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

1. Place to submit application: Vietnam Securities Depository (VSD)

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 for securities registration at the VSD as prescribed in law on registration, depository, clearing and payment of securities;

- An application form for securities trading registration;

- 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).

4. Processing sequence:

- Within 5 working days from the date on which the satisfactory application is received, the VSD shall issue a Certificate of Securities Registration to the issuer and send another Certificate of Securities Registration to the Stock Exchange of Hanoi (HNX).

- Within 5 working days from the date on which the satisfactory application and the Certificate of Securities Registration 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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