Guidelines on the Disclosure of Extraordinary Information regarding Public Funds

To be specific: these are the following events:

- Issuance of the Certificate of Public Offering of Fund Certificates;- Issuance of the Certificate of Fund Establishment Registration, Decision to Amend the Certificate of Fund Establishment Registration;- Decision to change the charter capital of a closed-end fund;- Suspension, cancellation of the fund certificate offering; unsuccessful public fund offering;- Amendments and supplements to the Fund's Charter, Prospectus;- When there is a decision to prosecute, temporarily detain, or criminally charge an insider of the public fund;- When there are changes, new appointments, reappointments, or dismissals of an insider of the public fund;- Within 03 working days from the date of information disclosure about the changes, new appointments, reappointments, or dismissals of an insider of the public fund, the fund management company must send to the State Securities Commission and the Stock Exchange where the fund certificates are listed the Information Disclosure Form of the new insider according to Appendix No. 03 Circular 155;- Announcement of the registration date, the date of exercising rights for the investors of the fund;- Decision on merger, consolidation, division, separation, dissolution, extension of operation period, liquidation of assets of the public fund;- Incorrect valuation of the net asset value of the public fund;- Change of supervising bank, fund management company; change of fund founders, market makers (for ETFs);- Correction of discrepancies in the investment portfolio of the public fund;- Temporary suspension of swap transactions or the deviation from the reference index exceeds the permitted level (for ETFs);- In the cases specified at points a, d, g, p Clause 1 Article 9 of Circular 155.

Details can be found in Circular 155/2015/TT-BTC, effective from January 1, 2016.

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