Chapter VIII
DISCLOSURE OF INFORMATION OF THE STOCK EXCHANGE
Article 32. Information about securities transactions at the SE
1. Information during the stock exchange session
1.1. Total volume of types of securities allowed to be transacted;
1.2. The closing price of the previous day, comparing prices, ceiling prices, floor prices, opening/closing prices of each session/day, performing prices, expected prices (for periodic order matching), rates and symbols of price fluctuation of each securities type;
1.3. Three best purchase/sale offer prices of stocks, investment fund certificates accompanied by the purchase/sale order volume corresponding to such prices.
1.4. Information about the transactions of remaining bonds by terms including: terms of transaction, yield, volume and value of the latest transaction, yield fluctuation of the latest transaction compared to the previous transaction .
2. Periodic information in the transaction day
2.1. Status of the securities types;
2.2. Total volume of the securities types allowed to be transacted in the day;
2.3. Securities price indexes made by the SE and approved by the SSC; rates and fluctuations of the indexes compared to the previous transaction day;
2.4. Stock price fluctuation rate in the transaction day;
2.5. The quantity of orders, purchase/sale orders, corresponding prices to each securities type;
2.6. Total transaction volume of the whole market (by order matching rounds, transaction days);
2.7. The prices, volume and value of performed transactions of each securities type:
a) Order matching (under each order matching round and transaction days regarding periodic order matching and under transaction days regarding constant order matching);
b) Agreement (if any);
c) Securities transactions performed by foreign investors (if any);
d) Stock repurchase/resale by listed organizations (if any).
2.8. The securities holding ratio of foreign investors and purchase limits regarding each type of securities;
2.9. Information about ten (10) stocks with highest transaction volume and ten (10) stocks with highest price fluctuation compared to the latest transaction day;
2.10. Information about the transactions of ten (10) stocks with the highest posted values and ten (10) stocks with highest market values;
2.11. Information about the transacted bonds including type of bonds, interest rates, due time, performing prices, current yield, due yield;
2.12. The volume of outstanding stocks of the posted stocks and its changes compared to the previous transaction day;
2.13. Other information required to be disclosed on demand of the SSC.
Article 33. Information about listed organizations at the SE; information about affiliated securities companies, fund management companies managing closed public funds/public securities investment companies; closed public funds, public securities investment companies
Information about listed organizations
1.1. General information about activities of posting/transaction registration:
a) Information about first posting/transaction registration;
b) Information about the cancellation of posting/transaction registration;
c) Information about the changes of posting/transaction registration;
d) Information about re-posting/re-transaction registration;
dd) Information about sanctions against listed organizations;
e) Other information deemed to be necessary by the SE.
1.2. Periodic, irregular information and information on demand disclosed by listed organizations via the means of information disclosure of the SE.
2. General information about securities companies being members of the SE
2.1. General information about members:
a) Information about admitting members;
b) Information about sanctions against member or transaction representatives (if any);
c) Information about invalidation of memberships;
d) Information about the brokerage market share of 10 members with the largest shares by quarters;
dd) Other information.
2.2. Periodic, irregular information and information on demand disclosed by affiliated securities companies via the means of information disclosure of the SE.
3. Information about fund management companies managing closed public funds/public securities investment companies
3.1. General information about fund management companies:
a) Information about the quantity of fund management companies;
b) Information about quantity of securities investment funds/securities investment companies under the management of fund management companies;
c) Information about sanctions against fund management companies;
d) Other information.
3.2. Periodic, irregular information and information on demand disclosed by fund management companies via the means of information disclosure of the SE.
4. Information about closed public funds
4.1. General information about closed public funds:
a) Information about the quantity of closed public funds;
b) Other information.
4.2. Periodic, irregular information and information on demand disclosed by public funds via the means of information disclosure of the SE.
5. Information about public securities investment companies
5.1. General information about public securities investment companies:
a) Information about the quantity of public securities investment companies;
b) Information about sanctions against public securities investment companies;
c) Other information.
5.2. Periodic, irregular information and information on demand disclosed by public securities investment companies via the means of information disclosure of the SE.
6. The SE shall provide information about listed organizations, public funds, public securities investment companies for affiliated securities companies.
Article 34. Information about securities market supervision
1. Information about securities market supervision includes:
1.1. Information about the transaction suspension or the transaction resumption of the posted securities;
1.2. Information about warned/controlled securities or unwarned/uncontrolled securities;
1.3. Information about the transactions of major shareholders, founding shareholders during the period of transfer restriction, transactions of internal shareholders, persons authorized to make information disclosure and relevant persons, public purchase offer as prescribed in Chapter VI of this Circular; Information about fund stock transactions of listed organizations;
1.4. Information about violations of provisions on information disclosure committed by listed organizations, affiliated securities companies, fund management companies, public securities investment companies;
1.5. Information about sanctions against violations of law provisions on securities market;
1.6. The guidance and notices of the SSC, SE on managing and supervising the market shall be made under the provisions of the SSC and SE.
2. The SE must make information disclosure as prescribed in Article 32 and Article 33 of this Circular right after the occurrence of the events or after receiving the reports, notices, sufficient and valid information disclosure dossiers of listed organizations, affiliated securities companies, fund management companies, public securities investment companies.
3. The SE must periodically make general reports every quarter on the observance of law provisions on information disclosure of listed organizations, affiliated securities companies, fund management companies, public securities investment companies and other subjects, and send to the SSC.
Tìm kiếm
Thông tư 52/2012/TT-BTC (Bản Word)