Circular 128/2009/TT-BTC amending the Regulation on Organization and Management of Securities Trading for Unlisted Public Companies at Hanoi Stock Exchange

|MINISTRY OF FINANCE |SOCIALIST REPUBLIC OF VIETNAM | |  |Independence - Freedom - Happiness | |----------------  | | | |-------------------------- | | | | |No. 128/2009/TT-BTC | | | |Hanoi, June 23, 2009 |

CIRCULAR Amending and Supplementing the Regulation on Organization and Management of Securities Trading for Unlisted Public Companies at the Hanoi Stock Exchange issued together with Decision No. 108/2008/QD-BTC dated November 20, 2008 of the Minister of Finance Based on the Securities Law No. 70/2006/QH11 passed by the National Assembly on June 29, 2006; Based on Government Decree No. 14/2007/ND-CP dated January 19, 2007 detailing the implementation of some articles of the Securities Law; Based on Government 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 certain points in the Regulation on Organization and Management of Securities Trading for Unlisted Public Companies at the Hanoi Stock Exchange issued together with Decision No. 108/2008/QD-BTC dated November 20, 2008 of the Minister of Finance as follows:

1. Amend and supplement Article 9 as follows: “Article 9. Registration, Depository of Securities and Trading Registration
2. Unlisted public companies must carry out procedures for registration and depository of securities with the Securities Depository Center (TTLKCK) according to the guidance of the State Securities Commission (SSC).
3. The Securities Depository Center specifies in detail the procedures for registration, depository, clearing and settlement of securities of unlisted public companies.
4. The Hanoi Stock Exchange specifies in detail the procedures for trading registration and cancellation of trading registration.”
5. Add Article 16a on trading of members after Article 16 as follows: “Article 16a. Trading of Members Members registered for proprietary securities trading are allowed to buy and sell the same type of stock on a trading day to perform the role of market makers. The State Securities Commission provides detailed guidance on the implementation of this mechanism.”
6. This Circular takes effect from the date of signing.
7. In the process of implementation, if there are difficulties, units are requested to report promptly to the Ministry of Finance for study and supplementary guidance./. |Where to send: |FOR THE MINISTER | |- General Office of the Government; |DEPUTY MINISTER | |- Central Office and Party Committees; |(Signed) | |- National Assembly Office; | | |- Office of the President; | | |- Ministries, ministerial-level agencies, and agencies under the Government; | | |- People's Councils and People's Committees of provinces and centrally-run cities; | | |- Supreme People's Procuracy, Supreme People's Court; | | |- State Audit Office; |Tran Xuan Ha | |- Central Committees of mass organizations; | | |- Official Gazette; | | |- Government Website; | | |- Document Inspection Department - Ministry of Justice; | | |- Units under the Ministry of Finance; | | |- BTC Website; | | |- Store: VT, SSC. | |