Supervising professional activities for Ho Chi Minh Stock Exchange

Bao Ngoc

09:22, 14/02/2022

The Ministry of Finance issues Circular 6/2022/TT-BTC guiding the compliance supervision of the State Securities Commission with respect to activities in the securities sector of the Vietnam Stock Exchange and companies. subsidiary, Vietnam Securities Depository and Clearing Corporation.

Accordingly, the State Securities Commission supervises the compliance with the law on securities and securities market with the Ho Chi Minh Stock Exchange on the following professional activities:

- Organize and operate the securities trading market in accordance with the law and within the assigned scope.

- Supervising securities trading activities; supervise information disclosure activities; supervise the observance of obligations of members of the Vietnam Stock Exchange according to regulations.

- Warn, control and restrict securities trading in accordance with the law and regulations of the Vietnam Stock Exchange.

- Approve, change; delisting, registering for securities trading and supervising the maintenance of securities listing conditions of listed organizations.

- Check and handle violations according to regulations...

- Providing auction and bidding services; services on market information and information related to trading securities; technology infrastructure development services...

- Organize and implement compliance control activities for securities operations.

See details in Circular 6/2022/TT-BTC effective from March 24, 2022; replace Circular 116/2017/TT-BTC and Circular 35/2019/TT-BTC .

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