ONLINE TRADING
PRODUCTS & SERVICES
Customer Service
Securities Trading
Financial Services
Investment Advisory
CODE OF CONDUCT
(Applied to FPTS staff only - Amendment to the Code of Conduct issued according to the Decision No. 85-2025/QD/FPTS-FHR dated May 19, 2025)
CHAPTER I - GENERAL TERMS
Article 1: Definitions
Article 2: Commitments
CHAPTER II - GENERAL REGULATIONS
Article 3: In all activities, the staff of FPT Securities Joint Stock Company shall:
a) Buy shares of FPT Securities Joint Stock Company in accordance with Company policies;
b) Buy and sell shares of FPT Securities Joint Stock Company on the stock exchanges for the personal investment or financial purposes, provided that such transactions are not conducted for regular profit-seeking activities;
c) Cases approved by the General Director of FPTS and announced prior to the execution of transactions.CHAPTER III - SPECIFIC REGULATIONS
Article 4: The staff of FPTS Securities Services Division (FSS) and the staff of the FPTS Investment Analysis and Advisory Division (FRA) shall comply with the following rules:
a) Make sure that customers’ orders are inputted into the system according to the “first come, first served” principle.
b) Not modify information on any transaction order or forge customer’s signature on his/her transaction order. In receiving an invalid transaction order from the customer, he/she must return it to such customer for correction or create a new order.
Article 5: The staff of the Corporate Finance Advisory Division shall comply with the following rules:
Article 6: IT specialists shall comply with the following rules:
CHAPTER IV - EXECUTING REGULATIONS
Article 7: Compliance instructions to the Code of Conduct:
GENERAL DIRECTOR (Signed)
ELECTRONIC INFORMATION PORTAL
License No. 3438/GP-TTDT dated July 4, 2016
Principal Manager: Mr. Nguyen Diep Tung - General Director
No. 52 Lac Long Quan Road, Buoi Ward, Tay Ho District, Hanoi City
19006446
Fax: (84-24) 3773 9058
fptsecurities@fpts.com.vn
Ho Chi Minh City Branch
Floor 3 – Ben Thanh Times Square, 136 - 138 Le Thi Hong Gam, Nguyen Thai Binh Ward, District 1, Ho Chi Minh City
19006446
Fax: (84-28) 6291 0607
fptsecurities@fpts.com.vn
Danang Branch
No. 100 Quang Trung, Thach Thang Ward, Hai Chau District, Danang City
19006446
Fax: (84-236) 3553 888
fptsecurities@fpts.com.vn
© 2019 Công ty Cổ phần Chứng khoán FPT