Chapter IV
INFORMATION DISCLOSURE OF SECURITIES COMPANIES AND FUND MANAGEMENT COMPANIES
Article 18. Periodic information disclosure
1. Public fund management companies , securities companies shall make periodic information disclosure as prescribed in Article 7 or Article 10 of this Circular.
2. Other fund management companies shall make periodic disclosure of information about Annual Financial statements as prescribed in clause 1 Article 7 of this Circular.
3. Securities companies must make periodic disclosure of information about the Disposable fund ratio statements examined by accredited audit organizations in June and December simultaneously with making the disclosure of information about Biannual Financial statements and Annual Financial statements.
The examined Disposable fund statements must be sufficiently disclosed on the electronic information pages of the securities companies and on the means of information disclosure of the SSC, SEE and must be archived in writing and electronic data in at least ten (10) following years in the head office for the investors’ reference.
Article 19. Irregular information disclosure
1. Securities companies, fund management companies must make irregular information disclosure within twenty four (24) hours after the occurrence (or receiving the written approval from the SSC of the events) of one of the following events:
1.1. Having decisions on prosecutions, judgments or decisions of the Court against members of the Board of Directors, General Director, Deputy General Director or Director, Deputy Director, Financial Director, Chief accountant, Accounting and financial department manager, members of the company’s Control Board; the Executive of the securities investment fund; having decisions on prosecutions, judgments pr decisions of the Court against the company’s operation; having the verdicts of tax agencies against the company’s violations of law on tax;
1.2. The company’s bank account is blocked or unblocked after the blockage;
1.3. Suspending the business; partially or completely suspending the company’s operation;
1.4. Decisions of competent agencies on the suspension from operation or the revocation of the Establishment and operation permit ;
1.5. Shareholder general assembly or the Member assembly or the Company’s owner approves the merging contract with another company; Decisions on unifying, splitting, dividing, contributing to a joint venture, transforming or dissolving the company;
1.6. The company suffers the loss valued at ten percent (10%) of the asset value or above;
1.7. The company is making changes of the members of the Board of Directors or Member assembly, President, Director or General Director, Deputy Director or Deputy General Director, Financial Director, Chief accountant; decisions on designating or dismissing the executives of securities investment funds;
1.8. The company is making important changes in business operation including:
a) Replacing the heads of branches or representative offices;
b) Going bankrupt; receiving the decision on dissolution of competent agencies;
c) Performing transactions that change the ownership of stocks or contributions valued at ten percent (10%) or above of the contributed charter capital;
d) Making decisions on increasing or decreasing the charter capital;
dd) Making decisions on changing the company’s name, the locations of the head office, representative offices, branches or transaction offices;
e) Making decisions on supplementing, applying, discontinuing or reducing one or a number of securities business and service types;
g) Making decisions on establishing or closing subsidiary companies, branches, representative offices, transaction offices at home or overseas;
h) The revocation of the securities practice certificate of the Director, Deputy Director or General Director, Deputy General Director of securities companies, the executives of public funds or securities investment companies
2. Securities companies, fund management companies must disclose information about the events prescribed in clause 1 this Article on printed publications, electronic information pages of the securities companies, fund management companies and on the means of information disclosure of the SSC, SE (for listed securities companies, listed fund management companies). Upon making irregular information disclosure, securities companies and fund management companies must specify the events, their reasons, remedial measures and plans (if any).
3. Fund management companies are responsible to make information disclosure in case the securities investment funds, securities investment companies and the securities investment portfolio of the authorized investors under their management are major shareholders or internal shareholders as prescribed in Article 26 and Article 28 of this Circular.
Article 20. Information disclosure on demand
1. Securities companies, fund management companies must make information disclosure within twenty four (24) hours after receiving the requests of the SSC and SE (for listed securities companies, listed fund management companies) when having information relating to the company that critically affect the lawful interests of the investors.
2. Securities companies, fund management companies must make information disclosure on demand of the SSC, SE (for listed securities companies, listed fund management companies) via printed publications, electronic information pages of the securities companies and fund management companies, via means of mass media and means of information disclosure of the SSC and SE (for listed securities companies, listed fund management companies). The contents of the information disclosure must specify the event requested to be disclosed by the SSC and SE, its reasons, authenticity and the remedial measures (if any).
Article 21. Disclosure of other information of securities companies
Company securities must make disclosure of information in the head office, branches and on the company’s electronic information pages about the changes of the locations of the head office, branches, the contents relating the mode of transactions, placement of orders, deposit transaction, payment time, transaction charges, services and the list of the company’s securities practitioners. Upon performing deposit transaction, the securities company must notify the conditions for deposit services provision including the deposit ratio, loan interest rate, loan term, mode of making additional deposit orders.
Tìm kiếm
Thông tư 52/2012/TT-BTC (Bản Word)