Decision 306/QĐ-UBCK on Guiding the Implementation of Securities Activity Fees at Stock Exchanges and the Vietnam Securities Depository

MINISTRY OF FINANCE

STATE SECURITIES COMMISSION

No.: 306/QĐ-UBCK

SOCIALIST REPUBLIC OF VIETNAM

Independence - Freedom - Happiness

Hanoi, May 18, 2010

DECISION

On guiding the implementation of Circular No. 27/2010/TT-BTC dated February 26, 2010, prescribing the collection rates, collection and payment regimes, management, and use of securities activity fees applied at stock exchanges and the Vietnam Securities Depository

CHAIRMAN OF THE STATE SECURITIES COMMISSION

Pursuant to the Securities Law No. 70/2006/QH11 passed by the National Assembly on June 29, 2006;

Pursuant to Government Decree No. 14/2007/ND-CP dated January 19, 2007, detailing the implementation of certain articles of the Securities Law;

Pursuant to Decision No. 112/2009/QĐ-TTg dated September 11, 2009, prescribing the functions, tasks, powers, and organizational structure of the State Securities Commission under the Ministry of Finance;

Pursuant to Circular No. 27/2010/TT-BTC dated February 26, 2010, of the Ministry of Finance prescribing the collection rates, collection and payment regimes, management, and use of securities activity fees applied at stock exchanges and the Vietnam Securities Depository;

At the request of the Head of the Market Development Department,

DECIDES

Article 1.

To issue herewith the Guideline on the implementation of collection and payment of securities activity fees applied at stock exchanges and the Vietnam Securities Depository.

Article 2.

This Decision takes effect from the date of signature and replaces Decision No. 184/QĐ-UBCK dated March 17, 2006, of the State Securities Commission guiding the implementation of fee collection in the securities sector.

Article 3.

The Head of the Office, the Head of the Market Development Department, the heads of units under the State Securities Commission, the General Directors of Stock Exchanges, the General Director of the Vietnam Securities Depository, the Directors of securities companies, commercial banks, listed organizations, fund management companies, securities issuing organizations, and other organizations and individuals performing tasks related to securities market operations at stock exchanges and the Vietnam Securities Depository are responsible for implementing this Decision.

Where distributed:

• Leadership of the State Securities Commission;

• As per Article 3;

• Store: Office, Market Development Department.

CHAIRMAN

(Signed)

Vu Bang