Conditions for Granting Securities Brokerage Practice Certificates

14:29, 11/07/2024

December 03, 2015, based on the provisions of the Securities Law and the guiding documents, the Ministry of Finance issued Circular 197/2015/TT-BTC to provide guidance on securities practice.

Securities Brokerage Practice Certificate is issued to individuals who meet the following conditions:

1. Have full legal and civil capacity; not subject to the case of serving a prison sentence or being prohibited by the Court from practicing business;

2. Have a university degree or higher;

3. Meet the requirements in the securities practice certificate examination suitable for the type of securities practice certificate requested for issuance;

4. Have professional certificates in securities, including: Basic Certificate in Securities and Securities Market, Certificate in Securities and Securities Market Law, Certificate in Securities Analysis and Investment, Certificate in Securities Brokerage and Investment Consultancy.

Circular 197/2015/TT-BTC will take effect from January 25, 2016 and replace Decision 15/2008/QD-BTC, Circular 147/2012/TT-BTC.

- Ngoc Duyen -

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