Chương I Thông tư 87/2013/TT-BTC: Quy định chung

Chapter 1

GENERAL PROVISIONS

Article 1. Scope of regulation

This Circular regulates the principles and procedures for conducting e-transactions during online securities trading activities, and for exchanging e-information relevant to public offers of securities, to securities depository, listing, registering and trading; to administration of securities companies, fund management companies and securities investment companies; and to disclosure and announcement of information and other securities market activities in accordance with the Law on Securities No. 70/2006/QH11 dated 29/06/2006 and Law on amending and supplementing a number of articles of Law on Securities No. 62/2010/QH12 dated 24/11/2010 (hereinafter referred to as Law on Securities).

Article 2. Subjects of regulation

Subjects of regulation include: The State Securities Commission (SSC), Stock Exchanges (SE), Vietnam Securities Depository (VSD), issuing organizations, listing organizations, securities companies, fund management companies, securities investment companies, public companies, investors and other intermediary organizations choosing to transact in securities activities and securities market electronically.

Article 3. Interpretation of terms

1. E-transactions in the securities sector means electronically conducted transactions and electronically provided services in securities and the securities market, including: public offers of securities, securities depository, listing, registering and trading; administration of securities companies, fund management companies and securities investment companies; and disclosure and announcement of information and other securities market activities in accordance with the Law on Securities.

2. E-voucher in the securities sector means a data message about a professional securities activity which is created, sent, received and stored by electronic means in the course of online securities trading; in the course of exchange of electronic information relevant to public offers of securities, securities depository, listing, registering and trading; in the course of administration of securities companies, fund management companies and securities investment companies; and during disclosure and announcement of information and other securities market activities in accordance with the Law on Securities.

3. E-order means a data message recording data about a trading order which a client has placed via the online securities transaction system (of the securities company where such client has opened a trading account) at a specific time when only that client is able to access such system via an access affirmation and order placing affirmation.

Article 4. Principles for e-transactions in the securities sector

1. The conduct of e-transactions in the securities sector must comply with the principles on clarity, fairness, truthfulness, safety and effectiveness, and must also comply with article 5 of the Law on E- Transactions No. 51/2005/QH11.

2. E-transaction service providers in the securities sector must satisfy the conditions stipulated in item I.1 of Section II of Circular 78/2008/TT-BTC on e-transactions in financial activities.

3. E-transaction service users in the securities sector must satisfy the conditions stipulated in Item I.2 of Section II of Circular 78/2008/TT-BTC on e-transactions in financial activities.