Thông tư 128/2009/TT-BTC sửa đổi Quy chế tổ chức và quản lý giao dịch chứng khoán Công ty đại chúng chưa niêm yết tại trung tâm giao dịch chứng khoán Hà Nội kèm theo Quyết định 108/2008/QĐ-BTC do Bộ Tài chính ban hành

CIRCULAR

AMENDING AND SUPPLEMENTING THE REGULATION ON ORGANIZATION AND MANAGEMENT OF TRADING IN SECURITIES OF UNLISTED PUBLIC COMPANIES AT THE HANOI SECURITIES TRADING CENTER PROMULGATED TOGETHER WITH THE FINANCE MINISTER’S DECISION NO. 108/2008/QD-BTC DATED NOVEMBER 20, 2008

Pursuant to Securities Law No. 70/2006/QH11 passed by the National Assembly on June 28, 2006;Pursuant to the Government’s Decree No. 14/2007/ND-CP dated January 19, 2007, detailing a number of articles of the Securities Law;Pursuant to the Government’s Decree No. 118/2008/ND-CP dated November 27, 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Finance;The Ministry of finance guides the amendment and supplementation of a number of provisions of the Regulation on organization and management of trading in securities of unlisted public companies at the Hanoi Securities Trading Center promulgated together with the Finance Minister’s Decision No. 108/2008/QD-BTC dated November 20, 2008, as follow:

1. To amend and supplement Article 9 as follow:

"Article 9. Securities registration and depository and trading registration

1. Public companies shall carry out procedures for securities registration and depository with the Securities Depository Center (SDC) under the guidance of the State Securities Commission (SSC).

2. The SDC shall specify procedures for registration, depository, clearing and payment of securities of unlisted public companies.

3. The Hanoi Securities Trading Center shall specify procedures for trading registration and trading deregistration".

2. To add the following Article 16a on securities trading by members to Article 16:

"Article 16a. Securities trading by members dealing operation may purchase and sell stocks of the same type within a trading day in order to play it’s a role as a market maker. The SSC shall specify the implementation of this mechanism".

3. This Circular takes effect on the date of its signing.

4. Any problems arising in the course of implementation should be promptly reported by concerned units to the Ministry of Finance for study and additional guidance.

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