Securities companies violating internal regulations on anti-money laundering will be fined up to VND300 million

The Lao Dong Newspaper Legal Consulting Office replied:

Clause 18, Article 1, Decree 306/2025/ND-CP amending and supplementing a number of articles of Decree No. 156/2020/ND-CP regulating administrative sanctions in the field of securities and the stock market (amended and supplemented by a number of articles according to Decree No. 128/2021/ND-CP) and Decree No. 158/2020/ND-CP on derivatives and the derivatives market (effective from January 9, 2026) stipulate the amendment and supplement of Article 45 as follows:

3. Securities companies and securities fund management companies that violate internal regulations on preventing and combating money laundering, preventing and combating terrorist financing, and preventing and combating the proliferation of weapons of mass destruction will be punished as follows:

b) Fine from 200 million VND to 300 million VND for failure to issue internal regulations or issue internal regulations that are not in accordance with the provisions of law on prevention, combating money laundering, combating terrorist financing, and combating the proliferation of weapons of mass destruction.

Thus, from January 9, 2026, securities companies that violate internal regulations on money laundering prevention and control can be fined up to VND300 million according to the above regulations.