Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies

Rules for Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies

Rules, Conditions and Procedures for Offering for Sale of Shares by Shareholders of Limited Companies

Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators

Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2)

Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit

the State Securities Commission of Viet Nam (SSC Viet Nam) to engage with market participants including banks, securities firms and fund management companies, on the adoption of the ASEAN Green Bond

the Office of the Securities and Exchange Commission (“SEC Office”) prepare and submit the Audit Firm Profile and Details of the Audit Firms to which auditors are affiliated with the SEC Office. Table

SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the

conduct of derivatives brokers as follows: 1.    Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant