Chương VIII Thông tư 05/2015/TT-BTC: Chế độ báo cáo

Chapter VIII

REPORTS

Article 53. Periodic reports

1. VSD must provide sufficient data, periodic reports to the SSC under the current provisions on monitoring and statistics to serve the monitoring of the SSC and the Stock Exchange.

2. Depository members organizations opening accounts directly must submit monthly reports on securities depository to VSD with the content specified in guiding regulations on registration, depository, offsetting and settlement of VSD.

3. Payment banks must submit monthly, quarterly, annually reports on offsetting and settlement of their transactions to SSC with contents specified in Appendix V enclosed herewith this Circular.

4. Deadline for reports shall be defined as follows:

a) Monthly reports shall be submitted to the SSC within ten (10) days of the following month;

b) Quarterly reports shall be submitted to the SSC within twenty (20) days of the first month of the following quarter;

c) Annual reports shall be submitted to the SSC within the first ninety (90) days of the following year.

Article 54. Irregular reports

1. VSD must report to SSC within a maximum of seventy two (72) hours after the occurrence of the following events:

a) Operations in securities depository, offsetting and settlement of securities transactions of depository members are suspended;

b) Depository member certificates, depository operation branch certificates are revoked ;

c) Information is provided under the confidential regulation for competent State agencies;

d) Registration, depository, offsetting and settlement of securities are paralyzed partly or in whole.

2. The payment bank must report to the SSC and VSD immediately when settlement of securities transactions is paralyzed partly or in whole.

Article 55. Reports at request

1. In addition to periodic and irregular reports prescribed in Articles 53, 54 of this Circular, in the case of necessity, to protect common interests and the interests of investors, the SSC may request VSD, depository members, organizations opening accounts directly , the payment bank to report on the registration, depository, offsetting and settlement of securities transactions.

2. VSD, depository members, organizations opening accounts directly and payment banks must repost to the SSC within forty-eight (48) hours after receiving the request for reports as specified in paragraph 1 This Article.

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