Thông tư 35/2019/TT-BTC sửa đổi Thông tư 115/2017 giám sát giao dịch chứng khoán

CIRCULAR

On amending and supplementing a number of Articles of the Circular No. 115/2017/TT-BTC dated October 25, 2017 of the Ministry of Finance on guiding the surveillance of securities trading on the securities market and the Circular No. 116/2017/TT-BTC dated October 25, 2017 guiding the compliance surveillance of the State Securities Commission in securities market of the Stock Exchanges and Vietnam Securities Depository
 

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

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

Pursuant to the 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 Decree No. 60/2015/ND-CP dated June 26, 2015 of the Government amending and supplementing a number of articles of the 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 Decree No. 45/2015/ND-CP dated May 06, 2015 of the Government on topographic and cartographic activities;

Pursuant to the Decree No. 87/2017/ND-CP dated July 26, 2017 of the Government on defining the functions, tasks, powers and organizational structure of the Ministry of Finance;

At the proposal of the President of the State Securities Commission;

The Minister of Finance issues the Circular on amending and supplementing a number of Articles of the Circular No. 115/2017/TT-BTC dated October 25, 2017 of the Ministry of Finance on guiding the surveillance of securities trading on the securities market and the Circular No. 116/2017/TT-BTC dated October 25, 2017 guiding the compliance surveillance of the State Securities Commission in securities market of the Stock Exchanges and Vietnam Securities Depository,

Article 1. To amend and supplement a number of Articles of the Circular No. 115/2017/TT-BTC dated October 25, 2017 of the Ministry of Finance on guiding the surveillance of securities trading on the securities market, as follows:

1. To amend the Clause 11, Article 4 as follows:

“11. To report on securities trading surveillance results upon request to the Ministry of Finance.”

2. To amend and supplement Clause 1, Article 13 as follows:

“1. Within the first 2 working days of every week, an SE shall send to the SSC its weekly trading surveillance report for the previous week, including:

a/ Book of trading orders, results of securities trading within a day; and regular information within a trading day as specified in Clause 2, Article 33 of the Ministry of Finance’s Circular No. 155/2015/TT-BTC of October 6, 2015, guiding the information disclosure on the securities market (below referred to as Circular No. 155/2015/TT-BTC), which must be made according to Form No. 01 provided in Appendix I to this Circular, except from the information relating to each derivative trading (OI);

b/ Results of securities trading surveillance in the previous week, and the report of component shares proportion in the index basket shall be  made according to Form No. 02 in Appendix I to this Circular.”

3. To replace the Form 02 for the Form 02 in Appendix 1 issued with the Circular No. 115/2017/TT-BTC dated October 6, 2015, guiding the information disclosure on the securities market.

4. To amend and supplement Article 21 as follow:

“Article 21. Regular surveillance reports

1. At the latest of 16:30 of the working day, the VSD shall send to the SSC information on amount of late opening derivatives trading.

2. Within the first 10 working days of every month, the VSD shall send to the SSC its monthly surveillance reports for the previous month, including:

- Report on handling of violations of clearing members (made according to Form No. 06 in Appendix II);

- Report on assistance for insolvent clearing members (made according to Form No. 07 in Appendix II).

3. Reports specified in this Article shall be delivered as follow:

- Information on amount of late opening derivatives trading prescribed in Clause 1 shall be send in the form of electronic data file.

 - Periodic reports prescribed in Clause 2 of this Article shall be made in both written form and electronic data file (apply the electronic signing program).”

Article 2. To amend and supplement a number of the Circular No. 116/2017/TT-BTC dated October 25, 2017 of the Minister of Finance on guiding the State Securities Commission surveillance for activities of Stock Exchanges and Vietnam Security Depository as follow:

1. To amend Article 10 as follow:

“Article 10. SSC reports

At the proposal of the Ministry of Finance, the SSC shall report for this Ministry the result of compliance surveillance according to regulations in Chapter II and Chapter III of this Circular.”

2. To supplement the line of “Other cases” in to Table No. 4.2 on handling of transfer of ownership of securities outside the trading system of the Stock Exchange in Appendix II attached to the Circular No. 116/2017/TT-BTC.

3. To supplement No. 9 column of “Total number of incomplete dossiers in report period” into the Table No. 4.3 on handling rights dossier in Appendix II attached to the Circular No. 116/2017/TT-BTC.”

Article 3. Effect

1. This Circular takes effect on August 01, 2019.

2. Any problems arising in the course of implementation should be promptly reported to the Ministry of Finance for consideration and settlement.

For the Minister

The Deputy Minister

Huynh Quang Hai

APPENDIX 01

FORM NO. 02 WEEKLY REPORT

(Attached to the Circular No. 35/2019/TT-BTC dated June 12, 2019 of the Minister of Finance)

WEEK NO…/20…   SURVEILANCE REPORT

1. Report of stock exchange surveillance …. /20…

Note:

- Sign of unusual exchange: according to the Surveillance of unusual exchange system issued by the Stock Exchange.

2. Report of component shares proportion in the index basket

- This report is made and summit weekly.