THE MINISTRY OF FINANCE

Circular No. 13/2013/TT-BTC of January 25, 2013, on securities trading surveillance on the securities market
Pursuant to the June 29, 2006 Law on Securities;
Pursuant to the November 24, 2010 Law Amending and Supplementing a Number of Articles of the Law on Securities;
Pursuant to the Government’s Decree No. 58/2012/ND-CP of July 20, 2012, detailing and guiding a number of articles of the Law on Securities and the Law Amending and Supplementing a Number of Articles of the Law on Securities;
Pursuant to the Government’s Decree No. 118/2008/ND-CP of November 27, 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Finance;
At the proposal of the Chairman of the State Securities Commission;
The Minister of Finance promulgates the Circular on securities trading surveillance on the securities market.
Chapter I
GENERAL PROVISIONS
Article 1. Scope of regulation
This Circular guides the securities trading surveillance on the organized securities market.
Article 2. Subjects of application
This Circular applies to the following watchdogs and entities subject to surveillance:
1. Watchdogs:
a/ The State Securities Commission (SSC);
b/ The Stock Exchanges (SEs).
2. Subject to surveillance are institutions and individuals involved in securities trading and providing securities trading-related services, including:
a/ Listed institutions, institutions registered for trading;
b/ Securities companies, depository members of the Vietnam Securities Depository (VSD);
c/ Securities investment fund management companies, securities investment funds and securities investment companies;
d/ SEs and VSD, when providing securities trading-related services;
dd/ Affiliated entities (supervisory banks, commercial banks providing the service of opening securities investment deposit accounts, and investors).

Article 3. Interpretation of terms