Procedures for securities trading registration of companies having securities registered at the Vietnam Securities Depository

09:03, 10/12/2015

According to Vietnam’s regulations, public companies having securities registered at the Vietnam Securities Depository must register securities trading according to the following procedures:

1. Place to submit application: Stock Exchange of Hanoi (the HNX)

2. Forms of submission: Directly or by post

3. Application for securities trading registration: The documents shall be made in 1 set of original copies enclosed with 1 set of electronic data (if any)

- An application form for securities trading registration using the form prescribed;

- A summary of the company using the form prescribed;

- An annual financial statement preceding the year of trading registration that is audited as prescribed and a capital audit report (in case of capital increase in the year of trading registration);

- A copy of the Certificate of Securities Registration issued by the Vietnam Securities Depository (VSD) and a copy of the Notification of registration of the deadline for the list of shareholders to register for trading.

4. Processing sequence:

Within 5 working days from the date on which the satisfactory application is received, the HNX shall issue a Decision on approval for trading registration and conduct the information disclosure. If the application is rejected, they must provide explanation in writing.

More details can be found in Circular No. 180/2015/TT-BTC of the Ministry of Finance of Vietnam, which takes effect from January 01, 2016.

- Ngoc Duyen -

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