In addition to the above issues, do you have any other comments?



Very uninterested


Not interested


Normal


Care about


Very interested

Ratio of charter capital to legal capital











Investor Compensation Reserve






Liquidity Ratio/Total Risk











Accumulated loss ratio/Charter capital











Maybe you are interested!

In addition to the above issues, do you have any other comments?

- Other comments: ............................................................................................................

................................................................ ................................................................ ...................................

24. In addition to the above issues, do you have any other comments?

................................................................ ................................................................ ...................................

……………………………………………………………………………………….

……………………………………………………………………………………….

……………………………………………………………………………………….

……………………………………………………………………………………….

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Thank you very much for your valuable information.

Wish you health and success!


APPENDIX 5

SUMMARY OF EXPERT SURVEY RESULTS

NUMBER OF BALLOTS ISSUE: 104 NUMBER OF BALLOTS RECEIVED: 72



15/72 (20.83%)

10/72 (13.89%)

45/72 (62.50%)

1. You use the information analyzing the financial situation of securities companies for the purpose of:

- Invest

- Advise

- Serving daily work


- Other opinions: 02/72 (2.78%) (To grasp information, to find out information, to get more information, to refer to information, to improve understanding)

2. Did you achieve the desired results when using the financial analysis information of securities companies:

29/72 (40.28%)

29/72 (40.28%)

- Yes - No


- Other opinions: 14/72 (19.44%) (Depending on each securities company, only a part achieves the desired results, sometimes)

3. Are you interested in information analyzing the financial situation of securities companies in the following way:


- Continuous

15/72

- Periodically

25/72

- Sudden

23/72


(20.83%)


(34.72%)


(31.94%)

- Other opinions: 9/72 (12.51%) (Only when needed, when really needed, occasionally, not interested, according to job requirements)

4. You mainly access information analyzing the financial situation of securities companies from which information disclosure media:

43/72 (59.72%)

27/72 (37.50%)

- Website of securities company - Website of State Securities Commission


- Other opinions: 2/72 (2.78%) (Other information websites, newspapers)

5. You access information analyzing the financial situation of securities companies mainly from the following sources:

- Financial statements

20/72

- Sales financial statements

9/72

-Quarterly financial statements

9/72

year

(27.78%)

year

(12.50%)


(12.50%)


12/72 (16.67%)

- Annual Report

- Other comments: 0/72

- Financial analysis report

22/72 (30.55%)

6. Is it easy for you to access information analyzing the financial situation of the securities company?

33/72 (45.83%)

34/72 (47.22%)

- Yes - No


- Other opinions: 5/72 (6.95%) (Normally not difficult but not easy, just public information on the network, also depends on the case because it depends on the network's performance, on the updates and announcements of securities companies, sometimes easy)

7. Have you ever used financial analysis information of securities companies for your investment decisions:

36/72 (50%)

36/72 (50%)

- Used - Never


8. Your level of trust in the financial analysis information of the Securities Company:

- Very low

1/72

- Short

15/72

- Medium

50/72


(1.39%)


(20.83%)


(69.44%)


4/72 (5.56%)

0/72 (0%)

- High - Very high


- Other opinions: 2/72 (2.78%) (Do not believe because the financial statements are all fabricated and fake)

9. Reasons why you can trust the financial analysis information


of securities company:

1/72 (1.39%)

- Information with high accuracy and honesty


11/72 (15.28%)

- Information is carefully verified


- There is little risk in using this information.

- According to crowd psychology

16/72 (22.22%)

17/72 (23.61%)

- Other opinions: 27/72 (37.50%) (Unreliable, does not reflect reality, not very reliable, has been assessed but not thoroughly, this is information posted on a website with the company address, has been confirmed by organizations and has moderate reliability, synthesizes many different sources of information)

12/72 (16.67%)

23/72 (31.94%)

10. Reasons why you may not trust the financial analysis information of the Securities Company:

- Information provided by the securities company itself, not verified.

- In reality, many securities companies violate financial information disclosure regulations.


- Have you personally suffered losses when using this information?

- Reward and punishment mechanism is not appropriate

3/72 (4.17%)

7/72 (9.72%)

- No Opinion: 27/72 (37.5%) (Answer left blank)

11. Your level of satisfaction with the financial analysis information of the Securities Company:

0/72 (0%)

15/72 (20.83%)

- Very dissatisfied - Dissatisfied


51/72 (70.83%)

2/72 (2.78%)

- Normal - Satisfied


- Other opinions: 1/72 (1.39%) (Not really interested because it is not reliable)

- No opinion: 3/72 (4.17%) (Answer left blank)

12. What is your assessment of the timeliness of the financial analysis information of the securities company?

- Very slow

2/72

- Delay

15/72

- Normal

42/72

late

(2.78%)


(20.83%)


(58.33%)


8/72 (11.11%)

0/72 (0%)

- Timely - Very timely


- No Opinion: 5/72 (6.94%) (Answer left blank)

13. Your comments on the fairness of the financial analysis information published by the Securities Company:

1/72 (1.39%)

10/72 (13.89%)

- Very unfair - Not fair


48/72 (66.67%)

4/72 (5.55%)

- Normal - Fair


- Other opinions: 1/72 (1.39%) (No concept of fair information)

- No opinion: 8/72 (11.11%) (Answer left blank)

8/72 (11.11%)

5/72 (6.94%)

14. For securities companies, what financial analysis content are you mainly interested in:

- Ability to pay

- Asset structure, capital structure


18/72 (25%)

11/72 (15.28%)

22/72 (30.55%)

- Profitability - Financial risk


3/72 (4.17%)

- Level of financial independence

- All of the above


- Other comments: 0/72

- No opinion: 5/72 (6.94%) (Answer left blank)

15. Your assessment of the difference between the financial analysis indicators of the Securities Company and the financial analysis indicators of other enterprises:

14/72 (19.44%)

41/72 (56.94%)

- Significant difference - Moderate difference


12/72 (16.67%)

- Insignificant difference

- Other opinions: 1/72 (1.39%) (Each enterprise has different concerns so they use different analysis criteria)

- No opinion: 4/72 (5.55%) (Answer left blank)

16. According to you, should the criteria (content) for analyzing the financial situation of securities companies be specific compared to the criteria (content) for analyzing the financial situation of other enterprises?

43/72 (59.72%)

21/72 (29.17%)

- Should be regulated - Should not be regulated


- Other opinions: 3/72 (4.17%) (Guidance regulations, Not interested)

- No opinion: 5/72 (6.94%) (Answer left blank)



Very uninterested

Not interested

Normal

Care about

Very interested


Total capital


2/72 (2.78%)


0/72 (0%)


32/72 (44.44%)


26/72 (36.11%)


12/72 (16.67%)

Proportion of liabilities in total capital

4/72 (5.55%)

0/72 (0%)

14/72 (19.44%)

28/72 (38.89%)

26/72 (36.11%)

Proportion of equity in total capital


3/72 (4.17%)


0/72 (0%)


17/72 (23.61%)


30/72 (41.67%)


22/72 (30.55%)

Proportion of current assets in total assets

2/72 (2.78%)

0/72 (0%)

27/72 (37.50%)

30/72 (41.67%)

13/72 (18.05%)

Proportion of long-term assets in total assets

2/72 (2.78%)

0/72 (0%)

21/72 (29.17%)

42/72 (58.33%)

7/72 (9.72%)


- Other comments: 0/72



Very uninterested


Not interested


Normal


Care about


Very interested


Sponsorship coefficient

1/72 (1.39%)

0/72 (0%)

26/72 (36.11%)

29/72 (40.28%)

16/72 (22.22%)


Debt ratio

1/72 (1.39%)

0/72 (0%)

20/72 (27.78%)

27/72 (37.50%)

24/72 (33.33%)

Long-term asset self-financing ratio

1/72 (1.39%)

1/72 (1.39%)

23/72 (31.94%)

42/72 (58.33%)

5/72 (6.94%)

Fixed Asset Self-Financing Ratio

1/72 (1.39%)

2/72 (2.78%)

25/72 (34.72%)

41/72 (56.94%)

3/72 (4.17%)


- Other comments: 0/72

19. Please indicate your level of interest in the following indicators to assess the general solvency of securities companies:


Very uninterested


Not interested


Normal


Care about


Very interested

Liquidity ratio

2/72

3/72

25/72

30/72

12/72

general math

(2.78%)

(4.17%)

(34.72%)

(41.67%)

(16.67%)

Liquidity ratio

2/72

0/72

24/72

36/72

10/72

short term debt

(2.78%)

(0%)

(33.33%)

(50%)

(13.89%)

Ability factor

2/72

0/72

23/72

39/72

8/72

Comment


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