1. Documents include:
- Balance confirmation with blockade commitment during the process of transferring the ownership (in case of deposited securities).
- Documents proving the information release as prescribed by regulations for entities that need to release information when transferring securities in accordance with the Law on Securities.
- Copies of documents proving the submission of personal income taxes from the offer or donation for the securities (in case the receiving party of the offered or donated securities is an individual) in accordance with Circular No. 111/2013/TT-BTC dated 15August 2013 of the Ministry of Finance (Declaration/Notice on Personal Income Tax Submission with confirmation from the tax agency and confirmation on submitting money to the State Budget).
- Besides, the following documents can be supplemented as the case may be:
- For inheritance by testament:
- Request on transferring securities ownership of the heir or the representative of the heirs (Form No. 16B/DKCK);
- Copies of death certificates of the decedents (for case of inheritance);
- Valid copy of the legal testament in accordance with the law;
- Confirmation on accepting or rejecting to receive the legacy from the heirs regardless the contents of the testament;
- Document on legacy division in case the testament does not clarify the quantity of securities (Remarks: The document on legacy division must include the sentence “Transfer the whole cash balance, securities balance and incurred options);
- Declaration of relationship (for case of inheritance);
- Notarized ID card copies of relevant people in the declaration of relationship (for case of inheritance).
- For inheritance in accordance with the law:
- Statement of the heir about relationships with the bequeather, including adequate information about the inheritance row of the bequeather (wife, husband, biological parents, adoptive parents, biological children, adopted children, etc.), commitment on the accuracy of the declared information and warranty on taking full responsibility to the law if there is any dispute;
- Valid copy of agreement on legacy division (in case there is many heirs)/confirmation on legacy acceptance (in case there is only one heir) with certification from a public notary or State competent authority;
- Valid copy of confirmation on legacy rejection)/letter of authorization under the title of the heirs’ representative (in case the heirs authorize another person) with certification from a notary public or a State competent authority;
- Request on transferring securities and confirmation of the Member where the bequeather opened his/her account to submit to VSD so as to confirm on the deposited securities balance;
- Request on transferring ownership of securities from the heir or the representative of the heirs (Form No. 16B/DKCK);
- Copies of death certificates of the bequeathers (for case of inheritance);
- Notarized ID card copies of relevant people in the declaration of relationship (for case of inheritance).
- For case of coffer, donation or transfer of securities ownership:
- Application for transferring securities ownership of offering, donating parties (Form No. 16A/DKCK) along with documents presenting the identity information of offering and donating parties (valid copies);
- Contract on offering and donating securities with confirmation from a notary public;
- If the beneficiaries are minors, the confirmation must be obtained from their guardians or legal representatives.
2. Implementation steps:
- Customers directly come to MBS’s Branches/Transaction Offices to fulfill the procedures and receive instructions.
- Projected duration of completion: 07 working days from the date of receiving adequate and valid documents.
