

2. Decision of the Board of Directors on the distribution of bonds (if any);

3. ………….

What is sample report on results of an international bond offering by a public company, a securities company or a fund management company in Vietnam? 

Pursuant to Appendix 4 issued together with Decree 153/2020/ND-CP has the following provisions:

REPORT ON INTERNATIONAL MARKET OFFERING RESULTS

To: State Securities Commission.

I. ABOUT THE SMALL ISSUANCE BUSINESS

1. Name of issuer (full): ……………………………………………………

2. Head office address: ……………………………………………………..

3. Phone: ……………… Fax: …………………….. Website: ……………………

4. Charter capital: ……………………………………………………….……VND.

5. Stock code (if any): ………………………………………………………………………………………….

6. Place of opening payment account: …………………… Account number: ……………………..

7. Certificate of business registration with enterprise code....issued by the Department of Planning and Investment... for the first time on ……, issued for the second time.... dated .... ( state the most recent change) .

- Main business sectors: ……………………….…………. Industry code: …….......…………

- Main products/services: …………………………………………………….. …………………….

8. License for establishment and operation (if any according to specialized laws): ……………………………………………………………………………………………… …………………….

II. POTENTIAL BONDS FOR SALE

1. Bond name: ………………………………………………………………………………………………

2. Type of bond: ………………………………………………………………………………………………

3. Number of bonds registered for sale: …………………………………………………….. bonds

4. Bond par value: ……………………VND

5. Expected selling price: ………….VND/bond

6. Bond term: ………….year

7. Interest rate: …………./year.

8. Interest payment period: ………………………………………………………………………………………………

9. Issuing market: ………………………………………………………..

10. Purpose of release: ………………………………………………………..

11. Closing date of collection of stock purchase: ..................................................................................

12. Expected transaction date: …………………………………………………….

III. RESULTS OF BOND SALE

1. Number of bonds distributed: …………………………………………………….. ……………………..

2. Issuing price: ……………………………………………………..…………………….

IV. ATTACHED DOCUMENTS (if any)

Best Regards!