Quy định điều kiện đầu tư, kinh doanh chứng khoán

DECREE Prescribing the securities investment and trading conditions Pursuant to the June 19, 2015 Law on Organization of the Government; Pursuant to the June 29, 2006 Securities Law; and the November 24, 2010 Law Amending and Supplementing a Number of Articles of the Securities Law; Pursuant to the November 26, 2014 Investment Law; Pursuant to the November 26, 2014 Enterprise Law; At the proposal of the Minister of Finance; The Government promulgates the Decree prescribing the securities investment and trading conditions. Chapter I GENERAL PROVISIONS Article 1. Scope of regulation and subjects of application 1. This Decree prescribes the securities investment and trading conditions which institutions and individuals must satisfy when conducting investment and trading activities on the Vietnamese securities market. 2. This Decree applies to securities companies, fund management companies, securities investment companies, Vietnam-based branches of foreign securities trading institutions, depository members, trading members, payment banks, supervisory banks, stock exchanges, the Vietnam Securities Depository and related bodies, institutions and individuals on the Vietnamese securities market. Article 2. Interpretation of terms In this Decree, the terms below are construed as follows: 1. Securities company means a business established and operating in accordance with the securities law to conduct one, several or all of the following operations: securities brokerage, securities dealing, securities issuance underwriting and securities investment consultancy, and allowed to provide financial services in accordance with the securities law. 2. Fund management company means a business established and operating in accordance with the securities law to conduct the following operations: management of securities investment funds, management of securities investment portfolios and securities investment consultancy. 3. Foreign securities trading institutions include securities companies and fund management companies established abroad. 4. Vietnam-based branch of a foreign securities company or fund management company means a subsidiary of such company that has no legal person status and may provide securities trading services in Vietnam.