Regulatory Alerts2003-11-28 | 55/2004/QĐ-BTCAdded · Updated
Decision No. 55/2004/QD-BTC on the Issuance of the Charter for Organization and Operation of Securities Companies
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.
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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