Chương III Thông tư 87/2013/TT-BTC: Hoạt động trao đổi thông tin điện tử

Chapter 3

EXCHANGE OF ELECTRONIC INFORMATION

Article 14. Provisions on exchange of electronic information

1. Activities of electronic information exchange means exchange of information via the internet between market management bodies (comprising the State Securities Commission, Stock Exchanges), securities companies, fund management companies and securities investment companies [on the one hand] with entities registered to use such services [on the other hand].

2. Entities registering to use information exchange services via their registered address may send data disclosing information by their units and may receive feedback information from securities market management bodies.

3. The entities of register to use electronic information exchange services include:

a) Public companies and organizations registered to make a public offering of securities.

b) Organizations and individuals conducting securities registration and/or securities depository

c) Organizations applying for permission to establish a securities company, fund management company or securities investment company.

d) Other relevant organizations or individuals.

4. Any entity wishing to register for use of electronic information exchange service must lodge an application for registration and complete other necessary procedures in order to be able to use any electronic information exchange service on the website of a market management body.

5. Market management bodies shall issue Rules on electronic information exchange services and in necessary cases must sign a written contract with entities registering for use of the above service. This contract must state clearly the legal responsibilities of the two parties and the risks which may occur to clients when clients use the services of a provider.

6. Management bodies must create a website on the internet in order to provide a portal for their electronic information exchange services.

7. Electronic information exchange service providers shall ensure regime on confidentiality of client information.

8. Information and data transmitted via an electronic information exchange system must satisfy the conditions stipulated in article 4 of the Decree 27/2007/ND-CP on e-transactions in financial activities.

9. Procedures for registration to provide electronic information exchange services must comply with Item V.A.2 of Section II of Circular 78/2008/TT-BTC on e-transactions in financial activities.