THE MINISTRY OF FINANCE
THE STATE SECURITIES COMMISSION

Decision No.  56/QD-UBCK dated January 31, 2013 of the State Securities Commission promulgating the regulation on transfer of securities ownership of public companies registered at the Vietnam stock depository center but have not yet listed, registered or not list, register transaction on the stock exchange
Pursuant to the Law on Securities No. 70/2006/QH11 dated June 29, 2006;
Pursuant to the Law amending and supplementing a number of articles of Law on Securities No. 62/2010/QH12 dated November 24, 2010;
Pursuant to the Decree No. 58/2012/ND-CP dated July 20, 2012 of the Government stipulating in detail and guiding the implementation of a number of articles of the securities Law and the law amending and supplementing a number of articles of securities Law;
Pursuant to the Decision No. 112/2009/QD-TTg dated September 11, 2009, of the Prime Minister defining the functions, tasks, powers and organizational structure of the State Securities Commission of the Ministry of Finance;
Pursuant to the  Circular No. 74/2011/TT-BTC dated June 01, 2011 guiding on securities transaction;
At the proposal of Director of market development Department and General Director of the Vietnam Stock Depository Center,
DECISION:
Article 1. To promulgate together with this Decision “Regulation on transfer of securities ownership of public companies registered at the Vietnam stock depository center but have not yet listed, registered or not list, register transaction on the stock exchange”
Article 2. This Decision takes effect on March 01, 2013.
Article 3. The Chief of office, Director of market development department, General Directors of the Stock Exchanges, General Director of the Vietnam Stock Depository Center, heads of units of State Securities Commission and relevant parties shall implement this Decision.
The Chairman of the State Securities Commission
Vu Bang
 
REGULATION
ON TRANSFER SECURITIES OWNERSHIP OF PUBLIC COMPANIES REGISTERED AT THE VIETNAM STOCK DEPOSITORY CENTER BUT HAVE NOT YET LISTED, REGISTERED OR NOT LIST, REGISTER TRANSACTION ON THE STOCK EXCHANGE
 (Issued together with the Decision No. 56/QD-UBCK dated January 31, 2013 of the Chairperson of State Securities Commission)
Chapter 1.
GENERAL PROVISIONS
Article 1. Scope and subjects of regulation
1. This Regulation promulgates contents relating to process, procedures to implement transfer of securities ownership of public companies registered at the Vietnam stock depository center (hereinafter abbreviated to VSD) but have not yet listed, registered or not list, register transaction on the stock exchanges (hereinafter abbreviated to SE) including:
a) Securities of public companies at the VSD but have not yet listed, registered transaction on SEs.