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Fee schedule for transactions not going through the stock exchange system
Off-exchange transactions are transactions that transfer securities ownership without going through the trading system of the Stock Exchange. (Applies to parties transferring ownership. In particular, section 5 Giving, donating, and inheriting securities only applies fees to the party receiving the ownership transfer)
| No. | Service type | Applicable fees |
| 1 | Transfer of ownership of Securities to founding shareholders during the period of transfer restriction in accordance with the law | 0,15% of ownership transfer value |
| 2 | Transfer of ownership of securities of a public company that has registered its securities at VSD but has not yet listed/registered for trading on the Stock Exchange | |
| 2.1 | ACBS does not process the application, only collects fees according to the official letter VSD | According to VSD’s announcement + Money transfer fee to VSD (according to ACB fee schedule) |
| 2.2 |
ACBS provides brokerage services, consulting and customer support. |
For stocks, fund certificates: 0,2% of the value of ownership transfer |
| ACBS makes application to send VSD to customers. | For corporate bonds: 0,03% of ownership transfer value | |
| 3 | Transfer of ownership of privately issued corporate bonds that have been registered at VSDC but not yet traded on the Stock Exchange | |
| 3.1 | ACBS does not process the application, only collects fees according to the official letter VSD | According to VSD’s announcement + Money transfer fee to VSD (according to ACB fee schedule) |
| 3.2 | ACBS provides brokerage services, consulting and customer support. | 0,03% giá trị chuyển quyền sở hữu
0,03% of ownership transfer value |
| ACBS makes application to send VSD to customers. | ||
| 4 | Transfer of ownership of securities due to division, separation, consolidation, merger of enterprises, capital contribution by shares to enterprises (including cases where the State Securities Commission approves the division, separation, consolidation, merger of enterprises, capital contribution by shares to enterprises of organizations established abroad); establishment, increase of charter capital of individual securities investment companies; increase, decrease of charter capital of member funds | 0,15 % of ownership transfer value |
| 5 | Giving, donating, inheriting securities according to the Civil Code | For stocks, fund certificates and covered warrants: 0.2% of the value of ownership transfer
For bonds: 0,03% of the value of ownership transfer |
| 6 | Transfer of ownership of securities in the public offering | 0.15% Transaction value |
| 7 | Transfer of the right to buy securities | Free of charge |
| 8 | Transfer of ownership of securities to handle collateral assets which are registered securities and blocked at VSDC | For stocks, fund certificates and covered warrants: 0,15% of the value of ownership transfer
For bonds: 0,03% of the value of ownership transfer |
| 9 | Transfer of ownership of securities in exchange of ETF certificates, exercise of covered warrants | 0,15% of the value of the underlying securities to be swapped at par value of the ETF, the value of the underlying securities to transfer ownership at par value due to the exercise of covered warrants |
| 10 | Transfer of ownership of shares between foreign investors in case the maximum foreign ownership ratio for that share has been reached and the agreed price between the parties is higher than the ceiling price of the share on the securities trading system at the time of transaction. | 0,15 % of ownership transfer value |
| 11 | Transfer of ownership of securities for issuance or cancellation of depository certificates in transactions between investors and organizations issuing depository certificates abroad | 0,15 % of ownership transfer value |
| 12 | Other ownership transfers (Auction, etc.) | According to VSDC fee schedule |
Note:
- Securities transfer (without closing the account at ACBS): is when of the customer (KH) transfers the entire quantity of securities in the account and the arising rights (if any) determined to be owned by the KH. In case of transferring securities which are valuable papers (from the KH’s account to the State Bank account opened at VSDC), it is free.
- Value of transferring ownership of securities:
Value of transferring ownership of securities = Number of securities to transfer ownership x Stock price
Stock price uses to calculate the value of securities ownership transfer transactions, it is determined as follows:
- For securities being listed or registered for trading, covered warrants:
- In case of transfer, the securities price is the price stated in the transfer contract but not lower than the reference price of the securities on the date ACBS receives the application; or at the price approved by a competent State agency.
- In case of donation, inheritance or contract without transfer price or without transfer contract, the securities price is the reference price of the securities on the date ACBS receives the application.
- In case there is no reference price of the bond, the stock price is calculated according to the bond’s par value.
- For unlisted or unregistered securities, the securities price is calculated according to the par value of the securities.
