Regulatory Alerts2025-12-22 | 83/KL-TTAdded · Updated
Conclusion of Inspection No. 83/KL-TT Regarding ACB Securities Company Limited
The State Securities Inspectorate issued Conclusion of Inspection No. 83/KL-TT regarding ACB Securities Company Limited, confirming compliance with licensing conditions, proprietary trading, brokerage, margin trading, and financial safety ratios. The inspection identified violations including incomplete information in VIB's private bond offering dossiers and late submissions of risk management and practitioner reports, resulting in administrative fines totaling 340,000,000 VND. The Inspectorate mandates the company to urgently rectify these compliance gaps, strictly adhere to private bond offering regulations, and assume full responsibility for advisory service shortcomings.
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