Quyết định 132/QĐ-UBCK của Ủy ban Chứng khoán Nhà nước về việc hướng dẫn trụ sở làm việc, cơ sở vật chất phục vụ hoạt động kinh doanh chứng khoán

THE MINISTRY OF FINANCE
THE STATE SECURITIES COMMISSION 

Decision No. 132/QD-UBCK dated March 06, 2013 of the State Securities Commission promulgating guidance on offices and facilities in security activities

Pursuant to the Law on Securities dated June 29, 2006;

Pursuant to the Law on amending and supplementing some Articles of Law on Securities dated November 24, 2010;

Pursuant to the Government s Decree No. 58/2012/ND-CP dated July 20, 2012 of the Government stipulating in detail and guiding the implementation of a number of articles of the securities Law and the law amending and supplementing a number of articles of securities Law;

Pursuant to the Decision No. 112/2009/QD-TTg dated September 11, 2009, of the Prime Minister defining the functions, tasks, powers and organizational structure of the State Securities Commission of the Ministry of Finance;

Pursuant to the Circular No. 210/2012/TT-BTC dated November 30, 2012 of the Ministry of Finance guidance on the establishment and operation of securities company;

At the proposal of Director of Securities business management Department,

DECIDES:

Article 1. Guidance on offices of securities companies

1. Head offices, branches, transaction offices (hereinafter called offices) of securities companies must be in Vietnam’s territory, at the defined addresses with number of room (if any), number of floors, name of building (for leasing office buildings), house number, name of street or name of commune (ward or township), district (district, town or provincial-level city), province (municipal cities).

2. The right to use offices of a securities company is at least one year, from the date when such securities company applies dossier for establishment and operation permits or dossier for location changes.

3. The minimum floor area of securities transaction at head office with professional activity on securities broker is 100m2.

Article 2. Guidance on material facilities of securities companies

1. Area, arrangement of offices:

1.1. Total area:

1.2. Arrangement of offices, divisions, transaction premises (according to the securities business operations in the request for permit or acceptance):

- Transaction floor;

- Securities Broker Department;

-  Securities Self-Business Department;

- Guarantee for Securities Issuance Guarantee Office;

- Securities Investment Advisory Department;

- Securities Depository Department;

2. Technical and material facilities to make securities business operations:

2.1. General material facilities:

a. Office equipment system;

b. Provision system;

c) Information and data storage system;

d. Confidential and security system.

2.2. Material facilities in service for securities broker activities:

a. Counters system; seats for investors;

b. System of information disclosure: projectors, projection screens; television sets; tables to stick information disclosure on, tables and checks, computers connected with internet servicing for investors in accessing information; cupboards, shelves containing documents of information disclosure; 

c. Server system: Servers, firewall, switch, router;

d. Storage system:  Warehouses, safes, tools, devices for saving and storage of data; file cabinet;

e. Order input and output system:  Telephones, equipment of sound recording, cameras; internet system; workstations to enter the orders;

f. Command transfer system:  Command transfer lines connecting with the Stock Exchanges and Stock Depository Centers; command lines connecting among head offices, branches and transaction offices;

g. Software system: Software of account management; transaction software; software of depository transaction management in case being allowed to perform depository transaction; software in service for depository activities.

2.3. Material facilities in service of securities self-business:

a. Servers system:

b. Command transfer system;

c. Software system;

d. Storage system.

3. Material facilities for securities business activities in branches, transaction offices of securities companies shall comply with authorization of securities companies.

Article 3.This Decision takes effect on the day of its signing.

Article 4.The Chief Officer, Director of Securities Business Management Department, general directors of the Ho Chi Minh Stock Exchange, the Hanoi Stock Exchange and the Vietnam Stock Depository Center, directors general (directors) of securities companies and relevant parties shall implement this Decision.

President of State Securities Commission

Vu Bang