Securities Commission requires close monitoring of sharp stock increases and decreases

chứng khoán - Ảnh 1. — VN-Index has increased sharply in recent times - Photo: QUANG DINH

Faced with the strong increase of the stock market in the current period, the Securities Commission has just issued a directive to the stock exchanges, the Vietnam Securities Depository and Clearing Corporation (VSDC) and securities companies.

Closely monitor volatile stock transactions

Specifically, in the document sent to the exchanges and VSDC, the Securities Commission proposed to strengthen close monitoring of stock transactions with strong increases/decreases compared to the general developments of the market and the industry.

At the same time, review information on mass media, rumors related to stock codes, groups, and forums that show signs of association, calling on, and enticing investors to buy and sell stocks.

In case of identifying signs of unusual transactions, analyze, evaluate, recommend and propose a handling plan, and report to the Commission for handling according to regulations.

The Committee also requested the Vietnam Stock Exchange to direct HoSE to coordinate with HNX and VDSC to ensure safe, stable and smooth securities trading, clearing and settlement activities.

The Vietnam Stock Exchange (VNX) is assigned to direct its members to strengthen supervision at line 1, closely monitor intraday and multi-day trading activities of new investors opening accounts or conducting transactions at the place where trading members provide services, promptly detect violations of securities trading regulations, and report to the Commission.

Meanwhile, VSDC is assigned to coordinate with VNX, HoSE, HNX to ensure safe clearing and settlement of transactions, position limits, and margin for securities transactions according to regulations. In case of detecting unusual signs, report to the Commission.

Do not let employees entice you to invest in stocks or give unfounded opinions about price increases or decreases.

The Securities Commission said that recently, the stock market has had strong fluctuations in indexes and trading volume.

To ensure safe, stable and legal operations, the Securities Commission requires securities companies to strictly comply with legal regulations in conducting securities business activities, providing securities services; strictly comply with regulations on borrowing and lending for margin trading and other relevant legal regulations.

At the same time, be responsible for managing the activities of employees and securities practitioners working at the company. Continue to strengthen the management and supervision of employees and practitioners to ensure compliance with securities laws.

Securities companies are not allowed to allow their employees and securities practitioners to: entice or invite people to participate in forums and groups to provide advice on securities investment in violation of the law; directly or indirectly invite customers to buy and sell securities, provide false information, or cause misunderstanding to customers; give opinions on the increase or decrease of securities prices without basis; agree or make commitments on specific profits or agreements to share profits/losses with customers; commit acts that violate the law and professional ethics.

The Commission also requires securities companies to closely monitor compliance with legal regulations on securities transactions by individuals and organizations that are customers of the company; actively and proactively coordinate with Stock Exchanges and Vietnam Securities Depository and Clearing Corporation in monitoring, inspection and examination activities.

In case of detecting transactions with signs of violating regulations on securities transactions, promptly report to the Vietnam Stock Exchange and its subsidiaries, and at the same time report to the Commission for handling according to regulations.

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BINH KHANH

Source: https://tuoitre.vn/uy-ban-chung-khoan-yeu-cau-giam-sat-chat-co-phieu-tang-giam-manh-20250806215155716.htm