Amendment of fines for violations of regulations on management of listing and registration of transactions

Decree No. 128/2021/ND-CP amending Decree No. 156/2020/ND-CP on sanctioning of administrative violations in the field of securities and securities market amending and supplementing the fine levels related to Regulations on management of listing and registration of transactions of the Stock Exchange of Vietnam and a subsidiary of the Stock Exchange of Vietnam.

Conditions for the establishment of a domestic transaction office of a securities company

The conditions for establishing a domestic transaction office of a securities company are specified in Article 191, Decree No. 155/2020/ND-CP dated December 31, 2020, of the Government detailing the implementation of some articles of the Securities Law.

The State Securities Commission has implemented a series of videos introducing the main content of the Decrees guiding the implementation of the Securities Law 2019.

From January 1, 2021, a new system of legal documents on securities, including Law on Securities No. 54 - or Law on Securities 2019 and decrees and circulars guiding the implementation, has come into effect. With many regulations and many new and progressive points...

Expected amendments to securities management and supervision fees.

The Ministry of Finance is taking comments from the people with the draft Circular stipulating the level of collection, mode of collection, payment, management, and use of fees in the field of securities, replacing circular No. 272/2016/TT-BTC (November 14, 2016, of the Ministry of Finance). A draft additional collection of supervision fees for derivative securities and warrants; supplementing regulations on collection of fees for supervision of securities activities for payment banks.

New regulations on service prices in the securities sector apply at service-providing organizations.

The Ministry of Finance issued Circular No. 102/2021/TT-BTC dated November 17, 2021 regulating the price of services in the field of securities applicable to service providers in the field of securities participating in the Vietnamese stock market.

Regulations on buying corporate bonds are tightened.

The State Bank of Vietnam has just issued Circular No. 16/2021/TT-NHNN regulating the purchase and sale of corporate bonds by credit institutions and foreign bank branches.