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Frequently asked questions about
Frequently Asked Questions about Bonds
Bonds are securities that confirm the legal rights and interests of bondholders regarding the debt of the issuing entity. The issuing organization is responsible for fulfilling commitments to pay periodic interest, and upon maturity, returning the initial amount to investors. Bonds are issued in the form of certificates or ledger entries. Corporate bonds are divided into two types:
Listed bonds: These are bonds officially registered and centralized in the Vietnam Securities Depository (VSD). Additionally, they are allowed to trade on centralized trading floors such as HSX and HNX. All trading processes must comply with the regulations proposed by the Stock Exchange. Unlisted corporate bonds (also known as OTC bonds): In contrast to listed bonds, unlisted bonds are bonds not registered with the VSD. They only trade on the OTC market based on individual agreements between investors.
- What are the characteristics of corporate bonds?
+ Bond Term: The term of bonds issued by enterprises depends on the capital needs of the enterprise.
+ Quantity of Issuance: Enterprises are free to determine the quantity of bonds issued based on capital usage needs and fundraising abilities corresponding to each period.
+ Currency of Issuance and Bond Payment: For the domestic market, the currency of issuance is the Vietnamese Dong (VND). For foreign markets, the currency of issuance follows the regulations of the respective market. In cases of periodic interest payments and principal repayment, the currency will correspond to the type issued.
+ Bond Par Value: For the domestic market, the bond par value is VND 100,000,000 or multiples of VND 100,000,000. For foreign markets, the par value follows the regulations of the respective market.
+ Issuance Form: Ledger entries, certificates, or electronic data, depending on the issuer's decision at the time of issuance.
+ Coupon Interest Rate: This is the annual percentage interest rate calculated on the bond's par value that the issuer must pay to bondholders at the scheduled interest payment dates according to the bond's conditions and terms.
- What are the benefits of investing in corporate bonds? The corporate bond investment market has experienced remarkable growth in recent times. This signifies the tremendous attractiveness of this investment channel. Trading in corporate bonds offers several advantages to investors, including:
+ Lower risk compared to stock investment, as bondholders are prioritized in debt repayment in the event of bankruptcy or liquidation.
+ Higher interest rates than savings deposit rates.
+ High liquidity, allowing securities investors to flexibly buy and sell.
+ The ability to reinvest periodic interest payments.
- Who can purchase individual corporate bonds? According to Article 8, Clause 1 of Decree 153/2020/ND-CP (amended by Decree 65/2022/ND-CP), the following entities can purchase bonds:
+ For non-convertible bonds without warrants: Securities investors as regulated by securities laws.
+ For convertible bonds and bonds with warrants: Professional securities investors, strategic investors, with the number of strategic investors being less than 100.
- Bond Term: The term of the bond is determined by the issuing enterprise for each offering, based on the company's capital utilization needs.
- Issuance Quantity: The enterprise is free to decide the quantity of bonds to be issued, based on its capital utilization needs and the market's fundraising capacity at different times.
- Currency for Issuance and Payment: For the domestic market, the issuance currency is stipulated as VND. For foreign markets, the issuance currency is applied according to local market regulations. For periodic interest payments and principal repayment, the payment currency will correspond to the issuance currency.
- Bond Face Value: For the domestic market, the bond face value is 100,000,000 VND or multiples of 100,000,000 VND. For foreign markets, the bond face value is applied according to local market regulations.
- Issuance Form: The form of issuance can be by debit entry, certificate, or electronic data, depending on the enterprise's decision at the time of issuance.
- Nominal Interest Rate of the Bond (Coupon): This is the annual percentage (%) interest rate based on the bond's face value that the issuer must pay to the bondholder on interest payment dates according to the bond's terms and conditions.
The corporate bond investment market has seen remarkable growth recently. This signifies the immense attractiveness of this investment channel, with corporate bond transactions offering investors several benefits, including:
- Lower Risk: Compared to investing in stocks, corporate bonds carry lower risk as bondholders are prioritized for debt repayment in the event of bankruptcy or dissolution of the company;
- Higher Interest Rates: Corporate bonds typically offer higher interest rates than bank deposits;
- High Liquidity: Corporate bonds are highly liquid, allowing professional investors to flexibly buy and sell;
- Reinvestment Opportunity: The periodic interest income can be used for reinvestment.
According to Article 8, Clause 1 of Decree No. 153/2020/ND-CP (amended by Decree No. 65/2022/ND-CP), the eligible purchasers of corporate bonds include:
- For non-convertible bonds without warrants: Professional securities investors as defined by securities laws.
- For convertible bonds and bonds with warrants: Professional securities investors and strategic investors, with the number of strategic investors not exceeding 100.
Investing in any product carries inherent risks, so investors should thoroughly understand the investment product to avoid unwarranted risks:
- Researching Information about the Issuing Company: Besides interest rates and profits, the company's business performance is a crucial measure of bond quality. A company with strong operations and robust development is likely to issue high-quality bonds. Therefore, factors indicating a well-developed company include effective management, a strong market position, solid finances, promising industry prospects, and transparent information.
- Assessing the Risk-Return Relationship: High interest rates are attractive but come with significant risks. Investors should calmly assess this relationship in the broader market context to make informed decisions.
- Terms and Conditions of the Bond: Consider conditions such as asset backing of the bond package.
- Bond Maturity: The bond's maturity is a critical factor affecting the ability to recover capital quickly or slowly, directly impacting future investment plans.
EVS - Guide to Depositing Funds into Individual Corporate Bond Trading Account
Customers can visit the trading counter at the bank to deposit cash or transfer funds from their bank account to the individual corporate bond trading account opened at EVS using the following information:
- Account Holder Name: Everest Securities Corporation
- Account Number: 1042039590 at Vietcombank (VCB)
- Description/Note: Bond trading deposit + [(Account Number) + (Account Holder's Name)]
Example: If the customer's account at EVS is 040C123456 for bond trading:
- Deposit Description: Bond trading deposit 040C123456 Nguyen Van A
Frequently asked questions about
Account
Customers can open an account with EVS in two ways:
1. Online Registration: Please visit https://ekyc.eves.com.vn/ekycfpt.aspx or download the EVS trading app "EVS trading" and follow the steps provided.
2. In-Person at EVS Counter: You can also visit the nearest EVS trading counter with a valid ID card (CMND/CCCD) to receive advice and assistance for account opening.
Investors are only allowed to open one securities trading account at each securities company. However, investors can open accounts at different securities companies. The exception is for individuals holding a securities practice certificate, who are restricted to opening an account only at the securities company where their certificate is registered.
At EVS, a regular cash account is denoted by the suffix ".1" and is symbolized by 040Cxxxxxx.1. This account type uses cash on hand for securities trading.
A margin account at EVS is denoted by the suffix ".3" and is symbolized by 040Cxxxxxxx.3. This account allows investors to use borrowed funds from the brokerage to trade securities. The collateral for the loan includes all assets held in the account, such as cash or securities designated for margin trading at EVS.
The Smart OTP feature allows customers to easily obtain an OTP (One-Time Password) for online money transfers without receiving OTP codes via SMS to their phone number. To use Smart OTP, customers need to register for the Smart OTP service. Please refer to the instructions provided here for detailed guidance.
If you use online trading services and wish to change your email address or physical address, please follow these instructions:
1. For Online Changes:
- To change your address online, please visit [https://ekyc.eves.com.vn/ekycfpt.aspx](https://ekyc.eves.com.vn/ekycfpt.aspx) and log into your online securities trading account.
- Follow the instructions provided:
- [Guide to change address online](https://ekyc.eves.com.vn/ekycfpt.aspx)
- [Guide to change email online](https://ekyc.eves.com.vn/ekycfpt.aspx)
2. For In-person Assistance:
- Alternatively, you can visit the nearest EVS trading counter with your valid ID card (CMND/CCCD) to receive guidance and support for updating your information.
These steps will help you update your email address and physical address based on your preferred method of assistance, either online or in-person.
Frequently asked questions about
Trading instructions
Dear customers, you can place orders through the following channels:
- Directly at EVS Trading Counters: Please bring your valid ID card (CMND/CCCD) and fill out the order form at our trading counters.
-
Via Phone: Use the phone number registered with EVS to call our hotline at 0243 7726699 and select the appropriate extension.
-
Online Order Placement: Follow the instructions below:
- Order Placement Method: Trading buy and sell on the exchange. Customers can place odd-lot sell orders through the following channels: at the counter, via EVS hotline (0243 7726699), or on online platforms.
- Payment Time: Odd-lot trading orders are settled and paid in the same manner as regular trading orders after matching.
- General Regulations: Detailed content
| Securities apply | Stocks, closed-end funds, exchange-traded funds (ETFs), and warrants |
| Trading volume | From 01 to 99, securities |
| Trading method | Continuous matching trading and negotiated trading |
| Trading time | Continuous trading: 9:15 AM - 11:30 AM and 1:00 PM - 2:30 PM Negotiated trading: 9:15 AM - 11:30 AM and 1:00 PM - 3:00 PM |
| Types of orders applicable | Limit Order (LO) |
| Tick size Price unit Price fluctuation range Settlement time Order modification, cancellation |
Regulations similar to trading in even lot securities |
| Other considerations | 1. Trading in odd-lot stocks, ETF certificates, and warrants newly listed or resuming trading after suspension for 25 consecutive trading days or more is not allowed to be entered into the trading system until a closing price is established.
2. Odd-lot securities transactions can only match with each other and cannot match with even-lot securities orders. |
To conduct off-exchange transactions (OTC trades), investors or members negotiate directly with each other regarding price and volume. The agreed-upon price must fall within the price fluctuation range on the trading day. Here are the regulations regarding the volume of OTC trades:
Even Lot Trading:
- HOSE: Orders with a volume of 20,000 shares/units of fund certificates or more.
- HNX: Orders with a volume of 5,000 shares or more.
- UpCom: Orders with a volume of 10 shares or more can be traded OTC.
Odd Lot Trading:
- HOSE: Orders with a volume of fewer than 100 shares/units of fund certificates.
- HNX: Orders with a volume of fewer than 100 shares.
- UpCom: Orders with a volume of fewer than 10 shares.
To place an OTC order, please bring your valid ID card or passport and fill out the order form at the trading counter. Alternatively, you can directly contact your account manager or brokerage staff for assistance.
You can receive notifications of matched orders and balance changes through the following channels:
- Receive direct notifications at EVS trading counters.
- Call EVS hotline at 0243 7726699 using the registered phone number and select the appropriate extension for assistance.
- Receive SMS notifications from EVS regarding matched orders and balance changes on your securities trading account (if you are subscribed to SMS service).
- Receive email notifications from EVS regarding matched orders and balance changes (if you have registered your email with EVS).
- Receive notification alerts on your securities trading account on EVS's online trading platforms (if you have registered and are using online trading on EVS website/app).
These channels ensure you are promptly informed about the status of your transactions and account balances.
Please visit the website https://www.eves.com.vn, select "Online Trading," or download the EVS Trading app. Enter your "Username" and "Password," then click "Log In" to access online trading.
Customers log in on the website https://www.eves.com.vn or download the EVS Trading app and follow the instructions here.
* Customers can visit EVS transaction counters directly or call the hotline at 0243 7726699.
* Customers can log in to the website https://www.eves.com.vn or download the EVS Trading App and follow the instructions here.
* On the last day of each month, EVS sends monthly transaction statements to the email registered with EVS.
* Customers can visit EVS transaction counters directly or call the hotline at 0243 772 6699.
* Customers can log in to the website https://www.eves.com.vn or download the EVS Trading App and follow the instructions here.
Frequently asked questions about
Money transactions
- Please refer to the deposit methods available Here.
- For further details, please contact your Account Manager or call the hotline at 0243 7726699.
- If you need further details, please contact your Account Manager or call our hotline at 0243 7726699."
Please refer to the methods for withdrawing/transferring funds from your securities account here.
Customers can choose from the following methods to transfer funds to their bank accounts:
- Customers can visit the EVS branch directly.
- Alternatively, customers can refer to the method of transferring funds to a bank account via Web trading or the EVS Trading App here.
Customers can choose from the following methods to transfer funds between accounts:
- Customers can visit the EVS branch directly.
- Alternatively, customers can call the hotline at 0243 7726699 for assistance.
- Or customers can refer to the method of transferring funds between accounts via Web trading or the EVS Trading App here
- For withdrawals from accounts under the same owner, the maximum limit is 3 billion VND per day per account. If you wish to withdraw more than 3 billion VND, please contact 0243 7726699 or directly contact your Account Manager for assistance.
- For withdrawals from accounts under different owners, the maximum limit is 500 million VND per day per account. If you wish to withdraw more than 500 million VND, please contact 0243 7726699 or directly contact your Account Manager for assistance.
- There is no limit on the number of withdrawals per day.
- Transfer hours: From 8:00 AM to 4:15 PM from Monday to Friday weekly (excluding Saturdays, Sundays, and public holidays, Tet holidays as announced by the State Securities Commission).
- For identity-verified deposits: Deposits made with identity verification are credited to the securities account instantly, 24/7. However, for interbank transfers, it depends on the clearing time of the banks involved.
- For regular deposits: Transfer time depends on the clearing time of the banks involved. If you transfer funds from a bank account within the same system as the investor's account opened by EVS, it will be faster.
Please kindly visit the EVS trading counter directly for assistance.
* Customers can visit EVS trading counters directly or call the hotline at 0243 772 6699.
* Alternatively, customers can log in to the website https://www.eves.com.vn/ or download the EVS Trading App and follow the instructions here.
Frequently asked questions about
Margin
Margin trading at a securities company involves buying securities using borrowed money from the securities company, where the securities obtained from this transaction and other securities held in the investor's margin account are used as collateral for the borrowed funds.
Before engaging in margin trading, investors must sign a margin trading agreement with the securities company authorized to provide margin trading services to clients according to legal regulations. The margin trading agreement also serves as the contract for loans against the margin trading account.
Customers need to sign a Margin Trading Agreement with EVS. After that, customers can trade on the sub-account ending in '.3' with securities listed in the Margin Trading Portfolio at EVS.
Only stocks listed in the Margin Trading Portfolio can be traded on the Margin sub-account at EVS (sub-account ending in '.3'). Customers can check the detailed Margin Trading Portfolio here: https://en.eves.com.vn/service-product/margin-trading/margin-portfolio/. In case the stock "XXX" is not listed in the Margin Trading Portfolio at EVS, customers need to switch to the Regular sub-account (sub-account ending in '.1') to continue trading.
The Margin interest rates and fees for securities selling proceeds waiting to be credited may vary according to different periods. Customers can find detailed information in Section II. Financial Service Fees of the Detailed Securities Service Fee Schedule: https://en.eves.com.vn/service-product/fee-schedule/service-fee-schedule/
The interest on the loan is calculated based on the interest rate and the actual number of days borrowed (including trading days, holidays, and festivals) corresponding to the margin trading loan amount of the customer. The formula is as follows:
Interest on the loan = Loan amount * actual number of borrowing days * interest rate / 365
The margin loan interest at EVS will be calculated from the occurrence of the outstanding balance, including Saturdays, Sundays, and holidays.
The maximum loan term is not more than three (03) months from the disbursement date. Customers can extend the loan based on EVS regulations for each period, however, the extension period for each loan shall not exceed three (03) months.
Borrowers are allowed to repay the loan before the due date without any penalties. To repay the loan, the borrower deposits money into the margin sub-account before the system's end-of-day processing time. Any deposits made after the debt collection time within the day will be collected on the following day.
Frequently asked questions about
Stock
According to the regulations of the Vietnam Securities Depository Center, securities purchased on day T will be credited to the investor's account before 1:00 PM on T+2 (working day).
For example: If a customer conducts a stock purchase transaction on August 25, 2022 (day T), and August 27 and 28 are non-working days, the customer will receive the securities before 1:00 PM on August 29, 2022 (T+2) to sell them in the afternoon trading session of the same day.
1. At-the-Open (ATO) Order (only on HOSE):
- This is an order to buy or sell securities at the opening price. ATO orders are given priority over limit orders (LO) during order matching.
- The order will be automatically cancelled at the end of the session if it is not executed or partially executed.
- The regular matching session to determine the opening price will not determine the matching price if there are only ATO orders on the order book.
2. At-the-Close (ATC) Order:
- This is an order to buy or sell securities at the closing price. ATC orders are given priority over limit orders during order matching.
- ATC orders will be automatically cancelled at the end of the session if they are not executed or partially executed.
- The regular matching session to determine the closing price will not determine the matching price if there are only ATC orders on the order book.
3. Limit Order (LO):
- This is an order to buy or sell securities at a specific price. The order is effective from the time it is entered into the trading system until the end of the trading day or until it is cancelled.
4. Market Price (MP) Order (only on HOSE):
- This is an order to buy or sell at the best market price available at the current market price. This means buying at the lowest ask price and selling at the highest bid price currently available on the market during continuous matching sessions.
- MP orders are cancelled if there are no corresponding limit orders at the time of order entry into the system.
- If there is still remaining volume of the MP order after trading according to the above principle and cannot continue to be matched, the MP order will be converted into a limit buy order at a price one tick higher than the last transaction price or a limit sell order at a price one tick lower than the last transaction price.
- In the case where the last executed price is the ceiling price for MP buy orders or the floor price for MP sell orders, the market order will be converted into a limit buy order at the ceiling price or a limit sell order at the floor price.
5. Post-Closing Matching (PLO) Order (only on HNX):
- This is an order to buy/sell securities at the closing price after the end of the regular closing matching session.
- PLO orders are only entered into the system during after-hours trading sessions.
- PLO orders are matched immediately upon entry into the system if there is a ready waiting corresponding order. The execution price is the closing price of the trading day.
- PLO orders are not allowed to cancel/modify.
- In the case where the continuous matching session and the regular closing matching session cannot determine the matching price, the PLO order will not be entered into the system.
6. Market-At-Last (MAT), Market-Order-Kill (MOK), Market-Order-Limit (MTL) (only on HNX):
- MTL: This is a market order that can be fully or partially executed. The remaining part of the order will be converted into a LO limit order. Essentially, the MTL order has characteristics similar to the MP order on HOSE.
- MOK: This is a market order that, if not fully matched, will be cancelled on the system immediately after entry.
- MAK: This is a market order that can be fully executed or partially executed. The remaining volume not matched will be cancelled immediately after matching.
- During the scheduled matching session: Customers are not allowed to cancel or modify orders during the specified opening and closing price determination matching sessions (including orders transferred from continuous matching sessions).
- During continuous matching sessions:
+ Customers can cancel orders if the order or remaining portion of the order has not been executed, including orders or remaining portions of orders that have not been executed in the previous scheduled or continuous matching sessions.
+ For HOSE: Customers are only allowed to modify prices, not volumes.
At the end of the trading session, any unmatched orders will be cancelled in full.
- According to the regulations of the VSD, the date of matching the sell order of securities is considered as day T0. Money will be credited to the securities account before 12:00 PM on T+2 (2 days after the transaction date, excluding Saturdays, Sundays, and holidays). Customers can withdraw money to their bank account or withdraw cash via cheque.
- However, EVS supports customers to withdraw money to their account at the beginning of the day on T+2 (excluding Saturdays, Sundays, and holidays) without paying the advance selling fee.
- Customers can advance the selling amount after the sell order of securities is matched and incur the advance fee according to the EVS service fee schedule at each time. The advance amount is based on the matched selling amount of securities minus relevant fees and taxes.
Details of the current fee schedule: https://en.eves.com.vn/service-product/fee-schedule/service-fee-schedule/
To access EVS's daily analysis reports, please visit the website www.eves.com.vn/ Analysis Reports.
Frequently asked questions about
Instructions for using Web Trading
View the guide Here
Frequently asked questions about
Instructions for using App Trading
View the guide Here
Frequently asked questions about
Depository
Step 1: Please open a securities trading account at EVS.
Step 2: Bring your shareholder book/Stock ownership certificate to the nearest EVS trading counter for assistance.
The time for crediting stock dividends, bonus shares, and additional issued stock purchase rights to client accounts depends on the issuing organization. As soon as EVS receives the stock list from the Securities Depository Center, securities are promptly recorded into clients' trading accounts on the same day.
Frequently asked questions about
Other instructions for use
Please refer to the Guide for Exercising Stock Purchase Rights and Transferring Warrant Rights here
Please refer to the instructions for resetting your password here.
Please refer to the instructions for withdrawing/transferring funds from your securities account here.
Please refer to the instructions for transferring money on online platforms here.
Please refer to the instructions for viewing transaction statements and the total asset screen here
Frequently asked questions about
Regulations/Trading Instructions Internal people and related people
EVS Securities Joint Stock Company would like to quote certain provisions related to the Disclosure Obligations of Insiders and Related Persons of Insiders (IOs, RPOs) for your attention if you fall under the category requiring disclosure as per regulations.
Definitions of Insiders and Related Persons:
According to Articles 45 and 46, Clause 4 of Securities Law No. 54/2019/QH14, Insiders and Related Persons are defined as follows:
Insiders (IOs): Individuals holding key positions in the management and operation of enterprises, public mutual funds, publicly traded securities investment companies, including:
- Insiders of enterprises such as Chairpersons of the Board of Directors or Board of Members, President of the company, Members of the Board of Directors or Board of Members, legal representatives, General Director (Director), Deputy General Director (Deputy Director), Chief Financial Officer, Chief Accountant, and equivalent management positions appointed by the General Shareholders' Meeting or Board of Directors or Board of Members.
- Insiders of public mutual funds or publicly traded securities investment companies include Members of the Fund Representative Board, Members of the Board of Directors of publicly traded securities investment companies, fund managers, managers of publicly traded securities investment companies, insiders of the company managing securities investment funds.
Related Persons (RPOs): Individuals or organizations having relationships with each other in the following cases:
- Enterprises and insiders of those enterprises; public mutual funds, publicly traded securities investment companies and insiders of those public mutual funds or publicly traded securities investment companies.
- Enterprises and organizations, individuals owning more than 10% of voting shares or contributed capital of those enterprises.
- Organizations, individuals that directly or indirectly control or are controlled by another organization or individual or share common control.
- Relatives such as biological father, biological mother, foster father, foster mother, father-in-law, mother-in-law, stepfather, stepmother, spouse, children, adopted children, sons-in-law, daughters-in-law, siblings, brothers-in-law, sisters-in-law, and relatives of an individual.
- Securities management company and securities investment funds, securities investment companies managed by that securities management company.
- Contractual relationships where one organization, individual acts as a representative for the other organization, individual.
- Other organizations, individuals defined as related persons under Enterprise Law.
Regulations on Disclosure Obligations of Insiders and Related Persons:
According to Article 33 of Circular No. 96/2020/TT-BTC guiding disclosure of information in the securities market, securities investors who are insiders and related persons of insiders of public companies have the obligation to disclose information:
- Insiders of public companies, publicly traded securities investment companies, public mutual funds, and related persons of these entities must disclose information, report before and after conducting transactions to the State Securities Commission, Stock Exchange (for listed stocks, registered transactions, listed mutual fund certificates), public companies, securities investment fund management companies when the expected transaction value within a day exceeds VND 50 million or the expected transaction value within a month exceeds VND 200 million calculated at face value (for stocks, convertible bonds, fund certificates) or at the latest issuance price (for secured warrants) or the transfer value (for stock purchase rights, convertible bond purchase rights, fund certificate purchase rights), including cases of transfer not through the securities trading system at the Stock Exchange (such as transfers for or received as gifts, inheritance, transfer or receipt of securities, and other cases).
- At least 03 working days before the planned transaction date, insiders and related persons must disclose information about the planned transaction according to the prescribed form.
- The transaction execution period shall not exceed 30 days from the registration date of the transaction. Insiders and related persons must comply with the time, volume, and value specified by the Stock Exchange after information disclosure and are only allowed to conduct the first transaction on the trading day following the announcement date from the Stock Exchange.
- In the case of purchasing transactions in issuance rounds of stocks, fund certificates, or public offering bids, insiders and related persons are exempt from the obligations stipulated in points b and d and must comply with the regulations on public offering, issuance, and public offering bids.
- Insiders and related persons are not allowed to simultaneously register, trade buying and selling stocks, stock purchase rights, convertible bonds, fund certificates, fund certificate purchase rights, or secured warrants in the same registration round, transaction, and are only allowed to register, execute subsequent transactions after reporting the end of the previous transaction; except for cases where securities management companies, foreign securities fund management company branches in Vietnam as related persons of insiders register, trade buying and selling securities for ETF funds or investment according to client instructions, ensuring that each client's instructions do not simultaneously register, trade buying and selling in the same registration round.
- Within 05 working days from the completion date of the transaction (in cases where the transaction ends before the registration deadline) or the end of the expected transaction period, insiders and related persons must disclose information about the transaction results simultaneously explaining the reasons for not completing the transaction or not completing the registered volume (if any) according to the prescribed form.
- Regulations on disclosure obligations at points a, b, and d of item 1 do not apply to cases where securities companies sell off securities pledged by customers who are insiders of public companies, publicly traded securities investment companies, public mutual funds, or related persons of these entities.
- In cases where after registering the transaction, the registered transaction party is no longer an insider of public companies, publicly traded securities investment companies, public mutual funds, or related persons of these entities, the registered transaction party still must report and disclose information as prescribed in item 1.
- Within 03 working days after receiving reports related to securities transactions of insiders and related persons, public companies, securities investment fund management companies must disclose on the company's electronic information page.
Dear Valued Customer,
In compliance with the request from the State Securities Commission as stated in official letter no. 5876/UBCK-VP dated August 25, 2023 regarding the implementation of controlling the reporting obligations and disclosure of information before transactions by Insiders (NNB) and Related Persons of Insiders (NLQ), EVS Securities would like to inform you of the following requirements:
Applicable individuals: Customers identified as NNB, NLQ under the provisions of Circular 96/2020/TT-BTC dated November 16, 2020 of the Ministry of Finance guiding the disclosure of information on the stock market.
Basis for control implementation: Based on the list of NNB, NLQ provided by Vietnam Securities Depository Center (VSDC) to securities companies.
Controlled transactions: As per regulations, customers have the responsibility to fulfill the disclosure obligations, reporting before and after conducting transactions of securities of public companies, public securities investment companies, public mutual funds in which they are NNB or NLQ when: The transaction value is expected to be equal to or greater than 50 million VND within a day or 200 million VND within a month, calculated at par value (for stocks, convertible bonds, fund certificates) or at the latest issuance price (for secured warrant certificates) or transfer value (for stock purchase rights, convertible bond purchase rights, fund certificate purchase rights), including cases where transfers do not go through the stock exchange trading system (such as transfers for consideration, gifts, inheritance, and other transactions).
Implementation timeframe: Effective from November 27, 2023.
Customer transaction guidelines:
Before proceeding with transactions as mentioned in Section 3, please follow these steps:
Step 1: Notify your account manager or call EVS Hotline at 0243 772 6699 for guidance.
Step 2: After receiving instructions from EVS, send an email to EVS at phongdvkh@eves.com.vn with the link to the published information on the stock exchange or a notification document.
EVS will verify the accuracy of the information provided to open transactions for valid information and reject transactions with invalid information.
Note: In all cases, as an NNB or NLQ, you are responsible for actively monitoring the volume of securities transactions, ensuring full compliance with reporting and disclosure obligations as required. EVS shall not be liable for any violations by you, including but not limited to errors, misunderstandings, or transactions with the same securities at another securities company resulting in exceeding the registered amount.
For any inquiries or assistance, please contact EVS through the following channels:
- Customer Service Hotline: 0243 772 6699
- Email: phongdvkh@eves.com.vn
- Website: https://www.eves.com.vn/
Thank you for your continued partnership with EVS!
Sincerely,
EVS Securities Joint Stock Company
Our Partners
With its experience and expertise, EVS is honored to be a strategic partner, providing premier securities services to large domestic and international enterprises.
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