Stock Exchanges and Securities Depository Center Apply New Periodic Report Form from December 08

13:47, 11/07/2024

The Ministry of Finance issues Circular 116/2017/TT-BTC providing guidelines for the State Securities Commission (SSC) on compliance supervision concerning securities activities of the Stock Exchange (SE), and the Vietnam Securities Depository (VSD).

from December 08, 2017:

- The Stock Exchange and the Securities Depository Center are responsible for reporting to the State Securities Commission on the results of periodic monthly compliance monitoring according to the report templates in Appendix I and Appendix II of Circular 116, replacing the report templates stipulated in Circular 193/2013/TT-BTC previously.- For annual periodic reports, the Stock Exchange and the Securities Depository Center shall report according to the content stipulated in Appendix III, Appendix IV of Circular 116 (previously no template was stipulated).

According to regulations, the above-mentioned periodic reports shall be in the form of written documents and electronic data files. The Stock Exchange and the Securities Depository Center are responsible for storing the information reported to the State Securities Commission according to legal regulations.

See detailed report templates in the attached Appendices of Circular 116/2017/TT-BTC, replacing Circular 193/2013/TT-BTC.

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