2. THE PROCESS OF ESTABLISHING VIETNAMESE SECURITIES BROKERAGE COMPANIES 39
2.1 THE NECESSITY OF ESTABLISHING SECURITIES BROKERAGE COMPANIES IN VIETNAM 39
2.2 THE PROCESS OF ESTABLISHING SECURITIES COMPANIES IN VIETNAM 40
II. OVERVIEW OF THE STOCKS BROKERAGE PROFESSION IN VIETNAM TODAY 46
1. BASIS FOR BROKERAGE ACTIVITIES
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SECURITIES 46
1.1 LEGAL BASIS FOR SECURITIES BROKERAGE ACTIVITIES IN VIETNAM 46
1.2 CHARACTERISTICS OF ORGANIZATIONAL STRUCTURE AND PERSONNEL OF SECURITIES BROKERAGE COMPANIES 49
1.2.1 ORGANIZATIONAL CHARACTERISTICS 49
1.2.2 CHARACTERISTICS OF HUMAN RESOURCES 51
1.3 MATERIAL AND TECHNICAL FACILITIES FOR SECURITIES BROKERAGE ACTIVITIES 55
1.3.1 EXCHANGE AND NETWORK SYSTEM 55
1.3.2. INFORMATION SYSTEM 57
2. CURRENT STATUS OF BROKERAGE PERFORMANCE OF VIETNAM SECURITIES COMPANIES 59
2.1 NUMBER OF CUSTOMER ACCOUNTS 59
2.2 SECURITIES BROKERAGE FEES 62
2.3 REVENUE FROM SECURITIES AND SECURITIES BROKERAGE ACTIVITIES 65
3. EVALUATION OF SECURITIES BROKERAGE ACTIVITIES OF SECURITIES COMPANIES 70
3.1 INITIAL RESULTS 70
3.2 LIMITATIONS AND CAUSES 73
CHAPTER 3: DEVELOPMENT ORIENTATION OF THE SECURITIES BROKERAGE PROFESSION
IN VIETNAM 76
I. ORIENTATION FOR DEVELOPMENT OF MGCK PROFESSION IN VIETNAM 76
1. THE IMPORTANCE OF THE SETTINGS PROFESSION IN THE EARLY STAGES OF DEVELOPMENT OF VIETNAM'S STOCK MARKET 76
2. STRATEGY FOR DEVELOPING VIETNAM'S SECURITIES BROKERAGE ACTIVITIES UNTIL 2010 79
2.1 GENERAL GOAL OF DEVELOPING VIETNAM'S STOCK MARKET 79
2.2 ORIENTATION FOR DEVELOPMENT OF SECURITIES BROKERAGE BUSINESS OF SECURITIES COMPANIES IN THE COMING TIME 80
II. SOLUTIONS TO DEVELOP SECURITIES BROKERAGE ACTIVITIES IN VIETNAM 83
1. SOLUTIONS FROM STATE AGENCIES 83
1.1 PERFECTING THE LEGAL FRAMEWORK FOR MGCK ACTIVITIES IN PARTICULAR AND SECURITIES ACTIVITIES IN GENERAL. . 83
1.2 PERFECTING THE SYSTEM OF POLICIES FOR BROKERAGE ACTIVITIES OF SECURITIES COMPANIES 87
1.2.1 POLICY TO ENCOURAGE ACTIVITIES OF SECURITIES COMPANIES 87
1.2.2 POLICY OF CREATING GOODS FOR THE MARKET
TO DEVELOP BROKERAGE ACTIVITIES 88
1.2.3 TRANSPARENT ECONOMIC AND FINANCIAL INFORMATION SYSTEM 90
1.3 MAKE SUITABILITY A PRINCIPLE IN SECURITIES BROKERAGE SERVICES 91
1.4 TIGHTEN THE AWARENESS OF LEGAL COMPLIANCE OF STOCKS BROKERS 92
1.5 ESTABLISHMENT OF AN ASSOCIATION FOR BROKERS 93
1.6 ESTABLISHING A SYSTEM TO INSPECT AND SUPERVISE MG ACTIVITIES OF SECURITIES COMPANIES, PROPAGANDA AND TRAINING IN SECURITIES KNOWLEDGE 94
2. SOLUTIONS FOR DEVELOPMENT AND IMPROVEMENT OF ACTIVITIES
Securities trading activities of securities companies 97
2.1 DEVELOPING AND EXPANDING CUSTOMER SEARCH METHODS 97
2.1.1 DEVELOPING CUSTOMER SEARCH METHODS 97
2.1.2 CUSTOMER ATTRACT STRATEGY 99
2.1.3 STRENGTHEN MARKETING ACTIVITIES 99
2.2 EXPANDING THE SCALE OF ACTIVITIES, DIVERSIFYING TYPES OF STOCKS BROKERAGE, SPECIALIZING IN EACH PROFESSION, CREATING PRESTIGE FOR THE COMPANY 100
2.3 IMPROVING MARKET ANALYSIS CAPACITY TO SERVE BROKERAGE ACTIVITIES 102
2.4 TRAINING AND DEVELOPING HUMAN RESOURCES, STRENGTHENING TECHNICAL FACILITIES FOR SECURITIES BROKERAGE ACTIVITIES 103
2.4.1 HUMAN RESOURCE DEVELOPMENT 103
2.4.2 IMPROVING TECHNICAL INFRASTRUCTURE FOR BROKERAGE ACTIVITIES, DEVELOPING ELECTRONIC BROKERAGE SYSTEM 104
2.5 SET UP AN INTERNAL INSPECTION AND MONITORING SYSTEM. . 106
CONCLUDE
REFERENCES APPENDIX