Content of Supervisory Activities on the Operations of the Stock Exchange

The State Securities Commission of Vietnam (SSC) shall supervise compliance with securities laws and stock market regulations with respect to the Stock Exchange (SGDCK) on the following professional activities:

1. Organizing the stock trading market:

- Organizing the personnel, operating the system of stock trading markets; providing information and trading data; developing and managing market indices and other related activities;- Organizing trading activities in stock trading markets; implementing measures for temporary suspension, suspension, or cancellation of stock trading.

2. Organizing stock trading supervision: supervising trading activities in stock trading markets of trading members, special trading members, derivatives trading members, and entities participating in the securities market.

3. Organizing stock auctions and bidding.

4. Managing the listing and registration of stock trading: approving, canceling the listing, and registering stock trading; supervising the maintenance of listing conditions and stock trading registration; supervising controlled securities, warning and temporarily suspending trading; handling violations of listed companies, and entities registered for trading according to legal regulations and SGDCK’s rules.

5. Managing trading members, special trading members: approving, canceling the status of trading members, special trading members; issuing and revoking trading representative cards; supervising maintenance of the status of trading members, special trading members; supervising activities of SGDCK with respect to trading members, special trading members in compliance with securities laws and SGDCK's regulations; handling violations of trading members, special trading members according to legal regulations and SGDCK’s rules.

6. Reporting, information disclosure, and supervision of information disclosure activities: fulfillment of SGDCK’s reporting obligations and information disclosure requirements in the securities market according to regulations; providing market information and related information on listed securities, trading registration by SGDCK; supervising SGDCK's activities regarding the fulfillment of reporting obligations and information disclosure by entities with listed securities, trading registration, trading members, special trading members, warrant issuing organizations, and organizations, individuals trading in the securities market organized by SGDCK.

7. SGDCK’s mediation activities for disputes related to stock trading activities.

8. Internal control activities of SGDCK related to securities and stock market activities.

9. Implementing and evaluating the execution of legal documents, rules, procedures, and regulations governing professional activities issued by SGDCK.

10. Archiving and securing records, documents, and original data related to professional activities.

11. Other activities of SGDCK related to securities and the stock market.

See more related content at: Circular 116/2017/TT-BTC issued on October 25, 2017, and effective from December 08, 2017.

- Nguyen Trinh -

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