DOSSIERS FOR REGISTRATION FOR SECURITIES LISTING ON SECURITIES EXCHANGES

Securities listing is the announcement of securities eligible for money transactions in a concentrated trading market. According to the provisions of the law, securities must satisfy all the prescribed conditions for listing by the securities trading center (stock exchange).
1, Securities listing registration documents:
Components of securities listing registration documents are specified in Clause 2, Article 57, Decree 58/2012 / ND-CP:
“2. An application for stock listing registration includes:
a) An application form for listing shares;
b) Decision of the latest General Meeting of Shareholders approving the listing of shares;
c) The register of shareholders of the registered organization is made within 1 month prior to the time of submission of the application file for listing registration;
d) Prospectus form set by the Ministry of Finance;
dd) Commitments of shareholders who are members of the Board of Directors, Supervisory Board, Director (General Director), Deputy Director (Deputy General Director), Chief Accountant, and commitments of major shareholders who have Relating to members of the Board of Directors, Supervisory Board, Director (General Director), Deputy Director (Deputy General Director) and Chief Accountant holding 100% of the shares owned by them in Within 06 months from the listing date and 50% of these shares in the next 06 months;
e) Listed consultancy contract (if any);
g) A written commitment to limit the participation rate of the foreign party as prescribed by law for a particular business field (if any);
h) List of persons related to members of the Board of Directors, Board of Directors, Board of Supervisors and Chief Accountant;
(i) Certificate of the Securities Depository Center stating that the organization’s shares have been registered and centrally deposited;
k) The State Bank’s written approval for joint-stock credit institutions.
The Stock Exchange, after approving the listing registration organization, must submit to the State Securities Commission a copy of the listing registration dossier ”.
2, Time limit for settlement:
According to Article 58, Decree 58/2012 / ND-CP:
“first. Within 30 days after receiving complete and valid dossiers, the Stock Exchange shall approve or refuse to register for listing. In case of refusal to register for listing, the Stock Exchange must reply in writing, clearly stating the reason.
2. The Stock Exchange shall guide in detail the process of securities listing registration in the Regulation on securities listing on the Stock Exchange ”.
The registration process is different depending on each Stock Exchange, you must follow the registration process of that Stock Exchange.

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