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Enforcement
Administrative sanction for violations in the field of securities and securities market with regard to Ms. Nguyen Thi Quynh Anh
2/28/20

On 17 February 2020, the Chief of Inspection of the State Securities Commission (SSC) issued Decision No. 45/QĐ-XPVPHC on administrative sanction for violations in the field of securities and the securities market of Ms Nguyen Thi Quynh Anh, as follows:

A fine of 20,000,000 (Twenty million Vietnamese dongs) as prescribed in point b, clause 1, Article 3, and Point g, clause 4 and 6, Article 27 of the Decree No. 108/2013/ND-CP dated 23 September 2013 of the Government stipulating on administrative sanctions in the field of securities and the securities market (the Decree No. 108/2013/ND-CP) amended and supplemented in clause 1 and clause 35, Article 1 of the Decree No. 145/2016/ND-CP dated 01 November 2016 of the Government on amendments to the Decree No. 108/2013/ND-CP.

For the following administrative violation: Not report on the expected transaction (From 28 July 2017 to 14 November 2017, Ms Nguyen Thi Quynh Anh, who is related to Mr. Pham Huy Hiep, Deputy Director of Phuong Dong Viet Transportation Oil JSC (the securities code: PDV) has bought 25,200 shares and sold 200 PDV share but did not report to the SSC, Hanoi Stock Exchange before caring out transaction).

The decision takes effect from the date of signing.

SSC

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