ໃບອະນຸຍາດສ້າງຕັ້ງບໍລິສັດຫຼັກຊັບ

Individuals or legal entity that intends to establish the Securities Company that can conduct the following businesses: 1. Financial Advisory Service (giving advice on the corporate restructuring, administrative and financial management of the company that is preparing to offer their shares to the public and registering in the Lao Securities Exchange); 2. Securities Broker (being an intermediary or agent for securities trading according to purchasing or selling orders of the customers and providing other financial advisors to the investors); and 3. Securities Underwriter (underwriting securities issued by means of assisting in the sale of securities or purchasing securities partially or entirely from an issuer for the remaining portion in order to guarantee the success of issuance of securities).

1. 财务顾问服务注册资本不少于五十亿基普；经纪服务不少于三百亿基普；证券承销服务不少于一千亿基普。
2. 从事经纪及证券承销服务的，须至少有一名在老挝人民民主共和国设立的商业银行股东，且该股东持股须超过百分之三十；从事财务顾问服务的，国内投资者须持有注册资本百分之十以上。
3. 信誉良好，管理人员须具备证券、金融银行或会计领域不少于五年的知识与经验。
4. 须有创办后前三年的经营计划。
5. 财务状况良好，并经审计机构审计。
6. 未曾因侵占、欺诈及其他证券、金融银行和会计犯罪被定罪或经刑事裁判。
7. 境外申请人须为证券公司，并取得原籍国证券监督管理机构批准。
8. 提供证券经纪及承销服务的证券公司，须与至少一家托管银行订立合作协议，以保障结算。
9. 取得临时许可证后，投资者须缴足股权资本。
10. 场地及经营设备须充足、适宜证券业务。
11. 各部门须具备运营、审计、内部管理及风险评估制度。
12. 须配备持有相应证券专业资格证书、数量充足的证券技术人员。
13. 组织架构须包括管理层及专门管理委员会（如内部审计委员会、合规委员会），并符合法律规定的资质及条件。

• ລະບຽບວ່າດ້ວຍ ການສ້າງຕັ້ງ ແລະ ການເຄື່ອນໄຫວຂອງບໍລິສັດຫຼັກຊັບ 002/LSCO · 24.07.2013
• ກົດໝາຍວ່າດ້ວຍ ຫລັກຊັບ 21/NA · 10.12.2012

ວິທີຍື່ນ

ຢູ່ທີ່ຫ້ອງການເຈົ້າຫນ້າທີ່

ທີ່ຢູ່ໜ່ວຍງານ

ບ້ານ ໂພນສະອາດ, ເມືອງ ໄຊເສດຖາ, ນະຄອນຫຼວງວຽງຈັນ, ອີເມວ: lsco@lsc.gov.la

ໄລຍະດຳເນີນ

60 1. Review process for the issuance of the Temporary License shall be completed within 30 days; and 2. The Permanent License shall be issued within 30 days after the fulfilment of all the required conditions (i.e. the full paid-up capital contribution).

ມີກຳນົດອາຍຸ

ບໍ່ມີ

ຂັ້ນຕອນຕໍ່ອາຍຸ

ບໍ່ຕ້ອງມີການຕໍ່ອາຍຸໃບອະນຸຍາດສ້າງຕັ້ງ ແຕ່ຕ້ອງຈ່າຍຄ່າຄຸ້ມຄອງປະຈໍາປີ ພາຍໃນໄຕມາດທີໜຶ່ງຂອງປີຖັດໄປ ໂດຍຄິດໄລ່ແຕ່ປີສ້າງຕັ້ງ ເປັນຕົ້ນໄປ

1. In case that the applicant cannot meet all the required conditions required for the obtainment of the Permanent License within 180 days after the receipt of the Temporary License, the Temporary License shall be revoked, except the applicant can give a justifiable explanation and LSCO may allow for the extension of time to complete all those requirements for the maximum of 90 days. 2. After receiving the Permanent License, the investor shall apply for Enterprise Registration Certificate. 3. Securities Company that obtains the Enterprise Registration Certificate shall notify the general public via mass media of their establishment within 5 days after the receipt of the Enterprise Registration Certificate.