03 methods for securities transaction supervision by the State Securities Commission of Vietnam

15:00, 21/11/2020

This is the main content stipulated in the Circular No. 95/2020/TT-BTC on guidance on supervision of securities transactions on the securities market, issued by the Minister of Finance of Vietnam on November 16, 2020.

Circular No. 95/2020/TT-BTC: Regulations on rights and obligations of Vietnam Exchange / 5 contents of supervision by the State Securities Commission of Vietnam / Responsibilities and entitlements of the State Securities Commission of Vietnam

giám sát giao dịch chứng khoán, Thông tư 95/2020/TT-BTC

According to Article 6 of the Circular No. 95/2020/TT-BTC of the Ministry of Finance of Vietnam, methods for securities transaction supervision by the State Securities Commission (SSC) are as follows:

1. Supervision according to information from the following sources:

- Supervision reports submitted by Vietnam Exchange (VNX) and its subsidiary companies, Vietnam Securities Depository and Clearing Corporation (VSDCC) and its members;

- Reports submitted by listed and registered public companies;

- Information provided by organizations and individuals participating in the securities market;

- Information on the media and securities-related rumors;

- Other sources of information.

2. Pursuant to the reports and information mentioned in section 1, transaction data of VNX, its subsidiary companies and VSDCC, SSC shall analyze the transactions that are suspected of violating regulations of law on securities and the securities market.

3. Carry out ad hoc inspections of supervised entities through discovery of suspicious transactions reported by VNX, its subsidiary companies, trading members, VSDCC, its members, organizations and individuals that participate in transactions and provide securities transaction-related services.

View more details at the Circular No. 95/2020/TT-BTC of the Ministry of Finance of Vietnam, effective from January 01, 2021.

Thuy Tram

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