What is securities brokerage? What are trực tiếp bóng đá hôm nay conditions to be granted securities professional certifications in Vietnam?

Hello, Lawnet would like to answer as follows:

1. What is securities brokerage?

Securities brokerage means trực tiếp bóng đá hôm nay brokerage of sale and purchase of securities. (Clause 29, Article 4 of trực tiếp bóng đá hôm nayxem bóng đá trực tiếp)

Thus, stock brokerage is a job in trực tiếp bóng đá hôm nay stock business. Securities trading include brokerage, proprietary trading, securities underwriting, securities investment consulting, securities investment fund management, securities portfolio management and provision of securities-related services in accordance with Article 86 of trực tiếp bóng đá hôm nayxem bóng đá trực tiếp.

2. Conditions to be granted securities professional certifications in Vietnam

Securities professional certifications include:

+ Securities broker certificate;

+ Financial analyst certificate;

+ Fund management certificate.

According to trực tiếp bóng đá hôm nay provisions of Article 97 of trực tiếp bóng đá hôm nayxem bóng đá trực tiếp, a securities professional certification will be granted to an individual who:

+ has full legal capacity; is not facing criminal prosecution and is not being banned from securities practice as prescribed by law;

+ has a bachelor’s degree or above;

+ has professional training in securities; and:

+passes trực tiếp bóng đá hôm nay test for trực tiếp bóng đá hôm nay securities professional certification. Foreigners who have securities qualifications and foreign certified securities professionals need to pass trực tiếp bóng đá hôm nay test securities and securities market of Vietnam.

Thus, to be granted a securities professional certification, an individual must meet trực tiếp bóng đá hôm nay following conditions: have full legal capacity; not be prosecuted for criminal liability or banned from practicing; have a university degree or higher; Have professional qualifications in securities. At trực tiếp bóng đá hôm nay same time, individuals must pass a certification exam.

3. Documents and procedures for applying for a securities practice certificate

According to Clause 4, Article 213 ofDecree No. 155/2020/ND-CP, an application for trực tiếp bóng đá hôm nay securities practicing certificate shall contain:

+ trực tiếp bóng đá hôm nay application form No. 85 in trực tiếp bóng đá hôm nay Appendix ofDecree No. 155/2020/ND-CP;

Form No. 85: Download 

+ trực tiếp bóng đá hôm nay applicant’s personal information sheet according to Form No. 67 in trực tiếp bóng đá hôm nay Appendix which must be prepared within trực tiếp bóng đá hôm nay last 06 months before trực tiếp bóng đá hôm nay application is received by SSC;;

Form No. 67: Download 

+  trực tiếp bóng đá hôm nay judicial record issued by a competent authority within trực tiếp bóng đá hôm nay last 06 months before trực tiếp bóng đá hôm nay application is received by SSC;

+ trực tiếp bóng đá hôm nay applicant’s bachelor’s degree, master’s degree or doctoral degree;

+ A lawful securities practicing certificate issued overseas or equivalent documents proving that trực tiếp bóng đá hôm nay applicant is lawfully practicing securities in a foreign country; qualifications in securities or equivalent certificates;

+ 02 4x6 cm photos that are taken within trực tiếp bóng đá hôm nay last 06 months before trực tiếp bóng đá hôm nay application is received by SSC;

+ In case of applying for trực tiếp bóng đá hôm nay fund management certificate, trực tiếp bóng đá hôm nay application shall include a document certifying trực tiếp bóng đá hôm nay seniority and position of trực tiếp bóng đá hôm nay applicant issued by trực tiếp bóng đá hôm nay applicant’s current workplace or former workplaces.

-  trực tiếp bóng đá hôm nay application for trực tiếp bóng đá hôm nay securities practicing certificate will not be returned, even if it is rejected.

- Within 07 working days from trực tiếp bóng đá hôm nay receipt of trực tiếp bóng đá hôm nay satisfactory application, SSC shall issue trực tiếp bóng đá hôm nay securities practicing certificate and inform trực tiếp bóng đá hôm nay applicant of trực tiếp bóng đá hôm nay fee payable. In case trực tiếp bóng đá hôm nay application is rejected, SSC shall issue a written rejection and provide explanation.

- If trực tiếp bóng đá hôm nay certificate holder fails to pay trực tiếp bóng đá hôm nay fee or receive trực tiếp bóng đá hôm nay certificate within 01 year from trực tiếp bóng đá hôm nay day on which trực tiếp bóng đá hôm nay fee is notified by SSC, SSC will issue a decision to invalidate trực tiếp bóng đá hôm nay certificate issued.

- trực tiếp bóng đá hôm nay Ministry of Finance shall specify trực tiếp bóng đá hôm nay fees for issuance, reissuance of securities practicing certificates; organization of examinations for securities practicing certificates according to Point d Clause 2 Article 97 of trực tiếp bóng đá hôm nayxem bóng đá trực tiếp, qualifications and equivalent certificates specified in Point b Clause 1 and Point b Clause 2 of Article 213 ofDecree No. 155/2020/ND-CP.

Thus, trực tiếp bóng đá hôm nay application file for a securities practice certificate includes: application form, personal information, criminal record, qualifications, photos, and related certificates.

Within 7 days of receiving complete and valid documents, trực tiếp bóng đá hôm nay State Securities Commission will issue a certificate and notice of fee payment. If trực tiếp bóng đá hôm nay fee is not paid within 1 year, trực tiếp bóng đá hôm nay certificate will be canceled.

Best regards!

Key word: securities professional certifications | securities | in Vietnam | securities brokerage |

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