THE GOVERNMENT
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SOCIALIST REPUBLIC OF VIET NAM
Independence - Freedom - Happiness
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No. 161/2004/ND-CP
Hanoi, September 7, 2004
 
DECREE
ON SANCTIONING OF ADMINISTRATIVE VIOLATIONS IN THE FIELD OF SECURITIES AND SECURITIES MARKET
THE GOVERNMENT
Pursuant to the December 25, 2001 Law on Organization of the Government;
Pursuant to July 2, 2002 Ordinance No. 44/2002/PL-UBTVQH10 on Handling of Administrative Violations;
At the proposal of the Finance Minister,
DECREES:
Chapter I
GENERAL PROVISIONS

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Article 1.- Governing scope
1. This Decree prescribes the sanctioning of administrative violations in the field of securities and securities market, sanctioning forms, remedial measures, sanctioning levels, competence and procedures.
2. Administrative violations in the field of securities and securities market prescribed in this Decree include:
a/ Violation of regulations on issuance of securities to the public;
b/ Violation of regulations on listing of securities at the Securities Trading Center or the Stock Exchange;
c/ Violation of regulations on securities transactions;
 

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