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Homepage  >   Our Business  >  Institutional Clients  >  Investment Banking  >  Compliance Services

Understanding firms' usease about meeting the requirements of financial and securities market laws and regulations, RongViet Investment Banking Division offers the compliance service that aims to assist firms in meeting even the most rigorous regulatory demands. Sharing the weight of compliance concerns with RongViet, companies are free to pursue their operating objectives and strategies.

Holding the shareholder general meetings at least once a year is a requirement and a constant need of public businesses. An successful general meeting should have professional organization, minimal mistakes, good preparation of documents, sensible meeting schedule and transparent and clearly defined processes for voting, nomination, Q&As ... As a advisor with extensive experience, RongViet can help client firms setting up compliant and professional anual and extraordinary general meetings, shareholder polls ... in the following aspects:

  Guidance on general meeting processes and procedures;
  Guidance on shareholder book closing, meeting notice, compilation of meeting invitation and relevant documents such as: proposals, voting ballots, meeting minute and decision records...;
  Guidance on the construction of meeting timetable to ensure the passage of importants subject matters and minimize mistakes that cause reorganization of the meeting or difficulties in the execution of meeting decisions;
  Guidance on the review and disclosure of meeting results in accordance with the applicable laws and regulation.

With this service, RongViet advises client companies on the construction of the Charter of Incorporaton and Operation in compliance with the applicable laws and regulation as well as the best market practices while allowing for each firm's characteristics and long-term development. Our specific tasks in this service include:

  Legal advice regarding the Charter of Incorporaton and Operation of public and listed companies;
  Answers to inquiries regarding the Charter of Incorporaton and Operation of joint-stock, public and listed companies;
  Advice on the construction of a charter in compliance with Vietnam Corporate Laws and related regulations that also incorporates each firm' long-term vision and unique circumstances; thorough preparations will help firms avoid significant subsequent adjustments and arising costs and disruptions.

The Securities Law of Vietnam requires joint-stock companies with share capital of VND10 billion or higher and the number of shareholders of 100 or higher to register as public companies at the State ecurities Commission within 90 days. The registration has more than a statutory meaning; it implies a significant change in the company's public appearance and the opportunity to create an impression with its investors, partners and clients. Since the transformation will be of much benifit for the company in one way or another, a well-prepared, comprehensive, professional and complying set of public company registration documents is extremely important. In this service package, RongViet promises perfection in all of the following aspects:

  Advice on laws and regulations concerning the legal status of a public company, its company's rights and responsibilities in the relationship with shareholder, the securities market and the authorities;
  Guidance on the processes and documents of public company registration;
  Guidance on the compilation of public company registration documents and assistance with documentprocessign and adjustments as required by the SSC.

Information disclosure is a requirement for Vietnamese public companies and those that offers securities to the public. As the securities market moves towards greater transparency, the diclosure of comprehensive and accurate information is required for all market participanrs. Compliant disclosure of information not only minimize legal risks but also helps build up trust and confidence of the investing public in the company. In this service, RongViet assists the client company in making complete, accurate and timely disclosures of information in order to enhance the firm's professional image while achieving other objectives.

  Understandings of the firm's operations;
  Ensuring compliance with applicable laws and regulations governing the securities markets;
  Advice, guidance and answers to inquiries regarding the type, manner and subject of disclosure;
  Guidance on the processes of information disclosure and related forms and documents to ensure transparency and professionalism.

RongViet annual report advisory service is offered to all institutional clients, including listed companies and public enterprises.

With the experience, competence and dedication of RongViet's team, each product will have professional image in both the form and content but is still unique to each company. In this service, we provide:

  A wide array of ideas for selection;
  Idea and message development;
  Selection of information relevant of the company's operation;
  Finalization of content;
  A design that effectively conveys the report's message and content.

Investor relation (IR) is a unique arm of public relation (PR) activities with two major components, i.e. financial and media, whose main purposes include: constructing the company's shareholder strategy, disclosing information, linking the company to its investor and promoting the company's public image. With expertise in this service, RongViet guarantees to provides client companies with an advantage in the incorporationg of IR activities in their business based on:

  Completeness, timeliness and accuracy;
  Clarity and transparency;
  Target appropriateness.
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Mr. Pham Tan Tien

Director of Investment Banking Division

Email :

Tel     :  (028) 6299 2006 - Ext 1405

Mr. Nguyen Van Thien

Deputy Director, Hanoi Branch

Email :

Tel     :  (024) 6288 2006 - Ext 2369

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