What are procedures for depositing securities with certificate of ownership of securities at Vietnam Securities Depository?

What are procedures for depositing securities with certificate of ownership of securities at Vietnam Securities Depository?

Pursuant to Point 3.1, Clause 3, Article 12 of the Regulation on Securities activities issued together with Decision 114/QD-VSD in 2021, stipulating the procedures for depositing securities with certification of ownership by certificates of securities ownership in Vietnam Securities Depository Center is as follows:

3.1. In case of deposit of securities with certification of ownership by Book/Certificate of securities ownership:

a. Dossier for deposit of securities sent to VSD includes:

(i). Deposit slip for trading securities of customers (Form 06A/LK or 06B/LK of this Regulation) in case the affiliate re-deposits securities of the investor opening an account at the broker; written authorization to conduct securities depository (if any);

(ii). Book/Certificate of securities ownership. The securities ownership book/Certificate must be intact, clear, and stamped by the issuer or an authorized agency in case of modification of information on the securities ownership book/certificate;

(iii). List of owners requesting for securities depository ( Form 07A/LK or 07B/LK of this Regulation) (02 copies) made by VSD.

b. In case there is a discrepancy in the date of issuance between the identification information of the investor or of the issuer due to the re-registration of VSD by the issuer and the investor's identification information updated by the VSD on the VSD's system, the TVLK sends enclosed with the deposit dossier, copies of papers showing identification information mentioned in Clauses 2 and 3, Article 7 of this Regulation.

What are procedures for depositing securities at request of the issuer at Vietnam Securities Depository?

According to Point 3.2, Clause 3, Article 12 of the Regulation on Securities activities issued together with Decision 114/QD-VSD in 2021, stipulating procedures for depositing securities at request of the issuer at Vietnam Securities Depository as follows:

3.2. In case of depositing securities at the request of the issuer:

a. VSD conducts securities depository upon request from the issuer to represent the shareholders requesting depository during the process of initial securities registration or additional registration at VSD or at the request of the shareholders. winter;

b. The Securities and Exchange Commission shall notify the investors of the fact that the Corporation represents the shareholders requesting the depository within 15 working days before the date of sending the depository documents/ securities registration documents at VSD. Form of announcement: announcement on the mass media, listing at the head office of the equitization and sending a letter to investors;

c. Investors wishing to deposit securities shall send to the issuing corporation the Notice of Depository Account and authorization to carry out procedures for securities depository ( Form 08/LK of this Regulation) enclosed with the Book/Certificate of securities ownership;

d. The depository bank is responsible for withdrawing the investor's securities ownership book/certificate and making a general list of the investor's depository account and sending it to each relevant depository to confirm the accuracy of the depository account signed by the investor opened at VSD, and at the same time committed not to issue the Book/Certificate of securities ownership to securities owners for depository;

d. The securities depository file of the TCH submitted to VSD includes:

(i). A document of the Joint Stock Company requesting VSD to deposit securities for shareholders and commit to withdrawing the Ownership Book/Certificate or not to issue the Securities Ownership Book/Certificate to the owners of real securities. currently deposited simultaneously ( Form 09/LK of this Regulation);

(ii). List of securities owners requesting depository according to each securities depository ( Form 10/LK of this Regulation) (02 copies) with a structure file in the format prescribed by VSD;

(iii). General list of depository accounts of investors, certified by the relevant affiliate where the investor opens the account ( Form 11/LK of this Regulation).

What are procedures for depositing debt instruments at Vietnam Securities Depository Center?

At Point 3.3, Clause 3, Article 12 of the Regulation on Securities activities issued together with Decision 114/QD-VSD in 2021, procedures for depositing debt instruments at Vietnam Securities Depository Center as follows:

3.3. In case of deposit of debt instruments:

a. Investors participating in the private placement, bidding or underwriting of debt instruments must register a depository account to deposit debt instruments with the bidding organization or debt instrument issuer. The debt instrument issuer is responsible for recording investors' depository accounts in the registration dossier submitted at VSD. Investors being insurance enterprises with foreign investors holding more than 50% of charter capital (hereinafter referred to as foreign-invested insurance enterprises) must certify with the bidding organization or issuers of debt instruments with capital used for investment from equity or premium sources;

b. After the debt instrument is approved for additional registration/registration at VSD, based on the depository account information in the debt instrument registration file and the issuing bank's document certifying that the investor has paid in full. When buying debt instruments, VSD automatically records the debt instruments into the accounts of the relevant VCB/TCM and sends the Confirmation of Depositing Securities ( Form 12/LK, Form 13/LK of this Regulation) to the VSD/direct account opening organization.

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