Events in Securities that the Depository Center is Required to Announce

To be specific: the following events include:

- Information on the issuance, revocation, adjustment of Depository Member Certificates, Branch Depository Member Certificates, clearing members;- Information on the issuance of initial securities registration certificates and adjustment of securities registration certificates, issuance of additional securities registration certificates; information on the cancellation of securities registration;- Information on the reservation of domestic securities codes;- Information on the issuance and cancellation of transaction codes for foreign investors;- Information on the execution of rights of securities registered at the Securities Depository Center;- Information on cases of off-exchange transfer approved by the State Securities Commission;- Information on the forms of sanctioning violations against depository members, clearing members from reprimand and above;- Information on clearing members unable to make payments, information on the temporary suspension, suspension, and termination of clearing member status;- Information on the handling of cases of payment incapability applying payment guarantee measures and risk prevention mechanisms;- Information on the force majeure incidents of the clearing payment system;- Information on the ownership ratio of foreign investors in public companies, listing organizations, and trading registration organizations; information on the number of shares that foreign investors are allowed to purchase in public companies, listing organizations, and trading registration organizations;- Disclosure of information upon the request of the State Securities Commission.

For details refer to Circular 155/2015/TT-BTC which takes effect from January 1, 2016.

>> CLICK HERE TO READ THIS ARTICLE IN VIETNAMESE