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Enforcement
Administrative sanction for violations in the field of securities and securities market with regard to JP WIN JSC
2/28/20

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.

SSC

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