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Administrative sanction for violations in the field of securities and securities market with regard to JP WIN JSC

On 17 February 2020, the Chief of Inspection of the State Securities Commission (SSC) issued Decision No. 46/QĐ-XPVPHC on administrative sanction marke with regard to JP WIN JSC, as follows:

  A fine of 50,000,000 (Fifty million Vietnamese dongs) as prescribed in clause 2 and clause 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 (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: Did not report when there is a change in the number of ownership shares exceeds the threshold of 1% of the number of shares (On February 28, 2019, JP WIN JSC - account holder No. 003C322933 opened at SSI Securities JSC - a major shareholder of ILA JSC (the securities code: ILA) has sold 125,600 ILA shares, resulting in the ownership of shares (percentage) decreased from 1,585,600 shares (9.33%) to 1,460,000 shares (8.59%), decreased from 9% to 8% but did not report to the SSC, Hanoi Stock Exchange when there was a change in ownership exceeded 1% as above is).

The decision takes effect from the date of 17 February 2020.


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