Information about securities transactions to be disclosed by Stock Exchange (SE) in Vietnam

Information about securities transactions to be disclosed by Stock Exchange (SE) in Vietnam (Internet image) 

1. Information about securities transactions to be disclosed by SE in Vietnam

Information about securities transactions to be disclosed by SE in Vietnam according to Article 37 of Circular 96/2020/TT-BTC is as follows:

* Information during trading hours

- Types of securities to be traded;

- Preference price, ceiling price, floor price, opening price and closing price of each trading day, exercise price and volume of latest trading, estimated price (in case of periodic trading-order matching), highest trading price and lowest trading price of trading session, rates and signs of price fluctuation of each type of securities, average price of securities (regarding Upcom market);

- Three best bid prices and selling prices of each type of securities, and corresponding volume of securities to be purchased or sold;

- Information about trading in bonds sorted by term to maturity, including: Transaction terms, yield, volume and value of the latest transaction, yield fluctuation of the latest transaction compared to the previous transaction;

- Securities transactions of foreign investors.

* Information at the end of trading day

- Status of types of securities; open interests of each type of derivatives;

- Types of securities to be traded during the day;

- Securities price indexes developed by SE and approved by SSC; rates and index fluctuation compared to the previous trading day;

- Fluctuation in prices of shares in the trading day;

- The number of buy/sell orders and corresponding quantity and value of each type of securities;

- Total trading volume of the entire market (according to order matching round and trading day);

- Prices, volume and transaction value of each type of securities:

+ Order matching (according to each order matching round and trading day of periodic order matching, and trading day of continuous order matching);

+ Agreement (if any): time and type of information about transactions disclosed according to regulations of SE;

+ Share repurchase and sale of treasury stocks by listed organizations/registered organizations (if any).

- Holdings of shares by foreign investors and purchase limits of each type of securities;

- Trading information (price, volume, trading density, rates of fluctuation in prices and trading volume) about 10 shares with highest trading volume and 10 shares with highest price fluctuation compared to the latest trading day;

- Trading information (price, volume, trading density, rates of fluctuation in prices and trading volume) about 10 shares with highest listing value and 10 shares with highest market values;

- Trading information (price, volume, trading density, rates of fluctuation in prices and trading volume) about bonds, including type of bonds, interest rates, maturity date, exercise price, current yield and yield to maturity;

-Number of voting shares of listed/registered shares;

- Disclosure of information at the request of SSC.

* Disclosure of information when making listing, changing securities contract form, delisting of derivatives:

- Information about the form-based contract must be disclosed at least 30 days before the date of initial listing of derivatives;

- Information must be disclosed at least 07 working days before application of changes in terms and conditions of the form-based contract for listed derivatives;

- Information must be disclosed within 24 hours from the delisting of derivatives due to delisting of underlying assets.

2. Regulations on information about supervision of securities market and derivatives market, and information about operation of SE in Vietnam

Regulations on information about supervision of securities market and derivatives market, and information about operation of SE in Vietnam according to Article 39 of Circular 96/2020/TT-BTC are as follows:

- Information about supervision of securities market and derivatives market:

+ Information about suspension of trading in listed, registered securities and listed derivatives and termination of such suspension;

+ Information about securities put under alert, control or special control or released from such alert, control or special control;

+ Information about transactions conducted by majority shareholders, founding shareholders during transfer restriction period, internal actors and their affiliated persons, tender offers, share repurchase and sale of treasury stocks of listed/registered organizations;

+ Information about violations against information disclosure regulations committed by listed organizations, registered organizations, trading members, special trading members and market makers;

+ Information about actions against violations against regulations on operations on securities market according to SE’s regulations;

+ Information about changes in price fluctuation, application and changes in order limits;

+ Guidelines and notifications of SSC, SE on management and supervision of securities market according to regulations of SSC and SE.

- SE must disclose information according to Clause 1 of Article 39 of Circular 96/2020/TT-BTC within 24 hours from the occurrence of the event or from the receipt of reports, notifications, adequate and valid information disclosure dossiers from listed organizations, registered organizations, member securities companies and relevant organizations and individuals.

- Information about operation of SE

Within 03 working days from the day on which it becomes or no longer is a member of an international organization on securities market, enters in to an action program or international commitment on securities market development, SE shall disclose information about these activities.

- SE shall disclose other information according to the Law on enterprises and the Law on management and use of state funds invested in enterprises.

>> CLICK HERE TO READ THIS ARTICLE IN VIETNAMESE