Circular No. 128/2009/TT-BTC dated June 23, 2009, of the Ministry of Finance amending and supplementing the Regulation on organization and management of trading in securities of unlisted public companies at the Hanoi Securities Trading Center promulgated together with the Finance Minister’s Decision No. 108/2008/QD-BTC of November 20, 2008

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Circular No. 128/2009/TT-BTC dated June 23, 2009, of the Ministry of Finance amending and supplementing the Regulation on organization and management of trading in securities of unlisted public companies at the Hanoi Securities Trading Center promulgated together with the Finance Minister’s Decision No. 108/2008/QD-BTC of November 20, 2008
Issuing body: Ministry of FinanceEffective date:
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Official number:128/2009/TT-BTCSigner:Tran Xuan Ha
Type:CircularExpiry date:
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Issuing date:23/06/2009Effect status:
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Fields:Securities
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THE MINISTRY OF FINANCE

Circular No. 128/2009/TT-BTC of June 23, 2009, amending and supplementing the Regulation on organization and management of trading in securities of unlisted public companies at the Hanoi Securities Trading Center promulgated together with the Finance Minister’s Decision No. 108/2008/QD-BTC of November 20, 2008

Pursuant to Securities Law No. 70/2006/QH11 passed by the National Assembly on June 29, 2006;

Pursuant to the Government’s Decree No. 14/2007/ND-CP of January 19, 2007, detailing a number of articles of the Securities Law;

Pursuant to the Government’s Decree No. 118/2008/ND-CP of November 27, 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Finance;

The Ministry of Finance guides the amendment and supplementation of a number of provisions of the Regulation on organization and management of trading in securities of unlisted public companies at the Hanoi Securities Trading Center promulgated together with the Finance Minister’s Decision No. 108/2008/QD-BTC of November 20, 2008, as follow:

1. To amend and supplement Article 9 as follow:

Article 9. Securities registration and depository and trading registration

1. Public companies shall carry out procedures for securities registration and depository with the Securities Depository Center (SDC) under the guidance of the State Securities Commission (SSC).

2. The SDC shall specify procedures for registration, depository, clearing and payment of securities of unlisted public companies.

3. The Hanoi Securities Trading Center shall specify procedures for trading registration and trading deregistration”.

2. To add the following Article 16a on securities trading by members to Article 16:

Article 16a. Securities trading by members

A member that has registered to conduct dealing operation may purchase and sell stocks of the same type within a trading day in order to play its a role as a market maker. The SSC shall specify the implementation of this mechanism”.

3. This Circular takes effect on the date of its signing.

4. Any problems arising in the course of implementation should be promptly reported by concerned units to the Ministry of Finance for study and additional guidance.

For the Minister of Finance
Vice Minister
TRAN XUAN HA

 

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