| THE MINISTRY OF FINANCE ---------- | SOCIALIST REPUBLIC OF VIET NAM Independence - Freedom - Happiness ---------- |
| No.147/2012/TT-BTC | Hanoi, September 10, 2012 |
CIRCULAR
ON AMENDING AND SUPPLEMENTING A NUMBER OF ARTICLES OF “REGULATIONS ON SECURITIES PRACTICE” PROMULGATED TOGETHER WITH THE DECISION NO.15/2008/QD-BTC, OF MARCH 27, 2008 OF THE MINISTER OF FINANCE
Pursuant to the Law on Securities dated 29 June 2006;
Pursuant to the Law on amending and supplementing a number of articles of Law on Securities dated 24 November 2010;
Pursuant to the Government’s Decree No.58/2012/ND-CP, dated 20 July, 2012 detailing and guiding implementation of a number of articles of the Law on Securities and Law on amending and supplementing a number of articles of Law on Securities;
Pursuant to the Government's Decree No.118/2008/ND-CP, dated 27 November 2008 defining the functions, tasks, powers and organizational structure of the Ministry of Finance;
At the proposal of the Chairperson of the State Securities Commission;
The Minister of Finance promulgates Circular on amending and supplementing a number of articles of “regulations on securities practice” promulgated together with the Decision No.15/2008/QD-BTC, dated 27 march 2008 of the Minister of Finance,
Article 1. To amend and supplement a number of articles of “Regulations on securities practice” promulgated together with the Decision No.15/2008/QD-BTC, dated 27 march 2008 of the Minister of Finance, as follows:
1. To annul point b, clause 1, Article 4.
2. To amend Article 5 as follows:
“Article 5.- Dossier of and procedures for issuance of a securities practice certificate
1. A dossier from domestic individuals requesting for issuance of a securities practice certificate shall comprise:
a) Request for issuance of a securities practice certificate (made according to the standard form in Appendix 1 of the Regulations on securities practice)
b) Summarized curriculum vita of the applicant (made according to the standard form in Appendix promulgated together with this Circular) be certified signature of declarer within the six (6) month period prior to the date on which the State Securities Commission receives the dossier;
c) Legal record issued by the competent authority within the six (6) month period prior to the date on which the State Securities Commission receives the dossier, enclosed with a valid copy of the currently valid people's identity card or passport;
d) Valid copy of university degree, masters degree or doctorate;
dd) Valid copy of the lawful overseas securities practice certificate or equivalent document proving that the applicant has been permitted to legally conduct securities practice overseas (if any);
e) Valid copies of certificates of expertise in securities or of the degrees entitling exemption from such certificates of expertise in securities as prescribed in article 4 of the Regulations on securities practice;
