Reporting Regime of the Stock Exchanges and the Securities Depository Center

To be specific: according to the guidance outlined in Article 9 of Circular 116/2017/TT-BTC, the reporting policies of the Stock Exchange (SGDCK) and the Vietnam Securities Depository (TTLKCK) are stipulated as follows:

1. Periodic Reports

- The Stock Exchange and the Vietnam Securities Depository are responsible for reporting to the State Securities Commission of Vietnam (UBCKNN) the results of compliance monitoring on a monthly basis according to the contents specified in Appendix I and Appendix II issued together with Circular 116/2017/TT-BTC within the first 10 working days of the following month;- The Stock Exchange and the Vietnam Securities Depository are responsible for reporting to the State Securities Commission of Vietnam the results of annual compliance monitoring according to the contents specified in Appendix III and Appendix IV issued together with Circular 116/2017/TT-BTC, which includes an evaluation of compliance with legal regulations and related rules in implementing professional activities as specified in Chapter II and Chapter III of Circular 116/2017/TT-BTC, as well as recommendations and proposals (if any) within the first 20 working days of the following year.

2. Ad-hoc Reports

The Stock Exchange and the Vietnam Securities Depository have the responsibility to report to the State Securities Commission of Vietnam when the following events occur:

- Warning, control, and suspension of trading of listed and registered securities on the Stock Exchange;- Temporary suspension of depository activities, clearing, and settlement of securities transactions; revocation of depository member and clearing member certificates of the Vietnam Securities Depository;- Violations by listed organizations, registered trading organizations, trading members, special trading members of the Stock Exchange, depository members, and clearing members of the Vietnam Securities Depository, under the jurisdiction of the State Securities Commission of Vietnam;- Complaints related to depository members, clearing members of the Vietnam Securities Depository, trading members, special trading members of the Stock Exchange, professional activities of the Stock Exchange and Vietnam Securities Depository, under the jurisdiction of the State Securities Commission of Vietnam.

The Stock Exchange and the Vietnam Securities Depository are responsible for reporting to the State Securities Commission of Vietnam within 24 hours from the occurrence of the events specified in points a and b, clause 2 of this Article; for the contents specified in points c and d, clause 2 of Article 9 of Circular 116/2017/TT-BTC, the Stock Exchange and the Vietnam Securities Depository are responsible for reporting to the State Securities Commission of Vietnam within 72 hours from the occurrence of the events.

For ad-hoc monitoring reports submitted to the State Securities Commission of Vietnam, as stipulated in clause 2 of this Article, the Stock Exchange and Vietnam Securities Depository must clearly state their evaluation opinions and propose handling solutions for each case, attaching all relevant documents.

3. Reports upon Request

The Stock Exchange and the Vietnam Securities Depository are responsible for submitting reports according to the exact content and timeline upon receiving a written request from the State Securities Commission of Vietnam related to compliance monitoring.

Note: The periodic, ad-hoc, and requested reports stated above are to be presented in both written form and electronic data files. The Stock Exchange and the Vietnam Securities Depository are responsible for retaining the reported information to the State Securities Commission of Vietnam according to the legal regulations.

See more details at: Circular 116/2017/TT-BTC which takes effect from December 8, 2017.

- Nguyen Trinh -

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