- 1Circular No. 226/2010/TT-BTC of December 31, 2010, prescribing prudential ratios and remedies to be taken by securities-trading institutions that fail to achieve these ratios
- 2Circular No. 165/2012/TT-BTC of October 09, 2012, amending and supplementing a number of articles of the Circular No. 226/2010/TT-BTC dated December 31, 2010 of the Ministry of Finance, on the prudential ratio and the handling measures for the securities institutions that fail to achieve the prudential ratio
- 1Law No.70/2006/QH11 of June 29, 2006 on securities
- 2Decision No. 112/2009/QD-TTg of September 11, 2009, defining the functions, tasks, powers and organizational structure of the State Securities Commission of the Ministry of Finance
- 3Law No. 62/2010/QH12 of November 24, 2010, amending, supplementing a number of articles of Law on Securities
- 4Decision No. 58/2012/ND-CP of July 20, 2012, stipulating in detail and guiding the implementation of a number of articles of the securities Law and the law amending and supplementing a number of articles of securities Law
- 5Circular No. 212/2012/TT-BTC of December 05, 2012, guiding the establishment, organization and operation of fund management company
- 6Circular No. 227/2012/TT-BTC of December 27, 2012, guiding the establishment, organization, and management of investment companies
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- 1Circular No. 146/2014/TT-BTC dated October 6, 2014, on finance regulations for securities companies, asset management companies
- 2Decision No. 105/QD-UBCK of February 26, 2013, on promulgating the regulation guiding the setting up and operation of the risk management system for securities companies
- 3Circular No. 227/2012/TT-BTC of December 27, 2012, guiding the establishment, organization, and management of investment companies
- 4Circular No. 212/2012/TT-BTC of December 05, 2012, guiding the establishment, organization and operation of fund management company
- 5Circular No. 165/2012/TT-BTC of October 09, 2012, amending and supplementing a number of articles of the Circular No. 226/2010/TT-BTC dated December 31, 2010 of the Ministry of Finance, on the prudential ratio and the handling measures for the securities institutions that fail to achieve the prudential ratio
- 6Decision No. 58/2012/ND-CP of July 20, 2012, stipulating in detail and guiding the implementation of a number of articles of the securities Law and the law amending and supplementing a number of articles of securities Law
- 7Circular No. 226/2010/TT-BTC of December 31, 2010, prescribing prudential ratios and remedies to be taken by securities-trading institutions that fail to achieve these ratios
- 8Law No. 62/2010/QH12 of November 24, 2010, amending, supplementing a number of articles of Law on Securities
- 9Decision No. 112/2009/QD-TTg of September 11, 2009, defining the functions, tasks, powers and organizational structure of the State Securities Commission of the Ministry of Finance
- 10Law No.70/2006/QH11 of June 29, 2006 on securities
HIỆU LỰC VĂN BẢN
Decision No. 428/QD-UBCK dated 11 July, 2013, on issuing regulation on guiding the establishment and operation of risk management system for fund management company and self-managing separate securities investment company
- Số hiệu: 428/QD-UBCK
- Loại văn bản: Quyết định
- Ngày ban hành: 11/07/2013
- Nơi ban hành: Uỷ ban Chứng khoán Nhà nước
- Người ký: Vũ Bằng
- Ngày công báo: Đang cập nhật
- Số công báo: Đang cập nhật
- Ngày hiệu lực: 11/07/2013
- Tình trạng hiệu lực: Còn hiệu lực
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