Fees
SECURITIES SERVICES PRICE LIST AT
NAVIBANK SECURITIES JOINT STOCK COMPANY
(Applicable from December 1, 2023)
(Issued together with Decision No. 41/2023/NVS/QD-TGD dated December 1, 2023 of the General Director of Navibank Securities Joint Stock Company)
| NO | SERVICE | CHARGES |
| I | STOCKBROKER | |
| 1 | Brokerage buying and selling stocks and fund certificates listed/registered for centralized trading | 0.2%/transaction value (1) . |
| 2 | Brokerage for buying and selling corporate bonds | 0.1%/transaction value (1) . |
| 3 | Trading unlisted stocks/unregistered centralized trading | 0.3%/transaction value (or according to agreement). |
| II | SECURITIES DEPOSITORY | |
| 1 | Depository of listed securities | |
| Trading accounts have a quantity of ≥ 100,000 shares or fund certificates | 0.4 VND/1 share, fund certificate/month. | |
| Trading account with quantity < 100,000 shares, fund certificates, trading account with corporate bonds | Free of charge | |
| 2 | Transfer money to pay for SELLing listed securities transactions | 0.5 VND / 1 share / 1 transfer / 1 code (maximum not more than 500,000 VND / 1 time / 1 stock code) |
| 3 | Transfer listed/centrally registered securities from the customer’s stock trading account at NVS to the customer’s stock trading account at another securities company as requested by the customer | 1 VND/ 1 stock/ 1 transfer/ 1 code (maximum not more than 1,000,000 VND/ 1 time/ 1 stock code) |
| 4 | Transfer of ownership of listed/centrally registered securities between two clients without going through the trading system of the Stock Exchange (2) | 0.2% of total transaction value (2) |
| 5 | Transfer of unlisted securities/unregistered centralized trading | 0.01% of total transaction value, minimum 500,000 VND, maximum 5,000,000 VND / 1 time / 1 stock code |
| 6 | Freeze, release and monitor mortgaged assets | |
| 6.1 | Blocking/releasing securities | |
| For securities listed/registered for centralized trading | – 0.2% of face value – Minimum 50,000 VND – Maximum 2,000,000 VND |
|
| For unlisted or unregistered securities for centralized trading, NVS acts as a depository agent | 0.1%/total transaction value, minimum 300,000 VND/transaction, maximum 2,000,000 VND/transaction | |
| 6.2 | Handling mortgaged frozen assets | – 0.3% of transaction value – Minimum 100,000 VND |
| 6.3 | Management of mortgaged assets | |
| For securities listed/registered for centralized trading | – 0.2% of face value – Minimum 100,000 VND |
|
| For unlisted or unregistered securities for centralized trading, NVS acts as a depository agent | The fee calculated over the term of the asset management contract is based on the total value of the pledged Bond assets, minimum 300,000 VND/transaction. Specifically, each fee will be according to the fee schedule announced by NVS from time to time. | |
| 7 | Withdrawal of securities | 100,000 VND/ 1 file |
| 8 | Transfer of the right to register for additional purchases | |
| Transfer of rights between 2 securities trading accounts at NVS | 50,000 VND/ 1 file | |
| Transfer rights from securities trading account at NVS to securities trading account at another securities company | 100,000 VND/ 1 file | |
| III | FINANCIAL SUPPORT | |
| 1 | Interest rates for margin trading loans | 0.04%/day. Minimum VND 50,000/loan |
| 2 | Fees for advances on securities sales | 0.04%/day.
Minimum 50,000 VND/advance |
| IV | OPEN/CLOSE ACCOUNT | |
| 1 | Open a stock trading account | Free of charge |
| 2 | Close stock trading account | Free of charge |
| V | LOOK FOR INFORMATION | |
| 1 | Look up information at the counter | Free of charge |
| 2 | SMS messages to clients | Free of charge |
| VI | RE-ISSUANCE, NEW ISSUANCE OF OWNERSHIP CERTIFICATE, OWNERSHIP CONFIRMATION, REGISTRATION BOOK EXTRACTS | |
| 1 | Re-issuance of Bond/Share Certificate of Birth Certificate, Certificate of City Birth Certificate, Extract of Registration Book | 200,000 VND/time issued |
| 2 | Change information and issue new Certificate of Birth Certificate for Bonds/Shares, Certificate of Birth Certificate for TP, Extract from the Registration Book | 200,000 VND/time issued |
| VII | ISSUING PROFESSIONAL SECURITIES INVESTOR CERTIFICATION | 200,000 VND/file |
| VIII | ISSUANCE OF TAXABLE INCOME CERTIFICATION | 50,000 VND/customer/fiscal year |
| IX | TRANSFER MONEY | Transfer money to the bank: NVS collects on behalf and acts as an intermediary to collect according to the service fee schedule of banks depending on each period and according to the bank’s regulations. |
Note:
(1) The price of this service can be adjusted based on the proposal of the Director of the Brokerage Division for each specific case but not lower than 0.15% for listed/posted stocks and fund certificates. sign transactions, and not lower than 0.02% for corporate bonds;
(2) Cases of transfer of ownership of securities listed/registered for centralized trading between 2 clients without going through the trading system of the Stock Exchange and how to calculate the transaction value of transfer of securities ownership are regulated. specifically determined according to Circular 65/2016/TT-BTC dated April 26, 2016;
Except for the cases mentioned above, if actual cases arise that require calculating service prices, the service price applicable to each such arising case will be decided by the General Director;
NVS may adjust the service fee schedule to accommodate changes according to market practices at any time without prior notice;
The above fees include VAT (if any).
