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Nghị định 143/2021/NĐ-CP sửa đổi Nghị định 88/2019/NĐ-CP quy định về xử phạt vi phạm hành chính trong lĩnh vực tiền tệ và ngân hàng
| Số hiệu: | 143/2021/NĐ-CP | Loại văn bản: | Nghị định |
| Nơi ban hành: | Chính phủ | Người ký: | Lê Minh Khái |
| Ngày ban hành: | 31/12/2021 | Ngày hiệu lực: | 01/01/2022 |
| Ngày công báo: | 18/01/2022 | Số công báo: | Từ số 93 đến số 94 |
| Lĩnh vực: | Tiền tệ - Ngân hàng, Vi phạm hành chính | Tình trạng: | Còn hiệu lực |
TÓM TẮT VĂN BẢN
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Nghị định 143/2021/NĐ-CP (Bản Word)
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|
THE GOVERNMENT |
SOCIALIST REPUBLIC OF VIETNAM |
|
Hanoi, December 31, 2021 |
DECREE
AMENDMENTS TO DECREE NO. 88/2019/ND-CP DATED NOVEMBER 14, 2019 ON PENALTIES FOR ADMINISTRATIVE VIOLATIONS IN MONETARY AND BANKING SECTOR
Pursuant to the Law on Organization of the Government dated June 19, 2015; the Law on Amendments to the Law on Organization of the Government and the Law on Organization of the Local Government dated November 22, 2019;
Pursuant to the Law on Penalties for Administrative Violations dated June 20, 2012; the Law on Amendments to the Law on Penalties for Administrative Violations dated November 13, 2020;
Pursuant to the Law on the State Bank of Vietnam dated June 16, 2010;
Pursuant to the Law on Credit Institutions dated June 16, 2010; the Law on Amendments to the Law on Credit Institutions dated November 20, 2017;
Pursuant to the Law on Anti-money Laundering dated June 18, 2012;
Pursuant to the Law on Anti-terrorism dated June 12, 2013;
At the request of the Governor of the State Bank of Vietnam;
The Government promulgates the Decree on Amendments to Decree No. 88/2019/ND-CP dated November 14, 2019 on penalties for administrative violations in monetary and banking sector.
Article 1. Amendments to a number of Articles of Decree No. 88/2019/ND-CP dated November 14, 2019 of the Government on penalties for administrative violations in monetary and banking sector
1. Amendments to Point m Clause 2 Article 1 are as follows:
“m) Violations against regulations on anti-money laundering; anti-terrorism financing; combating of the financing and proliferation of weapons of mass destruction;”.
2. Article 2a is added after Article 2 as follows:
“Article 2a. Repetitive administrative violations
Organizations and individuals that repetitively conduct administrative violations shall receive penalties for each violation, except for repetitive administrative violations considered as aggravating circumstances prescribed in Article 5; Article 9; Article 10; Article 11; Article 12; Article 13; Article 14; Article 14a; Article 15; Article 16; Article 17; Article 18; Article 19; Article 20; Article 21; Article 22; Clauses 1, 3, 4, 5, 6, 7, 8 of Article 23; Clauses 1, 3, 4, 5, 6, 7, 8 of Article 24; Article 25; Article 26; Article 27; Article 28; Article 28a; Article 29; Article 30; Article 31; Article 32; Article 33; Clause 1 of Article 34; Article 35; Article 36; Article 37; Article 38; Article 39; Article 40; Article 41; Article 42; Article 43; Article 44; Article 44a; Article 45; Article 45a; Article 46; Article 47; Article 50; Article 51 of this Decree.”.
3. Article 2b is added after Article 2a as follows:
“Article 2b. The time when the violation ends
The time when the violation ends as the basis for determination of the prescriptive period regarding violations prescribed in Chapter II of this Article is as follows:
1. Regarding violations of regulations on the reception of deposits, credit extension, offer and acceptance of trusteeship, purchase of corporate bonds, and interbank operations prescribed in Point a Clause 2 Article 12; Point b Clause 3, Points a, b, dd, g Clause 5, Point b Clause 6, Clause 8 of Article 14; Point a Clause 1 Article 15; Clause 3, Points a, b, dd Clause 4 Article 16; Clause 5, Clause 6 Article 17 of this Decree, the time when the violation ends shall be the day parties fulfill their obligations according to the agreement or contract related to administrative violations.
2. Regarding violations of regulations on publishing and posting information and providing information, documents, and reports prescribed in Clause 1 Article 8; Point a Clause 1 Article 12; Point a Clause 1 Article 13; Point c Clause 1 Article 14; Point c Clause 4 Article 17; Point d Clause 2 Article 21; Points a, c Clause 3 Article 23; Point a Clause 3 Article 24; Point a Clause 1 Article 30; Point a Clause 1 Article 38; Points a, b, d Clause 1, Clause 2, Points a, b, c Clause 4, Clause 5, Clause 6 Article 47 of this Decree, the time when the violation ends shall be the day the violator publishes, posts, provides information, documents, reports, amends or supplements information, documents, and reports.
3. Regarding violations of regulations on registering, notifying, and implementing administrative procedures and sending and issuing internal regulations and plans prescribed in Article 7; Point b Clause 2 Article 8; Points d, dd, e, g Clause 3 Article 23; Point a Clause 2 Article 28; Points a, b, c Clause 3 Article 30; Point a Clause 1 Article 40 of this Decree, the time when the violation ends shall be the day the violator registers, notifies, implements administrative procedures, sends, issues, amends, supplements internal regulations or plans.
4. Regarding violations of regulations on prudential ratios, classification of assets, off-balance-sheet (OBS) items, creation and use of provisions for losses prescribed in Article 35; Points a, b, c Clause 1 Article 36 of this Decree, the time when the violation ends shall be the day the violator properly implements the prudential ratios, classification of assets, off-balance-sheet (OBS) items, creation and use of provisions for losses in accordance with regulations of the law.
5. Regarding violations of regulations on changes that must be approved in writing by the State Bank of Vietnam prescribed in Article 5 of this Decree, the time when the violation ends shall be the day the State Bank of Vietnam provides its written approval.".
4. Amendments to Clause 4 Article 3 are as follows:
a) Amendments to Point a Clause 4 are as follows:
“a) Enforced transfer of profits illegally obtained from the administrative violation to state budget; enforced return of fees wrongly collected to their payers; enforced return of the amount appropriated to the customers; enforced debt recovery; enforced recovery of improperly used funds; enforced recovery of credit extended beyond the credit extension limits; enforced return of erased or altered licenses;”;
b) Amendments to Points m, n Clause 4 are as follows:
“m) Prohibition of conclusion of merchant service agreements with other acquirers; prohibition of conclusion of paying agent agreements with other paying agent assignors;
n) Requesting competent authorities to consider revoking licenses, registration certificates of currency exchange agents, licenses to open and use offshore foreign-currency accounts, licenses for individual currency exchange counters, licenses for gold bullion trading, written approvals of provision of payment services that are not through customers’ checking accounts, and licenses for provision of payment intermediary services; dismissing or prohibiting violating entities and/or persons responsible for the violation from holding management and supervision positions at credit institutions or foreign bank branches; implementing other appropriate measures in accordance with the law against violating entities under the competence of credit institutions or foreign bank branches;”;
c) Points p, q are added after Point o of Clause 4 as follows:
“p) Enforced termination of operations of paying agents; enforced separation of checking accounts for operations of paying agents;
q) Enforced implementation of regulations on identifying, updating, and verifying identification information of customers; enforced issuance of internal regulations in accordance with the law; enforced implementation of regulations of the law on correspondent banking relationships, transactions related to new technologies, special supervision of some transactions, and assessment of risks.".
5. Article 3a is added after Article 3 as follows:
“Article 3a. Implementation of remedial measures
The implementation of remedial measures in the monetary and banking sector:
1. n) Regarding remedial measures that are: proposed revocation of licenses, registration certificates of currency exchange agents, licenses to open and use offshore foreign-currency accounts, licenses for individual currency exchange counters, licenses for gold bullion trading, written approvals of provision of payment services that are not through customers’ checking accounts, and licenses for provision of payment intermediary services
Within 3 working days from the date of issuance of the decision on penalties of administrative violations, the person who issues such a decision shall send a written request to a competent authority on consideration of applying the proposed remedial measure.
2. Regarding remedial measures that are: dismissal or prohibition of violating entities and/or persons responsible for the violation from holding management and supervision positions at credit institutions or foreign bank branches
Within 3 working days from the date of issuance of the decision on penalties of administrative violations, the person who issues such a decision shall send a written request to a competent authority on consideration of applying the proposed remedial measure.
3. Regarding the remedial measure which is return of erased or altered licenses: pursuant to the decision on penalties of administrative violations, the license holder shall return the erased or altered license to the licensing agency.".
6. Amendments to Clause 6, Clause 8 Article 4 are as follows:
a) Amendments to Clause 6 are as follows:
“6. A fine ranging from 400.000.000 VND to 500.000.000 VND for the following violations:
a) Operating without a license, except for cases prescribed in Point c Clause 8 Article 23, Clause 8 Article 24, and Clause 5 Article 27 of this Decree;
b) Violating regulations on using terms related to banking in accordance with regulations prescribed in Article 5 of the Law on Credit Institutions.";
b) Point d is added after Point c of Clause 8 as follows:
d) Enforced return of erased and altered licenses regarding violations prescribed in Point b Clause 3 of this Article.”.
7. Amendments to Clauses 2, 5, and 6 Article 5 are as follows:
a) Amendments to Point c Clause 2 are as follows:
“c) Establishing a domestic branch or transaction office; establishing a domestic representative office or administrative unit; establishing an overseas representative office or bank wholly owned by the credit institution; or commencing operations of a domestic branch, transaction office, or transaction post office.”;
b) Points c, d, dd are added after Point b Clause 5 as follows:
“c) Changing the management branch of a transaction office of a credit institution;
d) Voluntarily terminating operations of the branch or transaction office of a credit institution;
dd) Implementing specific banking operations.”;
c) Point dd is added after Point d Clause 6 as follows:
“dd) Providing non-cash payment services that are not through customers’ checking accounts.”.
8. Amendments to Clause 3 Article 10 are as follows:
“3. A fine ranging from 200.000.000 VND to 250.000.000 VND for the following violations:
a) Purchasing or holding shares of another credit institution against the requirements and limits announced by the State Bank of Vietnam;
b) Contributing capital and purchasing or receiving the transfer of shares of a credit institution against the regulations prescribed in Point c Clause 1 Article 54 of the Law on Credit Institutions.”.
9. Amendments to a number of Points and Clauses of Article 14 are as follows:
a) Points d, dd, e, g are added after Point c Clause 1 as follows:
“d) Failing to comply with regulations of the law on consumer loans of financial companies when receiving and handling complaints of customers;
dd) Failing to organize professional training for employees in accordance with regulations on consumer loans of financial companies;
e) Failing to comply with regulations on the maximum rate of consumer loans in accordance with regulations on consumer loans of financial companies;
g) Failing to issue an interest rate bracket of consumer loans for each period or an interest rate bracket of consumer loans with sufficient content as prescribed by the law on consumer loans of financial companies.”;
b) Amendments to Clause 2 are as follows:
“2. A fine ranging from 15.000.000 VND to 20.000.000 VND for the following violations:
a) Failing to inspect the use of borrowed funds and repayment by borrowers as prescribed by law;
b) Failing to comply with regulations on measures to urge and recover debts in accordance with regulations of the law on consumer loans of financial companies.”;
c) Amendments to Point b Clause 3 are as follows:
“b) Granting exemption or reduction of interest rates on credit extensions before promulgating internal regulations;”.
10. Article 14a is added after Article 14 as follows:
“Article 14a. Violations against regulations on service counselling point
A fine ranging from 20.000.000 VND to 40.000.000 VND for the following violations:
1. Failing to conclude contracts for opening points of service referral.
2. Failing to specifically prescribe responsibilities and entitlements of related parties and the contract validity period in the contract for opening points of service referral.
3. Performing operations of service counselling points outside the permitted scope in accordance with regulations of the law.".
11. Point dd is added after Point d Clause 4 Article 16 as follows:
“dd) Purchasing convertible bonds (by a foreign bank branch).”.
12. Amendments to a number of Points and Clauses of Article 17 are as follows:
a) Point d is added after Point c of Clause 1 as follows:
“d) Purchasing or selling financial instruments with inappropriate currencies in accordance with regulations of the law.”;
b) Point dd is added after Point d Clause 2 as follows:
“dd) Purchasing remaining promissory notes, bills, or certificates of deposits with remaining term to maturity against regulations of the law.";
c) Amendments to Clause 5 are as follows:
“5. A fine ranging from 80.000.000 VND to 120.000.000 VND for the following violations:
a) Purchasing or selling financial instruments banned from trading under forward contracts;
b) Purchasing or selling illegally issued financial instruments of financial companies or financial leasing companies.”.
13. Amendments to a number of Points and Clauses of Article 23 are as follows:
a) Amendments to Point g Clause 4 are as follows:
“g) Carrying out fund withdrawal or repayment of foreign debts; carrying out reimbursement or recovery of offshore loans; recovering guaranteed debts for non-residents; carrying out transfer of funds serving foreign investments in Vietnam or Vietnam’s outward investments against law regulations; except for when this violation is the consequence of violations prescribed in Point d Clause 4 of this Article;";
b) Points i is added after Point h of Clause 5 as follows:
“i) Failing to properly fulfill responsibilities of currency exchange agents as per the law in case the violation is repeated; acting as a currency exchange agents for two or more credit institutions against the regulations of the law in case the violation is repeated.";
c) Points c is added after Point b of Clause 6 as follows:
“c) Opening, closing, and using offshore foreign-currency accounts against the regulations of the law in case the violation is repeated.”;
d) Amendments to Clause 10 are as follows:
“10. Remedial measures:
Proposed revocation of the certificate of currency exchange agent, license to open and use an offshore foreign-currency account, or license for individual currency exchange counter if the violation prescribed in Point i Clause5 and Point c Clause 6 is committed.".
14. Amendments to Clause 6, Clause 10 Article 24 are as follows:
a) Amendments to Clause 6 are as follows:
“6. A fine ranging from 200.000.000 VND to 250.000.000 VND for the following violations:
a) Using imported gold materials against the license to import gold materials to produce gold jewelry and goldsmiths’ wares.
b) Trading gold bullion through authorized agents in case the violation is repeated;
b) Amendments to Clause 10 are as follows:
“10. Remedial measures:
Proposed revocation of the license for gold bullion trading if the violation prescribed in Point b Clause 6 of this Article is committed.”.
15. Amendments to a number of Points and Clauses of Article 26 are as follows:
a) Amendments to Point b Clause 2 are as follows:
“b) Failing to provide authentic information related to the use of payment services.”;
b) Amendments to Point a Clause 4 are as follows:
“a) Failing to provide authentic information related to the provision of payment services.”;
c) Amendments to Clause 5 are as follows:
“5. A fine ranging from 40.000.000 VND to 50.000.000 VND for the following violations:
a) Renting, leasing, borrowing, lending checking accounts or purchasing and selling information of 1 to less than 10 checking accounts, if not liable to criminal prosecution;
b) Forging receipts when providing or using payment services, if not liable to criminal prosecution.";
d) Amendments to Clause 6 are as follows:
“6. A fine ranging from 50.000.000 VND to 100.000.000 VND for the following violations:
a) Opening checking accounts for customers or allowing them to use checking accounts against regulations of the law while providing payment services;
b) Renting, leasing, borrowing, lending checking accounts or purchasing and selling information of checking accounts with a quantity of at least 10 checking accounts, if not liable to criminal prosecution;
c) Forging payment instruments or keeping, circulating, transferring, or using forged payment instruments, if not liable to criminal prosecution;
d) Issuing, providing, or using illegal payment instruments, if not liable to criminal prosecution;
dd) Operating against the approved content of the State Bank of Vietnam on the provision of payment services that are not through customers’ checking accounts.”;
dd) Amendments to Clause 7 are as follows:
“7. A fine ranging from 100.000.000 VND to 150.000.000 VND for the following violations:
a) Infiltrating or attempting to infiltrate or steal data, destroying or making illegal changes to software programs or database used in payment system; taking advantage of computer network errors for profiteering purposes, if not liable to criminal prosecution;
b) Opening or maintaining anonymous or impersonation checking accounts;
c) Performing, organizing, or facilitating the following acts: using or taking advantage of checking accounts, payment instruments, or payment services to gamble, organize gambling, rig, and conduct illegal business and other illegal acts;
d) Stealing or colluding to steal information of checking accounts, if not liable to criminal prosecution.";
e) Amendments to Clause 8 are as follows:
“8. A fine ranging from 150.000.000 VND to 200.000.000 VND for the following violations:
a) Violating regulations on cash payment;
b) Providing payment services when not licensed to be a provider of payment services.";
g) Amendments to Clause 10 are as follows:
“10. Remedial measures:
a) Enforced transfer of illegal profits obtained from the administrative violation prescribed in Clauses 1, 4, 5, 6, 7, and 8 of this Article to state budget;
b) Prohibition from expanding of the operating scope, scale and areas until remedial measures against the violation are completed regarding violations prescribed in Points a, c ,d Clause 6, Point c Clause 7, and Point a Clause 8 of this Article;
c) Proposed revocation of the written approval on provision of payment services that are not through customers’ checking accounts regarding violations prescribed in Point dd Clause 6 of this Article.”.
16. Amendments to a number of Points and Clauses of Article 27 are as follows:
a) Amendments to Point a Clause 1 are as follows:
“a) Failing to provide authentic information related to the provision or use of payment intermediary services;";
b) Amendments to Clause 2 are as follows:
“2. A fine ranging from 15.000.000 VND to 20.000.000 VND for the following violations:
a) Extending credits to e-wallet users, adding interests to an e-wallet balance, or performing any acts to increase the balance on an e-wallet compared to the amount of money deposited to e-wallet by the customer;
b) Violating regulations on deposit or withdrawal of money into or from e-wallet accounts.”;
c) Amendments to Clause 3 are as follows:
“3. A fine ranging from 20.000.000 VND to 30.000.000 VND for the following violations:
a) Providing or revealing information of customers, information on the balance of e-wallet accounts, and payment transactions of customers kept at payment intermediary service providers against regulations of the law;
b) Renting, leasing, borrowing, lending e-wallets or purchasing or selling information of 1 to less than 10 e-wallets;
c) Violating regulations on payment assurance accounts.”;
d) Amendments to Clause 4 are as follows:
“4. A fine ranging from 40.000.000 VND to 50.000.000 VND for the following violations:
a) Forging or falsifying documentary evidences of eligibility enclosed with the application for license to provide payment intermediary services, if not liable to criminal prosecution;
b) Illegally editing the content of the license to provide payment intermediary service; purchasing, selling, transferring, leasing, or lending the license provide payment intermediary services; entrusting or authorizing other entities to provide licensed payment intermediary services;
c) Operating against the license to provide payment intermediary services;
d) Renting, leasing, borrowing, lending e-wallets or purchasing or selling information of e-wallets with a quantity of 10 e-wallets or more;
dd) Forging receipts when providing payment intermediary services, if not liable to criminal prosecution;
e) Performing, organizing, or facilitating the following acts: using or taking advantage of payment intermediary services to gamble, organize gambling, rig, and conduct illegal business and other illegal acts;
g) Violating regulations on transaction limits of e-wallets;
h) Dishonestly reporting the balance and quantity of e-wallets as prescribed by law;
i) Opening or maintaining anonymous or impersonation e-wallet accounts;
k) Stealing or colluding to steal information of e-wallet accounts;
l) Providing support services (by intermediary payment service providers) of paying or collecting on behalf, e-wallet services, electronic payment portal services without any cooperation agreements or service provision contracts with banks or other organizations in accordance with the content of the License and regulations of the law;
m) Not requesting customers to link their e-wallets with their checking accounts or debit cards opened at associate banks before using e-wallets.”;
dd) Clause 4a is added after Clause 4 as follows:
“4a. A fine ranging from 50.000.000 VND to 60.000.000 VND for dishonestly reporting the balance and quantity of e-wallet accounts as prescribed by the law, if the violation is repeated.";
e) Amendments to Clause 6 are as follows:
“6. Additional penalties:
The exhibits and instrumentalities for committing the violation prescribed in Point dd Clause 4 of this Article shall be confiscated.
g) Amendments to Clause 7 are as follows:
“ a) Enforced transfer of illegal profits obtained from the administrative violation prescribed in Clause 2, Points b, c Clause 3, Clause 4, and Clause 5 of this Article to state budget;
b) Proposed revocation of the license to provide payment intermediary services regarding violations prescribed in Points a, b, c, e Clause 4; Clause 4a of this Article;
c) Enforced return of erased and altered licenses regarding violations prescribed in Point b Clause 4 of this Article.”.
17. Amendments to a number of Points and Clauses of Article 28 are as follows:
a) Amendments to Point d Clause 5 are as follows:
“d) Forming contracts to issue and use cards against regulations of the law.";
b) Amendments to Clause 6 are as follows:
“6. A fine ranging from 50.000.000 VND to 100.000.000 VND for the following violations:
a) Leasing, lending, purchasing, or selling cards or card information or opening cards on behalf of other persons (except anonymous prepaid cards) if the violation involves 10 cards or more but is not serious to cause the violating entity face criminal prosecution;
b) Issuing cards or processing card payment against law regulations;
c) Not rejecting card payment when the card is used for transactions prohibited by law; the card is lost as informed by the cardholder; the card is locked or expired; the card is used for purposes against the agreed scope prescribed in the contract or written agreement on the issuance and use of cards.";
c) Amendments to Clause 7 are as follows:
“7. A fine ranging from 100.000.000 VND to 150.000.000 VND for the following violations:
a) Using, organizing, or facilitating the use of anonymous prepaid cards on the internet, mobile applications, or in withdrawing cash;
b) Performing card switching services, compensating card transactions, finalizing card transactions against regulations of the law on operations of banking cards;
c) Transferring point-of-sale terminals or QR Codes to other users; accepting card payment without entering into a merchant service agreement; illegally using point-of-sale terminals or QR Codes;
d) Performing, organizing, or facilitating other persons in conducting fraud card transactions or fictitious transactions at merchants (no occurrence of any sale of goods and provision of services).
dd) Stealing or colluding to steal information of cards, if not liable to criminal prosecution.";
d) Amendments to Clause 9 are as follows:
“9. Remedial measures:
a) Enforced transfer of illegal profits obtained from the administrative violation prescribed in Points b, c Clause 5; Points a, c Clause 6, and Clause 7 of this Article to state budget;
b) Prohibition from concluding merchant service agreements with other acquirers until remedial measures against violation are completed if the violation prescribed in Point b Clause 5 and Points a, c, d Clause 7 of this Article is committed.".
18. Article 28a is added after Article 28 as follows:
“Article 28a. Violations against regulations on paying agents
1. A fine ranging from 5.000.000 VND to 10.000.000 VND for the following violations:
a) Failing to provide authentic information related to the provision or use of operations of paying agents;
b) Receiving, handling, and reviewing complaints of customers against regulations of the law;
c) Collecting fees or charges outside of the tariff prescribed and announced by the assignor
d) Not separating the checking account that is exclusive for operations of the paying agent as prescribed by law;
dd) Not publicizing the list of paying agents with concluded contracts on the website or application of the assignor.
2. A fine ranging from 40.000.000 VND to 50.000.000 VND for the following violations:
a) Taking advantage of the role of a paying agent to perform, organize, or facilitate other organizations or individuals to conduct fraudulent or forged transactions, appropriation of customers’ money, transactions for the purposes of money laundering, terrorism financing, financing of the proliferation of weapons of mass destruction, and other acts of law violations;
b) Performing professional operations of paying agents against the signed contract with the assignor.
3. A fine ranging from 50.000.000 VND to 100.000.000 VND for the following violations:
a) Assigning paying agents or performing as paying agents in an inappropriate manner to the content in the License for Establishment and Operation or License for Establishment or Decision on Organization and Operation made by competent authorities or documents amending the License (if any);
b) Violating regulations on the quantity of paying agents and transaction limits for a paying agent (for assignors);
c) Assigning operations to a 3rd party (regarding a paying agent that is not a credit institution or branch of a foreign bank);
d) Performing professional operations of paying agents without a concluded contract with the assignor;
dd) Signing a contract for operations of paying agents with a paying agent that is not a legally established enterprise or has outstanding loans listed as bad debts by credit institutions or branches of foreign banks in accordance with regulations of the State Bank of Vietnam (for assignors);
e) Impersonating the paying agent.
4. Remedial measures:
a) Enforced transfer of illegal profits obtained from the administrative violation prescribed in Point b Clause 2 and Clause 3 of this Article to state budget;
b) Enforced termination of operations of paying agents regarding entities conducting violations prescribed in Clauses 2, 3 of this Article;
c) Enforced separation of the checking account that is exclusive for operations of the paying agent regarding violations prescribed in Point d Clause 1 of this Article;
d) Prohibition from concluding paying agent contracts with other paying agent assignors until remedial measures against violation are completed if the violation prescribed in Points c, d Clause 1 of this Article is committed;
dd) Enforced refund of illegally collected fees to entities that paid them or submission to the state budget in case the subject of the refund is unable to be identified regarding violations prescribed in Point c Clause 1 of this Article;
e) Enforced return of the appropriated amount to customers regarding violations for the purposes of appropriating the money of customers as prescribed in Point a Clause 2 of this Article.".
19. Amendments to Clauses 1, 2, and 3 Article 30 are as follows:
a) Amendments to Point a Clause 1 are as follows:
“a) Failing to publicly post the SBV's regulations on cash unfit for circulation and the receipt and exchange thereof at transaction locations;";
b) Amendments to Clause 2 are as follows:
“2. A fine ranging from 5.000.000 VND to 10.000.000 VND for failing to comply with regulations on classification, packing and delivery of precious metals and precious stones; packing, sealing, delivery, preservation, transport and inventory of cash, precious property and financial instruments, except for cases prescribed in Point a Clause 3 and Points b, c, d, and dd Clause 5 of this Article.”;
c) Point dd is added after Point d Clause 3 as follows:
“dd) Declining the exchange of money unfit for circulation for customers against the regulations of the law.”.
20. Amendments to Point c Clause 1 Article 31 are as follows:
“c) Arranging persons who have yet to be trained in skills of distinguishing between real and counterfeit money or in professional money assessment to seize counterfeit money or temporarily seize suspected counterfeit money;”.
21. Amendment to the name of Section 12 of Chapter II is as follows:
“Section 12. VIOLATIONS AGAINST REGULATIONS ON ANTI-MONEY LAUNDERING; ANTI-TERRORISM FINANCING; COMBATING OF THE FINANCING OF PROLIFERATION OF WEAPONS OF MASS DESTRUCTION".
22. Amendments to Article 39 are as follows:
“Article 39. Violations against regulations on identifying, updating, and verifying identification information of customers
1. A fine ranging from 100.000.000 VND to 150.000.000 VND for the following violations:
a) Failing to identify customers; failing to update or verify the identification information of customers; failing to properly update or verify the identification information of customers as prescribed in Articles 8, 9, 10, 11 of the Law on Anti-money Laundering and Law on Anti-terrorism;
b) Failing to update the list of entities related to terrorism or terrorism financing or entities assigned to participate in the financing of proliferation of weapons of mass destruction.
2. A fine ranging from 150.000.000 VND to 250.000.000 VND for failing to ensure the confidentiality of information and reports as prescribed in Article 29 of the Law on Anti-money Laundering and Law on Anti-terrorism.
3. Remedial measures:
a) Enforced implementation of regulations on identifying, updating, and verifying identification information of customers in accordance with regulations prescribed in Articles 8, 9, 10, 11 of the Law on Anti-money Laundering and Law on Anti-terrorism regarding violations prescribed in Point a Clause 1 of this Article;
b) Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in Clauses 1, 2 of this Article from holding management and supervision positions at credit institutions or foreign bank branches.
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
23. Amendments to Article 40 are as follows:
“Article 40. Violations against internal regulations on anti-money laundering, anti-terrorism financing, and combating of the financing of proliferation of weapons of mass destruction
1. A fine ranging from 200.000.000 VND to 300.000.000 VND for the following violations:
a) Failing to issue internal regulations or issuing internal regulations against regulations on the law on anti-money laundering, anti-terrorism financing, and combating of the financing and proliferation of weapons of mass destruction;
b) Failing to assign or registering the assignment or assigning managers or departments responsible for the anti-money laundering and anti-terrorism financing against the regulations of the law;
c) Failing to perform internal audits or performing internal audits against regulations of the law on anti-money laundering and anti-terrorism financing;
d) Failing to provide training and advanced training or providing training and advanced training in anti-money laundering and anti-terrorism financing against regulations of the law.
2. Remedial measures:
Enforced compliance with regulations of the law when issuing internal regulations or the termination of internal regulations with content against the regulations of the law regarding violations prescribed in Point a Clause 1 of this Article.”.
24. Amendments to Article 41 are as follows:
“Article 41. Violations against regulations on risk-based customer classification
A fine ranging from 150.000.000 VND to 200.000.000 VND for failing to perform the risk-based customer classification or performing the risk-based customer classification against regulations prescribed in Clauses 2, 3, 4 Article 12 of the Law on Anti-money Laundering, Law on Anti-terrorism, and Law on Combating of the Financing and Proliferation of Weapons of Mass Destruction.".
25. Amendments to Article 42 are as follows:
“Article 42. Violations against regulations on identifying foreign customers who are politically exposed persons (PEPs)
A fine ranging from 150.000.000 to 200.000.000 for not having a risk management system to identify foreign guests who are PEPs in accordance with regulations prescribed in Clauses 2, 3 Article 13 of the Law on Anti-money Laundering.".
26. Amendments to Article 43 are as follows:
“Article 43. Violations regulations on correspondent banking relationships, transactions related to new technologies, and special supervision of transactions
1. A fine ranging from 150.000.000 VND to 200.000.000 VND for the following violations:
a) Failing to apply measures prescribed in Article 14 of the Law on Anti-money Laundering when establishing a correspondent banking relationship with a foreign partner bank;
b) Failing to issue procedures prescribed in Article 15 of the Law on Anti-money laundering.
2. A fine ranging from 200.000.000 VND to 300.000.000 VND for failing to perform the special supervision for some transactions as prescribed in Article 16 of the Law on Anti-money Laundering.
3. Remedial measures:
a) Enforced implementation of measures prescribed in Article 14 of the Law on Anti-money Laundering regarding violations prescribed in Point a Clause 1 of this Article;
b) Enforced issuance of procedures in accordance with regulations prescribed in Article 15 of the Law on Anti-money Laundering regarding violations prescribed in Point b Clause 1 of this Article;
c) Enforced special supervision for some transactions in accordance with regulations prescribed in Article 16 of the Law on Anti-money Laundering regarding violations prescribed in Point c Clause 1 of this Article;
d) Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in Clauses 1, 2 of this Article from holding management and supervision positions at credit institutions or foreign bank branches.
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
27. Amendments to Article 44 are as follows:
“Article 44. Violations against regulations on reporting on high-value transactions, suspicious transactions, electronic money transfer, money laundering for terrorism financing purposes, financing terrorism, and proliferation of weapons of mass destruction
1. A fine ranging from 80.000.000 VND to 120.000.000 VND for failing to submit reports on schedule as prescribed in the Law on Anti-money Laundering and Law on Anti-terrorism Financing.
2. A fine ranging from 150.000.000 VND to 250.000.000 VND for the following violations:
a) Failing to report on high-value transactions;
b) Failing to report on suspicious transactions related to money laundering, terrorism financing, and weapons of mass destruction financing and proliferation;
c) Failing to report on electronic money transfers;
d) Failing to report on money laundering activities for terrorism financing purposes as prescribed in Article 30 of the Law on Anti-money Laundering; failing to report on customers’ transactions suspected of being related to terrorism financing or weapons of mass destruction financing and proliferation; failing to report on customers on the blacklist or the designated list as prescribed in the Law on Anti-terrorism and Law on Combating of the Financing and Proliferation of Weapons of Mass Destruction.
3. Remedial measures:
a) Enforced submission of sufficient and accurate reports regarding violations prescribed in this Article;
b) Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in this Article from holding management and supervision positions at credit institutions or foreign bank branches.
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
28. Article 44a is added after Article 44 as follows:
Article 44a. Violations against regulations on information provision
1. A fine ranging from 150.000.000 VND to 200.000.000 VND for failing to provide information or providing false information or information against regulations of the Law on Anti-money Laundering, Law on Anti-terrorism Financing, Law on Combating of the Financing and Proliferation of Weapons of Mass Destruction, if not liable to criminal prosecution.
2. Remedial measures:
a) Enforced correction of false information regarding violations prescribed in this Article;
b) Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in this Article from holding management and supervision positions at credit institutions or foreign bank branches.
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
29. Amendments to Article 45 are as follows:
“Article 45. Violations against regulations on transaction delay, account freeze, and asset sealing or impoundment
1. A fine ranging from 150.000.000 VND to 250.000.000 VND for the following violations:
a) Failing to report on the delay of transactions of related parties that are on the blacklist or when having reasonable grounds to suspect that the transaction is related to criminal activities as prescribed in Clause 3 Article 33 of the Law on Anti-money Laundering;
b) Failing to report on account freeze or sealing or impoundment of assets according to a decision of a competent authority as prescribed in Article 34 of the Law on Anti-money Laundering;
c) Failing to immediately report on the suspension of circulation or freeze of money and assets related to terrorism financing or financing and proliferation of weapons of mass destruction.
2. A fine ranging from 250.000.000 VND to 350.000.000 VND for the following violations:
a) Failing to delay transactions when finding that related parties of the transaction are on the blacklist or when having reasonable grounds to suspect that the transaction is related to an offence as prescribed in Clause 1 Article 33 of the Law on Anti-money Laundering;
b) Failing to freeze accounts, seal, or impound assets according to a decision of a competent authority as prescribed in Article 34 of the Law on Anti-money Laundering;
c) Failing to immediately suspend the circulation or freeze all money and assets related to terrorism financing or financing and proliferation of weapons of mass destruction in accordance with the law.
3. Remedial measures:
a) Enforced submission of sufficient and accurate reports regarding violations prescribed in this Clause 1 of this Article;
b) Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in Clauses 1, 2 of this Article from holding management and supervision positions at credit institutions or foreign bank branches.
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
30. Article 45a is added after Article 45 as follows:
“Article 45a. Violations against regulations on risk assessment
1. A fine ranging from 150.000.000 VND to 250.000.000 VND for the following violations:
a) Failing to assess or update results of the assessment of risks of money laundering and terrorism financing in accordance with the Law on Anti-money Laundering;
a) Failing to issue, update policies or procedures for managing risks detected from reports on the management of risks of money laundering and terrorism financing in accordance with the Law on Anti-money Laundering;
c) Failing to send, disseminate, or publicize results of the assessment or update on risks of money laundering and terrorism financing in accordance with the Law on Anti-money Laundering.
2. Remedial measures:
a) Enforced implementation of regulations on the assessment of risks of money laundering and terrorism financing in accordance with the Law on Anti-money Laundering regarding violations prescribed in Clause 1 of this Article;
b) Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in this Article from holding management and supervision positions at credit institutions or foreign bank branches
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
31. Amendments to Article 46 are as follows:
“Article 46. Violations against regulations on prohibited acts in anti-money laundering anti-terrorism financing
1. A fine ranging from 150.000.000 VND to 250.000.000 VND for obstructing the provision of information serving the performance of anti-money laundering and anti-terrorism financing tasks.
2. A fine ranging from 300.000.000 VND to 400.000.000 VND for the following violations:
a) Creating or maintaining anonymous accounts or accounts with fake names;
b) Illegally providing services of receipt of cash, cheques, or other monetary instruments or stores of value and making payments to beneficiaries at another location.
3. A fine ranging from 400.000.000 VND to 500.000.000 VND for the following violations:
a) Organizing or facilitating money laundering activities if not liable to criminal prosecution;
b) Establishing and maintaining business relationship with a bank that is established in a country or territory but neither exists in that country or territory nor bears the management or supervision of any competent authority;
c) Failing to denounce terrorism financing activities if not liable to criminal prosecution;
d) Taking advantage of the suspension, freeze, sealing, impoundment or handling of money and assets related to terrorism financing to harm the Government's interests or legitimate rights and benefits of regulatory authorities, organizations and/or individuals;
dd) Directly or indirectly providing money, assets, financial resources, economic resources, financial services, or other services for entities related to terrorism or terrorism financing.
4. Remedial measures:
Request competent authorities to consider prohibiting violating entities and/or persons responsible for the violation prescribed in Clauses 2, 3 of this Article from holding management and supervision positions at credit institutions or foreign bank branches.
Request credit institutions or foreign bank branches to dismiss and implement other handling measures in accordance with the law regarding violating individuals under their management.".
32. Amendments to Point a Clause 4 and Point b Clause 7 of Article 47 are as follows:
a) Amendments to Point a Clause 4 are as follows:
“a) Reporting in a dishonest manner, except for cases prescribed in Point h Clause 4 Article 27 of this Decree;”;
b) Amendments to Point b Clause 7 are as follows:
"b) Prohibition from expanding the operating scope, scale, and areas or supplementing business lines until remedial measures against the violation are completed regarding violations prescribed in Points a, b, d Clause 1, Clause 2, and Clause 5 of this Article;".
33. Amendments to Point a Clause 5 Article 48 are as follows:
“a) Providing information and documents in a dishonest manner;".
34. Amendments to the title and a number of Points of Clauses 1, 2, and 3 of Article 53 are as follows:
a) Amendments to the title of the Article are as follows:
“Article 53. Power to impose administrative penalties of Banking Inspectors or Supervisors";
b) Amendments to Point c Clause 1 are as follows:
“c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 1.000.000 VND;”;
c) Amendments to Point c Clause 2 are as follows:
“c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 100.000.000 VND;”;
d) Amendments to Point c Clause 3 are as follows:
“c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 500.000.000 VND;”;
35. Amendments to Article 54 are as follows:
“Article 54. Power to impose administrative penalties of Chairmen of People’s Committees at various levels
1. Chairmen of Commune-level People’s Committees shall have the right to:
a) Impose warning;
b) Impose a fine up to 5.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 10.000.000 VND.
2. Chairmen of District-level People’s Committees shall have the right to:
a) Impose warning;
b) Impose a fine up to 100.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations;
dd) Apply remedial measures prescribed in Clause 4 Article 3 of this Decree.
3. Chairmen of Province-level People’s Committees shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.000.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations;
dd) Apply remedial measures prescribed in Clause 4 Article 3 of this Decree.”.
36. Article 54a is added after Article 54 as follows:
“Article 54a. Power to impose administrative penalties of the People’s Public Security
1. An officer of the People’s Public Security on duty shall have the right to:
a) Impose warning;
b) Impose a fine up to 500.000 VND;
2. Head of the Mobile Police Unit at the company level, Station Head, or Team Head of the person prescribed in Clause 1 of this Article shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.500.000 VND;
3. Commune-level Police Chiefs, Heads of Police Stations, Heads of Border Police Stations or manufacturing areas, Border Police Chiefs of International Airports, Battalion Commanders of Mobile Police Battalions, and Marine Captains shall have the right to:
a) Impose warning;
b) Impose a fine up to 2.500.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 5.000.000 VND.
4. Commune-level Police Chiefs; Heads of Professional Bureaus of Departments of Internal Political Security; Heads of Professional Bureaus of Police Departments for Social Order Administration; Heads of Professional Bureaus of Police Departments of Traffic; Heads of Professional Bureaus of Departments of Fire-fighting and Rescue; Heads of Professional Bureaus of Departments of Cyber Security and Hi-Tech Crime Prevention and Control; Heads of Professional Bureaus of Departments of Exit and Entry Management; Provincial-level Police Chiefs include: Heads of Internal Political Security Bureaus, Heads of Police Bureaus for Social Order Administration, Heads of Police Bureaus investigating crimes related to social order, Heads of Police Bureaus investigating crimes related to corruption, economy, and smuggling, Heads of Police Bureaus investigating crimes related to drugs, Heads of Traffic Police Bureaus, Heads of Police Bureaus of Road and Rail, Heads of Road Police Bureaus, Heads of Police Bureaus of Waterways, Heads of Mobile Police Bureaus, Heads of Security Police Bureaus, Heads of Police Bureaus of Criminal Judgment Execution and Judicial Assistance, Heads of Police Bureaus for Prevention and Combat of Environmental Crimes, Heads of Police Bureaus for Fire-Fighting and Rescue, Heads of Bureaus of Cyber Security and Hi-Tech Crime Prevention and Control, Heads of Bureaus of Exit and Entry Management, Heads of Bureaus of Economic Security, Heads of Bureaus of Diplomatic Security, Regiment Commanders of Mobile Police Regiments, and Marine Captains shall have the right to:
a) Impose warning;
b) Impose a fine up to 25.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 50.000.000 VND.
d) Suspend licenses, professional practice certificates or operation for a fixed period of time;
dd) Apply remedial measures prescribed in Point e Clause 4 Article 3 of this Decree.
5. Directors of the provincial-level Police Departments shall have the right to:
a) Impose warning;
b) Impose a fine up to 100.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations;
dd) Apply remedial measures prescribed in Points a, e, g, k, n, p Clause 4 Article 3 of this Decree.
6. Directors of Internal Political Security Departments; Directors of Economic Security Departments; Directors of Police Departments for Social Order Administration; Directors of Investigation Police Departments for Social Order Crimes; Directors of Investigation Police Departments for Corruption, Economic and Smuggling Crimes; Directors of Investigation Police Departments for Drug Crimes; Directors of Traffic Police Departments; Directors of Fire-fighting and Rescue Police Departments; Directors of Police Departments for Prevention and Control of Environmental Crimes; Directors of Cyber Security, Hi-tech Crimes Prevention and Control Departments; Directors of Internal Security Departments; Directors of Police Departments for Management of Retention and Execution of Criminal Judgments at Community, Directors of Departments of Exit and Entry Management, and Commanders of the Mobile Police shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.000.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations;
dd) Apply remedial measures prescribed in Points a, e, g, k, n, p Clause 4 Article 3 of this Decree.
37. Article 54a is added after Article 54a as follows:
“Article 54b. Power to impose administrative penalties of the Border Guard
1. A soldier of the Border Guard on duty shall have the right to:
a) Impose warning;
b) Impose a fine up to 500.000 VND;
2. The Station Head or Team Head of the person prescribed in Clause 1 of this Article shall have the right to:
a) Impose warning;
b) Impose a fine up to 2.500.000 VND;
3. Leaders of Task Force Teams for drug and crime prevention and control under the management of Task Force Commissions shall have the right to:
a) Impose warning;
b) Impose a fine up to 10.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 20.000.000 VND.
4. Commanding Officers of Border Guard Posts, Captains of Coast Border Guard Flotillas, and Commanders of the Border Guard Commands at port border gates shall have the right to:
a) Impose warning;
b) Impose a fine up to 25.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 50.000.000 VND.
5. Leaders of Task Force Commissions for Drug and Crime Prevention and Control as an affiliate of the Department of Drug and Crime Prevention and Control under the management of the Command of Border Guards shall have the right to:
a) Impose warning;
b) Impose a fine up to 100.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 200.000.000 VND.
6. Chief Commanders of provincial-level Border Guards, Captains of Coast Border Guard Squadrons, and Directors of Departments of Drug and Crime Prevention and Control affiliated to the Command of Border Guards shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.000.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations.”.
38. Article 54c is added after Article 54b as follows:
“Article 54c. Power to impose administrative penalties of the Vietnam Coast Guard
1. An officer of the Vietnam Coast Guard on duty shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.500.000 VND.
2. Heads of Professional Divisions of Vietnam Coast Guard shall have the right to:
a) Impose warning;
b) Impose a fine up to 5.000.000 VND.
3. Heads of Professional Teams of Vietnam Coast Guard shall have the right to:
a) Impose warning;
b) Impose a fine up to 10.000.000 VND;
4. Captains of Coast Guard Flotillas shall have the right to:
a) Impose warning;
b) Impose a fine up to 25.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 50.000.000 VND.
5. Captains of Coast Border Guard Squadrons, Heads of Reconnaissance Commissions, and Heads of Task Force Commissions for Drug Crime Prevention and Control under the control of the Command of Coast Guard of Vietnam shall have the right to:
a) Impose warning;
b) Impose a fine up to 50.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 100.000.000 VND.
6. Regional Commands of Coast Guard and Directors of the Department of Operations and Legislation under the control of the Command of Coast Guard of Vietnam shall have the right to:
a) Impose warning;
b) Impose a fine up to 100.000.000 VND;
c) Suspend licenses, professional practice certificates for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations.
7. The Commander of Coast Guard of Vietnam shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.000.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations.”.
39. Article 54d is added after Article 54c as follows:
“Article 54d. Power to impose administrative penalties of the Market Surveillance
1. A market controller on duty shall have the right to:
a) Impose warning;
b) Impose a fine up to 500.000 VND;
2. Leaders of Market Surveillance Teams and Heads of Professional Divisions under the control of the Departments of Market Surveillance shall have the right to:
a) Impose warning;
b) Impose a fine up to 25.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 50.000.000 VND.
3. Directors of provincial-level Market Management Departments and Directors of Departments affiliated to Vietnam Directorate of Market Surveillance shall have the right to:
a) Impose warning;
b) Impose a fine up to 50.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations;
d) Suspend licenses, professional practice certificates or operation for a fixed period of time.
4. The General Director of Vietnam Directorate of Market Surveillance shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.000.000.000 VND;
c) Confiscate the exhibits and instrumentalities used for committing administrative violations;
d) Suspend licenses, professional practice certificates or operation for a fixed period of time.”.
40. Article 54dd is added after Article 54d as follows:
“Article 54dd. Power to impose administrative penalties of Professional Tourism Inspectors
1. An inspector or an assignee performing his/her professional tasks shall have the right to:
a) Impose warning;
b) Impose a fine up to 500.000 VND.
2. Chief Inspectors of Departments and Heads of Inspector Delegations of Departments shall have the right to:
a) Impose warning;
b) Impose a fine up to 50.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 100.000.000 VND.
dd) Apply remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.
3. Heads of Inspector Delegations of Ministries shall have the right to:
a) Impose warning;
b) Impose a fine up to 250.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations provided their value does not exceed 500.000.000 VND;
dd) Apply remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.
4. Chief Inspectors of Ministries shall have the right to:
a) Impose warning;
b) Impose a fine up to 1.000.000.000 VND;
c) Suspend licenses, professional practice certificates or operation for a fixed period of time;
d) Confiscate the exhibits and instrumentalities used for committing administrative violations;
dd) Apply remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.”.
41. Article 54e is added after Article 54dd as follows:
“Article 54e. Power to impose administrative penalties of Customs Authorities
The General Director of the General Department of Customs shall have the right to impose a fine up to 1.000.000.000 VND.”.
42. Article 54g is added after Article 54e as follows:
“Article 54g. Power to impose administrative penalties of the National Competition Committee
The Chairman of the National Competition Committee shall have the right to:
1. Impose warning;
2. Impose a fine up to 1.000.000.000 VND.
3. Suspend licenses, professional practice certificates or operation for a fixed period of time.
4. Confiscate the exhibits and instrumentalities used for committing administrative violations.
5. Apply remedial measures prescribed in Point n Clause 4 Article 3 of this Decree.”.
43. Amendments to Article 55 are as follows:
“Article 55. Determination of power to impose penalties for administrative violations in monetary and banking sector
1. Power to impose administrative penalties of Chairmen of People’s Committee at various levels
Chairmen of People’s Committees at various levels shall have the power to impose penalties for administrative violations prescribed in Chapter II of this Decree according to their competence and assigned functions, tasks, and entitlements.
2. Power to impose administrative penalties of Market Surveillance Agencies
Persons competent to impose penalties of Market Surveillance Agencies shall impose penalties for administrative violations prescribed in Clause 1, Clause 2, Points a, b, h, i, k, l Clause 3, Points n, o Clause 4, Points e, g, h Clause 5, Point c Clause 8 Article 23; Clause 1, Clause 2, Point a Clause 3, Point a Clause 4, Point a Clause 6, Clause 7, Points a, c Clause 8 Article 24 of this Decree.
3. Power to impose administrative penalties of the Border Guard
Persons competent to impose penalties of the Border Guard shall impose penalties for administrative violations prescribed in Clause 1, Clause 2, Points h, i, k Clause 3, Point h Clause 4, Points e, g, h Clause 5 Article 23; Clause 1, Clause 2, Clause 4 Article 24; Point c Clause 4 Article 47; Clause 3 Article 48; Point a Clause 5 Article 48 of this Decree.
4. Power to impose administrative penalties of the Coast Border Guard
Persons competent to impose penalties of the Coast Border Guard shall impose penalties for administrative violations prescribed in Clause 1, Clause 2, Points h, i, k Clause 3, Point h Clause 4, Points e, g, h Clause 5, Point b Clause 8 Article 23; Clause 1, Clause 2, Points a, b Clause 4, Point c Clause 5, Point a Clause 6, Points a, b Clause 8 Article 24 of this Decree.
5. Power to impose administrative penalties of the People’s Public Security
Persons competent to impose penalties of the People’s Public Security shall impose penalties for administrative violations prescribed in Clauses 3, 4, and 5 Article 4; Clause 1, Clause 2, Points a, b, c, h, i, k, l Clause 3, Points h, n, o Clause 4, Points c, e, g, h Clause 5, Point c Clause 8 Article 23; Clause 1, Clause 2, Clause 3, Clause 4, Points a, c Clause 5, Clause 6, Clause 7, Clause 8 Article 24; Point b Clause 2, Clause 5, Clause 6, Clause 7 Article 26; Point a Clause 1, Points a, b Clause 3, Points a, b, c, d, dd, e, i, k Clause 4, Clause 5 Article 27; Points c, d Clause 5, Clause 6, Clause 7 Article 28; Point a Clause 1, Point a Clause 2, Point e Clause 3 Article 28a; Point c Clause 3, Clause 4 Article 30; Article 31; Clause 2 Article 39; Article 44; Article 45; Article 46; Point c Clause 4 Article 47; Article 48; Point b Clause 1, Point c Clause 2 Article 52 of this Decree.
6. Power to impose administrative penalties of Professional Tourism Inspectors
Persons competent to impose penalties of the Professional Tourism Inspector Force shall impose penalties for administrative violations prescribed in Clause 1, Clause 2, Points a, b, c, h, i, k, l Clause 3, Points b, n, o Clause 4, Points e, g, h Clause 5 Article 23 of this Decree.
7. Power to impose administrative penalties of Customs Authorities
The General Director of the General Department of Customs shall impose penalties for administrative violations prescribed in Point b Clause 8 Article 23, Point c Clause 5, Point b Clause 8 Article 24 of this Decree.
8. Power to impose administrative penalties of the Chairman of the National Competition Committee
The Chairman of the National Competition Committee shall impose penalties for administrative violations prescribed in Clause 1, Clause 2, Points h, i, k Clause 3, Points e, g, h Clause 5 Article 23; Clause 1 Article 24 of this Decree.
9. Power to impose administrative penalties of Banking Inspectors or Supervisors
Persons competent to impose penalties of the Banking Inspector or Supervisor Force shall impose penalties for administrative violations and apply remedial measures for administrative violations prescribed in Chapter II of this Decree according to their competence and assigned functions, tasks, and entitlements.".
44. Amendments to Clause 1, Clause 2 Article 56 are as follows:
“1. Persons that have the power to impose administrative penalties prescribed in Articles 53, 54, 54a, 54b, 54c, 54d, 54dd, 54e, and 54g of this Decree.
2. Persons of People’s Army or People’s Public Security Force performing their duties at the authorities prescribed in this Decree according to legislative documents or administrative documents promulgated by competent authorities or officers; pilots in command, ship captains, train masters and persons that they assign to record violations.”.
Article 2. Annulment of some regulations of Decree No. 88/2019/ND-CP dated November 14, 2019 of the Government on penalties for administrative violations in monetary and banking sector
1. Annul the phrase “tịch tu giấy phép đã bị tẩy xóa, sửa chữa" (confiscation of erased and altered licenses) in Point c Clause 2 Article 3.
2. Annul Clause 7 Article 4 and Clause 1 Article 5.
3. Annul the word “giả mạo” (forging) in Point a Clause 4 Article 4; Clause 2 Article 18.
Article 3. Implementation responsibilities
Governor of the State Bank of Vietnam, Ministers, Heads of Ministerial-level Agencies, Heads of Governmental Agencies, Chairmen of People’s Committees of provinces and centrally affiliated cities, and related agencies shall implement this Decree.
Article 4. Implementation provision
1. This Decree comes into force as of January 1, 2022.
2. Transitional provision
a) Regarding a violation committed before this Decree comes into force that is detected or currently being considered for penalties after this Decree comes into force, this Decree shall be applied if it does not stipulate legal liability or provide for lighter legal liability;
b) In case there is a complaint filed against a decision on imposition of administrative penalty in monetary and banking sector which has been issued or implemented before this Decree comes into force, the complaint shall be handled in accordance with Decree No. 88/2019/ND-CP dated November 14, 2019 of the Government on penalties for administrative violations in monetary and banking sector.
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