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Decision on administrative violation sanction

25/11/2024

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SmartInvest Securities Joint Stock Company announces information: On November 25, 2024, the Company received Decision No. 1304/QD-XPHC dated November 22, 2024, a decision on administrative sanction for violations issued by the State Securities Commission, specifically: – A fine of VND 187,500,000 in accordance with point a, clause 5, Article 26 of Decree No. 156/2020/ND-CP dated December 31, 2020, of the Government stipulating administrative sanctions for violations in the field of securities and the securities market (Decree No. 156/2020/ND-CP) due to the act of failing to manage the separation of customer assets from the assets of the securities company; – A fine of VND 65,000,000 in accordance with point a, clause 4, Article 26 of Decree No. 156/2020/ND-CP due to the act of violating regulations on opening margin trading accounts; – A fine of VND 137,500,000 in accordance with point c, clause 4, Article 26 of Decree No. 156/2020/ND-CP due to the act of violating regulations on margin trading limits; – A fine of VND 275,000,000 in accordance with point b, clause 3, Article 25 of Decree No. 156/2020/ND-CP due to the act of performing services specified in point b, clause 1, Article 86 of the Securities Law without written approval from the SSC; – A fine of VND 275,000,000 in accordance with point b, clause 5, Article 24 of Decree No. 156/2020/ND-CP due to the act of providing securities services or other services that must be reported to the SSC before implementation but have not been reported to the SSC or when there is no written opinion from the SSC or no guiding regulations from competent state agencies when not reported to the SSC, no written opinion from the SSC, and no guiding regulations from competent state agencies); – A fine of VND 187,500,000 in accordance with point d, clause 5, Article 26 of Decree No. 156/2020/ND-CP due to the act of violating regulations on lending limits; – A fine of VND 85,000,000 in accordance with point a, clause 2, Article 26 of Decree No. 156/2020/ND-CP due to the act of failing to fully retain records, data, documents, and vouchers related to the operations of the securities company; – A fine of VND 92,500,000 in accordance with point d, clause 2, Article 26 of Decree No. 156/2020/ND-CP due to the act of failing to ensure the personnel structure in the internal control and internal audit departments or failing to ensure a personnel structure that meets the conditions; – A fine of VND 92,500,000 in accordance with clause 3, Article 43 of Decree No. 156/2020/ND-CP, amended and supplemented at point a, clause 34, Article 1 of Decree No. 128/2021/ND-CP dated December 30, 2021, of the Government amending and supplementing a number of articles of Decree No. 156/2020/ND-CP due to the act of failing to report information that must be reported according to legal regulations.

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