Knowledge
Certificate of Professional Securities Investor
To have a Certificate of Professional Securities Investor, please follow these instructions:
1. Applicable for: Local/ Foreign Individual and Institutional Clients who already have trading accounts with HSC.
2. Registration channels:
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Visit us directly at HSC transaction offices in HCMC and Hanoi.
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Contact your account manager
3. Service fee: Free of charge for up to 03 copies. From the 4th copy onwards, the HSC service fee will apply.
4. Required documents:
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Entity |
Evaluation Criteria |
Supporting documents |
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Individuals |
1. Owning a securities practicing certificate; and/or |
Valid Citizen Identification Card/Securities Trading Code/Passport Valid securities practicing certificate Validity: within 01 year from the issued date. |
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2. Individuals who holding a portfolio of listed securities, registered for trading with a value of at least 2 billion VND based on the average daily market value of the securities portfolio for at least 180 days in the previous period, excluding the value of loans in margin transactions and the value of securities for reversed transactions; and/ or |
Valid Citizen Identification Card/Securities Trading Code/Passport Confirmation from securities companies where investors open securities trading accounts on the market value of listed securities portfolios and securities registered for trading at the time of determining professional investor status. Validity: within 3 months from the issued date. |
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3. Individuals having taxable income of at least 1 billion VND in the most recent year |
Valid Citizen Identification Card/Securities Trading Code/ Passport Tax declaration file submitted to the tax authority or tax deduction documents from the payer in the most recent year. Validity: within 1 year from the issued date |
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Institutions |
1. Business registration type: Securities companies/ Commercial banks/ Financial companies/ Insurance – securities enterprises/ Securities investment funds/ Financial institutions/ Finance funds; and/or |
Business registration certificate, license for establishment and operation, or other equivalent documents Validity: within 01 year from the issued date |
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2. Institutions with paid-up capital exceeding 100 billion Vietnam Dong. |
Business registration certificate, or license for establishment and operation, or other equivalent documents. Latest audited annual financial statements or reviewed semi-annual financial statements Validity: within 1 year from the issued date |
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3. Listed companies; and/or |
Approving decision for listing Validity: within 1 year from the issued date |
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4. Companies whose shares are registered for trading |
Approving registration for trading. Validity: within 1 year from the issued date |
5. The procedures:
Step 1: Provide documents for requesting Certification of Professional Securities Investor, including:
- Application form for Certification of Professional Securities Investor (2 copies)
- Supporting documents as stated in point 4
Step 2: HSC receives and checks the validity of the documents
Step 3: HSC issues the Certification of Professional Securities Investor
6. Receiving the Certification of Professional Securities Investor:
- Directly at the Customer Service Center in HSC transaction offices in HCMC and Hanoi
- Via the customer’s account manager
- By post according to the customer’s request
7. Forms:
For Individuals: Download Here
For Institutions: Download Here