Regulatory Alerts2025-10-28 | 42/VBHN-BTCAdded · Updated
Unified Document No. 42/VBHN-BTC on Securities Company Operations
This unified document establishes the operational, governance, and risk management regulations for securities companies in Vietnam, effective from November 2, 2024. It mandates strict internal controls, including the separation of risk management and trading functions, independent internal audit requirements, and specific reporting timelines for shareholder changes and board meetings. The rules define eligibility criteria for key personnel, prohibit certain trading practices such as profit-sharing with clients, and require the maintenance of contingency plans to ensure business continuity.
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