Quyết định 161/2004/QĐ-TTg của Thủ tướng Chính phủ về việc quy định chức năng, nhiệm vụ, quyền hạn và cơ cấu tổ chức của Uỷ ban Chứng khoán Nhà nước

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DECISION No. 161/2004/QD-TTg OF SEPTEMBER 7, 2004 PRESCRIBING THE FUNCTIONS, TASKS, POWERS AND ORGANIZATIONAL STRUCTURE OF THE STATE SECURITIES COMMISSION

THE PRIME MINISTER

Pursuant to the December 25, 2001 Law on Organization of the Government; Pursuant to the Government's Decree No. 86/2002/ND-CP of November 5, 2002 defining the functions, tasks, powers and organizational structures of the ministries and ministerial-level agencies; Pursuant to the Government's Decree No. 66/2004/ND-CP of February 19, 2004 transferring the State Securities Commission to the Ministry of Finance; At the proposals of the Minister of Finance and the Minister of Home Affairs,

DECIDES:

Article 1.- Position and functions

1. The State Securities Commission is an organization under the Ministry of Finance, which bears responsibility before the Minister of Finance and performs the function of State management over securities and securities market; directly manages and supervises securities activities and securities markets; and manages public-service activities in the field of securities and securities market according to law provisions.

2. The State Securities Commission has the legal person status, seal engraved with the national emblem and may open accounts at the State Treasury according to law provisions.

Article 2.- Tasks and powers

The State Securities Commission performs the tasks and exercises the powers according to law provisions on securities and securities market as well as the following specific tasks and powers:

1. To formulate and submit to the Minister of Finance legal documents on securities and securities market; strategies, plannings, long-term, five-year and annual plans on securities and securities market;

2. To submit to the Minister of Finance the establishment, suspension of operation or dissolution of the Securities Trading Center, the Stock Exchange, Securities Custody Center and/or other organizations involving in securities activities and securities transactions for decision according to his/her competence or for consideration and submission to the Prime Minister.

3. To organize the implementation of legal documents, strategies, plannings and plans on securities and securities market after they are approved;

4. To promulgate professional standards and processes as well as econo-technical norms to be applied in its attached organizations and units according to law provisions and the Finance Minister's regulations;

5. To grant, extent, suspend and withdraw certificates of securities issuance or transaction registration; permits for securities listing, trading, certificates of securities business practice or service provision according to law provisions;

6. To organize and manage the Securities Trading Center, the Stock Exchange, the organized securities trading markets as well as securities custody, registration and clearing centers;

7. To manage the implementation of provisions on securities and securities market by the securities-issuing organizations, securities-listing organizations, securities-trading organizations and/or support organizations according to law provisions;

8. To examine, inspect and supervise organizations and individuals operating in the securities market and handle securities- and securities market-related violations according to law provisions;

9. To guide and create conditions for securities associations to realize their objectives, principles and operation charters; to inspect the observance of the State's regulations, handle or propose competent State agencies to handle law violations committed by securities associations according to law provisions and the Finance Minister's assignment;

10. To observe the regime of reporting on securities and securities market according to law provisions and the Finance Minister's management decentralization;

11. To enter into international cooperation on securities and securities market according to law provisions and the Finance Minister's assignment;

12. To carry out the administrative reform according to the targets and contents of its administrative reform program already approved by the Finance Minister;

13. To organize the analysis, forecasts, information, propagation and dissemination of knowledge of, as well as training and fostering on, securities and securities market for organizations and individuals operating in the securities market;

14. To organize scientific research into securities and securities market;

15. To organize and manage the application of information technology; modernize the securities and securities market management according to law provisions and the Finance Minister's management decentralization;

16. To manage its organizational apparatus, payroll, officials and employees; to provide professional training and fostering, and implement regimes and policies for officials and employees within its management scope according to law provisions and the Finance Minister's management decentralization;

17. To manage the assigned finance and assets according to law provisions and the Finance Minister's management decentralization.

18. To perform other tasks assigned by the Finance Minister.

Article 3.- Organizational structure of the State Securities Commission

a/ Apparatus assisting the Chairman of the State Securities Commission:

1. The Department for Securities Market Development;

2. The Department for Management of Securities Issuance;

3. The Department for Management of Securities Trading;

4. The Department for International Cooperation;

5. The Department for Organization and Personnel;

6. The Planning-Finance Department;

7. The Legal Department;

8. The Inspectorate;

9. The Office (with a representation in Ho Chi Minh city).

b/ Attached non-business organizations:

1. Hanoi Securities Trading Center;

2. Ho Chi Minh City Securities Trading Center;

3. The Center for Securities Scientific Research and Training;

4. The Informatics and Statistics Center;

5. The Securities Review.

The prescription of the functions, tasks and organizational structures of units under the State Securities Commission shall comply with the Finance Minister's regulations.

Article 4.- Leadership of the State Securities Commission

The leadership of the State Securities Commission is composed of a chairman and vice-chairmen.

The chairman of the State Securities Commission shall be appointed and relieved from duty by the Prime Minister at the proposal of the Finance Minister. The chairman of the State Securities Commission shall bear responsibility before the Finance Minister for the entire operation of the State Securities Commission.

Vice-chairmen of the State Securities Commission shall be appointed and relieved from duty by the Finance Minister at the proposal of the chairman of the State Securities Commission and bear responsibility before the chairman of the State Securities Commission for the working fields assigned to them.

Article 5.- Payroll

Payroll of the State Securities Commission shall be decided by the Finance Minister within the total payroll of the Finance Ministry.

Article 6.- Implementation effect

This Decision takes effect 15 days after its publication in the Official Gazette.

Article 7.- Implementation responsibilities

The Minister of Finance, the ministers, the heads of the ministerial-level agencies, the heads of the agencies attached to the Government, the presidents of the provincial/municipal People's Committees and the chairman of the State Securities Commission shall have to implement this Decision.

Prime Minister
PHAN VAN KHAI