RegAlert

Rule · SSC · 28 Nov 2003 · 55/2004/QĐ-BTC

Decision No. 55/2004/QD-BTC on the Issuance of the Charter for Organization and Operation of Securities Companies

licensing
securities

The Minister of Finance issued Decision No. 55/2004/QD-BTC to formally promulgate the Charter governing the organization and operational activities of securities companies. This regulation establishes the legal framework for the internal structure and business conduct of securities firms in Vietnam. The decision mandates compliance from the Chairman of the State Securities Commission, all securities companies, and relevant stakeholders, and becomes effective 15 days after its publication in the Official Gazette.

VietnamState Securities Commission

Decision of the Minister of the Ministry of Finance

On the Issuance of the Charter for Organization and Operation of Securities Companies

Minister of the Ministry of Finance

Pursuant to Government Decree No. 144/2003/ND-CP dated November 28, 2003, on securities and the securities market;

Pursuant to Government Decree No. 77/2003/ND-CP dated July 1, 2003, defining the functions, tasks, powers, and organizational structure of the Ministry of Finance;

At the proposal of the Chairman of the State Securities Commission,

Decides:

Article 1.

To issue together with this Decision the Charter for Organization and Operation of Securities Companies.

Article 2.

This Decision takes effect 15 days after the date of publication in the Official Gazette.

Article 3.

The Chairman of the State Securities Commission, securities companies, and relevant parties are responsible for implementing this Decision.

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Government Decree No.144/2003/ND-CP dated November 28,…Not in RegAlert · GovernmentGovernment Decree No. 144/2003/ND-CP dated November 28, 2003, on securities… — Not in RegAlert · GovernmentGovernment Decree No.77/2003/ND-CP dated July 1, 2003,…Not in RegAlert · GovernmentGovernment Decree No. 77/2003/ND-CP dated July 1, 2003, defining the functions, tasks, powers, and organizational structure of the Ministry of Finance — Not in RegAlert · GovernmentDecision No. 55/2004/QD-BTC onthe Issuance of the Charter f…2003-11-28 · this documentDecision No. 55/2004/QD-BTC on the Issuance of the Charter for Organization and Operation of Securities Companies (2003-11-28)
amendssupersedesissued underrefers todashed card: not in RegAlert (or proposed)arrows run from the older text to the one that changes it
The links and the sentences they come from (2)
Issued under
  • Government Decree No. 144/2003/ND-CP dated November 28, 2003, on securities…Not in RegAlert · Government

    “Pursuant to Government Decree No. 144/2003/ND-CP dated November 28, 2003, on securities and the securities market;”

  • Government Decree No. 77/2003/ND-CP dated July 1, 2003, defining the functions, tasks, powers, and organizational structure of the Ministry of FinanceNot in RegAlert · Government

    “Pursuant to Government Decree No. 77/2003/ND-CP dated July 1, 2003, defining the functions, tasks, powers, and organizational structure of the Ministry of Finance;”

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