Can certified securities professionals in Vietnam work for 02 different securities company branches?

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Question date: 03/10/2022

Please ask, can certified securities professionals in Vietnam work for 02 different securities company branches? Both branches are securities companies. 

    • Pursuant to Point a, Clause 2, Article 98 of the Securities Law 2019 stipulates:

      2. A certified securities professional must not:

      a) Simultaneously work for 02 or more securities companies, fund management companies, branches foreign securities companies or foreign fund management companies in Vietnam, or investment companies;

      Thus, one of the acts not performed for certified securities professionals in Vietnam is to work simultaneously for 02 different branches of securities companies according to the above provisions.

      Best Regards!

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