CIRCULAR

AMENDMENTS TO THE CIRCULAR NO. 115/2017/TT-BTC DATED OCTOBER 25, 2017 PROVIDING GUIDELINES FOR SUPERVISION OF SECURITIES TRANSACTIONS ON SECURITIES MARKET AND THE CIRCULAR NO. 116/2017/TT-BTC DATED OCTOBER 25, 2017 PROVIDING GUIDELINES FOR SUPERVISION OF SECURITIES OPERATIONS OF STOCK EXCHANGES AND VIETNAM SECURITIES DEPOSITORY BY THE STATE SECURITIES COMMISSION OF VIETNAM

Pursuant to the Law on securities dated June 29, 2006;

Pursuant to the Law on amendments to the Law on securities dated November 24, 2010;

Pursuant to the Government’s Decree No. 58/2012/ND-CP dated July 20, 2012 elaborating and guiding the implementation of the Law on securities and the Law on amendments to the Law on securities;

Pursuant to the Government’s Decree No. 60/2015/ND-CP dated June 26, 2015 on amendments to the Government’s Decree No. 58/2012/ND-CP dated July 20, 2012 elaborating and guiding the implementation of the Law on securities and the Law on amendments to the Law on securities;

Pursuant to the Government’s Decree No. 42/2015/ND-CP dated May 05, 2015 on derivatives and derivative market;

Pursuant to the Government’s Decree No. 87/2017/ND-CP dated July 26, 2017 defining functions, tasks, powers and organizational structure of the Ministry of Finance;

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The Minister of Finance promulgates a Circular providing amendments to the Circular No. 115/2017/TT-BTC dated October 25, 2017 providing guidelines for supervision of securities transactions on securities market and the Circular No. 116/2017/TT-BTC dated October 25, 2017 providing guidelines for supervision of securities operations of Stock Exchanges and Vietnam Securities Depository (VSD) by the State Securities Commission of Vietnam (SSC).

Article 1. Amendments to the said Circular No. 115/2017/TT-BTC dated October 25, 2017 of the Minister of Finance

1. Clause 11 Article 4 is amended as follows:

“11. SSC shall, at the request of the Ministry of Finance, submit reports on supervision of securities transactions to the Ministry of Finance.”

2. Clause 1 Article 13 is amended as follows:

“1. Within 02 first business days of the following week, the Stock Exchange shall submit reports on supervision of weekly transactions, including:

a) Order book, results of daily securities transactions; periodically published information in the trading day as regulated in Clause 2 Article 33 of the Circular No. 155/2015/TT-BTC dated October 06, 2015 of the Minister of Finance providing for information disclosure on securities market, using the form No. 01 provided in the Appendix I enclosed herewith, except information relating to the open interest of derivatives;