Regulatory Alerts2006-05-09 | 301/QĐ-UBCKAdded · Updated
Regulation on Registration of Securities Issuance to the Public, Listing Permits, and Securities Business Activity Permits (Decision No. 301/QĐ-UBCK)
The State Securities Commission issued Decision No. 301/QĐ-UBCK to establish the standardized procedures for reviewing applications for public securities issuance, listing permits, and securities business licenses. The document mandates specific workflows for the Functional Departments to receive, audit, and compile reports on applications, which are then evaluated by a Review Council chaired by the Commission's Chairman. It further defines the protocols for issuing, publishing, extending, revoking, or canceling permits, while assigning supervisory responsibilities to the Functional Departments and the Inspectorate to ensure legal compliance.
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