Chapter I
GENERAL PROVISIONS
Article 1. Scope
This Circular provides for online securities transaction, exchange of electronic information on securities market and other activities related to e-transactions on securities market.
Article 2. Regulated entities
This Circular applies to:
1. The State Securities Commission (SSC), Stock Exchange (SE), Vietnam Securities Depository (VSD).
2. Organizations and individuals engaging in securities transactions and market by electronic means, including:
a) Issuers, listed or registered organizations, public companies;
b) Securities companies, asset management companies, securities investment companies;
c) Vietnam-based representative offices and branches of foreign securities traders; Vietnam-based representative offices and branches of foreign asset management companies;
d) Commercial banks, branches of foreign banks that are participants in the bond market or derivatives market, supervisory banks, depository participants, clearing members, fund certificate distributors;
dd) Investors;
e) Other organizations and individuals engaging in securities transaction and market by electronic means.
Article 3. Definitions
For the purposes of this Circular, the terms below shall be construed as follows:
1. “online securities transaction” means a securities transaction carried out through information technology system and Internet, telecommunications network or other open networks, including: securities transactions between investors and providers of online securities transaction services; securities transactions between transaction members and SE; securities-related transactions between depository participants, clearing members and VSD.
2. “online securities transaction system” means a system intended to manage and carry out online securities transaction, including: hardware, software, database, telecommunications network, Internet, computer network.
3. “electronic securities document” means a data message about e-transactions on securities market, which is generated, sent, received and stored by electronic means.
4. “electronic order” means a data message recording data about a transaction order which an investor has placed through online securities transaction system at a specific time when only that investor is able to access such system through access and order placement authentication.
5. “two-factor authentication” means an authentication method that requires two factors to authenticate an identity. Two-factor authentication is based on information that the user knows, such as PIN and secret key, information that the user has, such as smart card, security tokens, mobile phone or user’s biometrics used to authenticate his/her identity.
6. “cyberinformation security” means the protection of information and information systems in cyberspace from being illegally accessed, utilized, disclosed, interrupted, altered or sabotaged in order to ensure the integrity, confidentiality and usability of information.
7. “media access control address of an order placement device” means a unique code assigned by the manufacturer to identify a device when placing or canceling an order through online securities transaction system.
8. “order placement telephone number” means the telephone number registered by the investor with an online securities transaction service provider to place securities transaction orders.
9. “online securities transaction services” mean services provided by an online securities transaction service provider to investors in order for them to open accounts, place orders, provide their requirements regarding securities transaction or receive transaction results via internet or by telephone.
10. “online securities transaction service provider” means a securities company, asset management company and distributor of fund certificates, which provides online securities transaction services.
11. “depository participant” means a securities company or commercial bank operating in Vietnam granted the Certificate of securities depository registration by SSC and approved to be a depository participant by VSD.
12. “clearing member” means a securities company, commercial bank or branch of a foreign bank that may clear or settle derivative transaction service.
13. “serious breakdowns” mean technical breakdowns occurring in online securities transaction system, which results in termination or suspension of operations.
Article 4. Rules for carrying out e-transactions on securities market
E-transactions on securities market shall be carried out in an accurate, equal, public, transparent, safe and effective manner, and in accordance with the Law on E-Transactions, Law on Cyberinformation Security, guiding documents and other relevant regulations of law.
Tìm kiếm
Thông tư 134/2017/TT-BTC về hướng dẫn giao dịch điện tử trên thị trường chứng khoán do Bộ trưởng Bộ Tài chính ban hành (Bản Pdf)
Thông tư 134/2017/TT-BTC về hướng dẫn giao dịch điện tử trên thị trường chứng khoán do Bộ trưởng Bộ Tài chính ban hành (Bản Word)