Vietnam’s new regulations on weekly securities surveillance reports

According to Clause 2 Article 1 of Circular No. 35/2019/TT-BTC of the Ministry of Finance of Vietnam, which amends and supplements Clause 1 Article 13 of Circular No. 115/2017/TT-BTC on reports on periodic supervision, within 02 first business days of the following week, the Stock Exchange shall submit reports on supervision of weekly transactions, including:

- Order book, results of daily securities transactions; periodically published information in the trading day as regulated in Clause 2 Article 33 of Circular No. 115/2017/TT-BTC providing for information disclosure on securities market, using the form No. 01 provided in the Appendix I enclosed herewith, except information relating to the open interest of derivatives;

- Results of supervision of weekly securities transactions and information relating to weights of component stocks in the Basket for the purposes of consolidation and evaluation of market development according to form No. 02 provided in the Appendix I enclosed with Circular No. 35/2019/TT-BTC.

Reports shall be made in writing and electronic form. Order book, results of daily securities transactions, periodically published information in the trading day, however, is only sent in electronic form. The said reports are sent in electronic form if both SSC and the Stock Exchange (SE) apply a digital signature program. SE must keep reports as per the law.

Relevant provisions can be found in Circular No. 35/2019/TT-BTC of the Ministry of Finance of Vietnam, which takes effect from August 01, 2019.

Thu Ba

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