Service fees schedule apply for primary securities trading account

OFF-EXCHANGE TRADING (via VSD) No. Service Price 1 Tender offer: Payer: Seller and Buyer Price level: As the price trading with Buyer - Files submitted

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Service fees schedule apply for primary securities trading account

OFF-EXCHANGE TRADING (via VSD)

No. Service Price

1

Tender offer:

  • Payer: Seller and Buyer
  • Price level: As the price trading with Buyer

- Files submitted to VSD/VSDC by SSI:

  • 0.15% of transaction value, minimum price: VND 100,000/case + Service prices of VSD/VSDC (if any)

- Others:

  • According to the service prices of VSD/VSDC

2

Gifts/Inheritances:

  • Payer: Giver and Receiver
  • Price level: Reference price on the date SSI receives the document (Date of signing the proposal to transfer)
3
Securities ownership transfer fees in ETFs swap/Cover warrant transaction:
  • Payer: Investor who swap (repurchase/resell ETF certificates to ETF); Investor has a request to execute covered warrants
  • Price level: As face value

- In case SSI carries out transfer procedures:

  • 0.15% x value of swap-structured securities at par value of ETF, value of underlying securities ownership transferring at par value due to exercise of covered warrants, minimum price: 100,000 VND/ submission + Service prices of VSD/VSDC (if any)

- Others:

  • According to service prices of VSD/VSDC

4

The corporation bonds from private placement ownership transfer fees - registered at VSD/VSDC but not yet traded on the Stock Exchange

  • Payer: Transferer and Receiver
  • Price level: As face value

- In case SSI carries out transfer procedures via VSD/VSDC:

  • 0.005% of the value of ownership transfer, minimum price: 500,000 VND/ submission + Service prices of VSD/VSDC (if any)

- Others:

  • According to the service prices of VSD/VSDC
5

Ownership transfer fees when the issuing company repurchases the preffered shares from the employees upon termination of employment contracts

  • Payer: Transferer and Receiver
  • Price level: As repurchase price that the issuing organization/ competent authority decided

- Files submitted to VSD/VSDC by SSI:

  • 0.5% of transaction value, minimum price: VND 100,000/submission + Service prices of VSD/VSDC (if any)

- Others:

  • According to the service prices of VSD/VSDC

6

Other types of ownership transfer fees approved by the State Securities Commission/Competent Authority Collector:

  • Payer: Transferer and Receiver
  • Price level: Based on the contract value but not lower than the reference price on the ownership transfer date or the price as approved by competent authority

- Files submitted to VSD/VSDC by SSI:

  • 0.5% of transaction value, minimum price: VND 500,000/submission + Service prices of VSD/VSDC (if any)

- Others:

  • According to service charge of VSD/VSDC
7

Securities’ odd lot trading

Price level: As the floor price of the trade date
0.5% of transaction value + Service prices of VSD/VSDC (if any)

Effective date: 01/01/2022

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