Regulatory Alerts2003-11-28 | 401/QĐ-UBCKAdded · Updated
Decision on Issuing Regulations on Supervision of Registration, Custody, Clearing and Settlement of Securities by Custody Members and Trading and Custody Centers
The Chairman of the State Securities Commission issued Decision 401/QĐ-UBCK to establish supervisory regulations for the registration, custody, clearing, and settlement activities of custody members and securities trading and custody centers. The document defines the scope, content, and methods of supervision, assigning specific oversight responsibilities to the Securities Business Management Board, the State Securities Commission's Inspectorate, and the centers themselves to ensure legal compliance and investor protection. It mandates coordinated efforts among these entities for monitoring, reporting violations, and handling enforcement actions to maintain market integrity.
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