Chương 2 Nghị định 01/2010/NĐ-CP: Nhiệm vụ và quyền hạn của cơ quan nhà nước có thẩm quyền quản lý chào bán cổ phần riêng lẻ

Chapter II

TASKS AND POWERS OF STATE AGENCIES COMPETENT TO MANAGE PRIVATE PLACEMENT OF SHARES

Article 6. State agencies competent to manage private placement of shares

State agencies competent to manage private placement of shares (below collectively referred to as competent state agencies) include:

1. The State Bank of Vietnam, in case placing institutions are credit institutions;

2. The Ministry of Finance, in case placing institutions are share insurance businesses;

3. The State Securities Commission, in case placing institutions are joint-stock securities companies, joint-stock fund management companies and public companies (except public companies engaged in the credit or insurance domain);

4. Provincial-level Planning and Investment Departments and management boards of industrial parks, export processing zones, hi-tech parks and economic zones, in case placing institutions are joint-stock companies other than those defined in Clauses 1,2 and 3 of this Article.

Article 7. Tasks and powers of competent state agencies

1. To receive dossiers of registration for private placement of shares under this Decree and relevant laws.

In case of incomplete and invalid dossiers of registration for private placement of shares, competent state agencies shall, within 10 days after receiving these dossiers, request in writing placing institutions to supplement or modify their dossiers.

2. Within 15 days after receiving complete and valid registration dossiers, to notify such to registering institutions and publish on their websites lists of institutions registered for share placement under their management, made according to a set form provided in an appendix to this Decree (not printed herein).

In case placing institutions are enterprises engaged in conditional business lines, if relevant laws otherwise provide for, the order and procedures for receiving and processing dossiers must comply with these laws.

The order and procedures for receiving and processing dossiers for registration of private placement of shares shall be publicized at competent agencies.

3. No later than the 5* every month, to send to the Ministry of Finance (the State Securities Commission) written and electronic lists of institutions which registered for private placement of shares in the last month with complete and valid dossiers, made according to a set form provided in an appendix to this Decree (not printed herein).

4. No later than the 25lh every month, the Ministry of Finance (the State Securities Commission) shall sum up and publish a list of placing institutions of all economic sectors which registered in the last month, made according to a set form provided in an appendix to this Decree (not printed herein).

5. To supervise activities of private placement of shares and handle according to their competence violations of this Decree's provisions on private placement of shares.