Implementing Control of Reporting and Information Disclosure Obligations of Internal Persons and Related Persons

Dear Customer,

VIX Securities Joint Stock Company (“VIX”) extends respectful greetings and gratitude for your trust in utilizing VIX’s services.

Basis:

Circular 96/2020/TT-BTC of the Ministry of Finance dated November 16, 2020, providing guidance on information disclosure (CBTT) in the stock market.
Official Dispatch No. 5876/UBCK-VP dated August 25, 2023, from the State Securities Commission, outlining the implementation plan to control the reporting and pre-transaction information disclosure obligations of internal persons and related persons of organizations listed and registered for trading on UPCoM, HOSE, and HNX exchanges.

To ensure your transactions are seamless, prompt, and compliant with the requirements of the State Securities Commission, VIX recommends that individuals subject to disclosure (internal persons, persons related to the trading code) fulfill reporting/disclosure obligations as per regulations outlined in Circular 96/2020/TT-BTC. Additionally, we encourage providing VIX with information regarding the completion of your information disclosure obligations (content to be disclosed by the Stock Exchange on its website) prior to conducting transactions at VIX.

VIX wishes to highlight some important points regarding reporting and information disclosure obligations, as follows:

Individuals designated as NNB and NCLQ must disclose information and report to the State Securities Commission and the Stock Exchange before and after transactions when the expected transaction value per day exceeds 50 million VND or the expected transaction value in each month totals 200 million VND or more, calculated by par value (for stocks, convertible bonds, fund certificates).
At least 03 working days before the expected transaction date, internal persons and related persons must disclose information regarding the expected transaction.
Transaction deadlines must not exceed 30 days from the transaction registration date. Internal persons and related persons must adhere to the time, volume, and value specified by the Stock Exchange and can only execute the first transaction on the trading day immediately following the date of information announcement by the Stock Exchange.

We trust in your cooperation with VIX in providing information to fulfill reporting/disclosure obligations, thereby facilitating your trading activities at VIX.

For any inquiries, please contact your Account Manager or call the Hotline at 024.4456.8888 for assistance.

Warm regards,