Regulatory Alerts2003-11-28 | 399/QĐ-UBCKAdded · Updated
Decision No. 399/QĐ-UBCK on Issuing Regulations on Supervision of Fund Management Companies, Fund Asset Custodian Banks, and Securities Investment Funds
The Chairman of the State Securities Commission issued Decision 399/QĐ-UBCK to establish comprehensive supervision regulations for fund management companies, custodian banks, and securities investment funds. The decision mandates that the Securities Business Management Department lead supervision efforts through remote and on-site monitoring to ensure legal compliance, transparency, and investor protection. It further defines the specific supervisory responsibilities and coordination mechanisms among the Securities Business Management Department, the Inspectorate, and Securities Trading Centers.
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