Dossier for Issuance of Securities Practice Certificate

1. Application for a securities practicing certificate;

2. Personal information form of the applicant for the securities practicing certificate, confirmed by the organization employing the securities practitioner or notarized by a competent authority within six (06) months up to the date the State Securities Commission receives the dossier;

3. Judicial record certificate issued by a competent authority within six (06) months up to the date the State Securities Commission receives the dossier, accompanied by a copy of the valid identity card or passport;

4. Copy of the university diploma or master's, doctoral degree;

5. Copy of the legal securities practicing certificate abroad or equivalent documents proving that the individual is legally allowed to practice securities abroad (if any);

6. Copies of professional certificates in securities or diplomas exempted from professional certificates in securities as stipulated in Clause 4, Article 4 of this Circular;

7. Notification from the State Securities Commission regarding the exam results in accordance with the type of securities practicing certificate applied for;

8. Two (02) 4cm x 6cm photos taken within six (06) months up to the date the State Securities Commission receives the dossier;

9. For cases applying for a fund management practicing certificate, an additional document must be provided:

- A verification document of the years of work experience and job positions of the applicant for the securities practicing certificate provided by the organizations where the applicant has worked or is currently working; or- Copies of international certificates CFA, CIIA, ACCA, CPA.

For details, see Circular 197/2015/TT-BTC effective from January 25, 2016.

- Ngoc Duyen -

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