Strengthening inspection of public companies and fund management companies

(Chinhphu.vn) - Since the beginning of the year, the State Securities Commission (SSC) Inspectorate has focused on inspecting the compliance with legal regulations on securities and the securities market of securities companies, public companies, and fund management companies.

The State Securities Commission inspectors focus on inspecting compliance with legal regulations on securities and the securities market of securities companies, public companies, and fund management companies - Photo: VGP/Toan Thang

Specifically, the inspection teams of the State Securities Commission conducted inspections at 5 public companies, 1 securities company and 2 fund management companies.

The inspection content focuses mainly on compliance with legal regulations on securities and the stock market (TTCK) of securities companies, public companies, and fund management companies.

Regarding the results of the post-inspection implementation, the State Securities Commission Inspectorate said that in the first 6 months of 2025, with the deployment of 8 inspection teams, the State Securities Commission Inspectorate issued 3 inspection conclusions; completed direct inspections at 5 enterprises and prepared to issue inspection conclusions according to regulations.

The State Securities Commission Inspectorate requested the inspected units and related units to strictly implement the recommendations in the Inspection Conclusion. Through the inspection, administrative violations were fined 567.5 million VND to 2 inspected enterprises.

The State Securities Commission Inspectorate will continue to focus on closely monitoring and supervising the implementation of inspection conclusions and take measures to handle and urge cases of non-implementation or incomplete implementation of recommendations according to inspection conclusions.

However, according to the State Securities Commission Inspectorate, despite detecting, handling, and recommending handling of many violations against inspected and examined subjects, the situation of securities and stock market violations by enterprises and investors still shows no signs of abating.

Clarifying the cause of this situation, according to the State Securities Commission Inspectorate, although the legal framework on the securities sector and the stock market is increasingly being improved, with strict regulations on the rights and obligations of organizations and individuals participating in the market, there are still organizations and individuals who do not fully understand the regulations, leading to failure to comply with the regulations.

The awareness of compliance with the law of a number of investors and businesses is still limited. In addition, there are businesses facing difficulties in production and business activities, unable to ensure full compliance with their obligations in the field of securities and the stock market.

To overcome this situation, in the coming time, the State Securities Commission will continue to review, amend and supplement legal documents on securities and the stock market to both create favorable conditions for businesses and investors and perfect the legal framework, strictly regulating rights and obligations in securities activities.

At the same time, promote propaganda and dissemination of laws, raise awareness and sense of law compliance for market members and the investing public through training programs, seminars and mass media.

Strengthen inspection and supervision of market activities, especially transactions with signs of abnormality, to promptly detect and strictly handle violations. Improve the effectiveness of coordination with competent authorities and investigative agencies in handling violations with signs of criminality.

Toan Thang

Source: https://baochinhphu.vn/tang-cuong-thanh-tra-cac-cong-ty-dai-chung-cong-ty-quan-ly-quy-10225081310314009.htm