BỘ GIÁO DỤC VÀ ĐÀO TẠO NGÂN HÀNG NHÀ NƢỚC VIỆT NAM
TRƢỜNG ĐẠI HỌC NGÂN HÀNG THÀNH PHỐ HỒ CHÍ MINH
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NGUYỄN KHÁNH NGÂN
NÂNG CAO CHẤT LƢỢNG DỊCH VỤ MÔI GIỚI CHỨNG
KHOÁN TẠI CÔNG TY TNHH CHỨNG KHOÁN ACB
KHÓA LUẬN TỐT NGHIỆP
CHUYÊN NGÀNH: TÀI CHÍNH – NGÂN HÀNG
MÃ SỐ: 7340201
NGƢỜI HƢỚNG DẪN KHOA HỌC
ThS. NGUYỄN ANH VŨ
TP. HỒ CHÍ MINH – NĂM 2018
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ABSTRACT
1. Reason for choosing topic
As one of the ways to open up investment capital flows, the stock market plays an
extremely important role in the economy. The stock market is the standard for
assessing the strength and development of the economy, the stock market trend
represents the health of the economy. In addition, the stock market promotes the
accumulation and concentration of capital to meet the needs of building the technical
infrastructure of the economy and facilitate the implementation of the policy of
opening, Economic reform through the issuance of securities abroad, regulation of
market operations, suppressing the elasticity of monetary supply and demand,
controlling the scale of investment, promoting economic development and the value of
money ... Thus, it can be seen that the importance and influence of the stock market to
the development of the economy is undeniable..
Market characteristics are based on the principle of intermediation. Therefore, market
transactions are required to be conducted through securities companies and directly as
brokers. Securities brokerage is the representative, protection of interests for
customers, be it organizations, companies or individuals, through the consultancy and
implementation of securities transactions. Thus, the job of a stockbroker includes
collecting and evaluating information about domestic and foreign stock markets; On
that basis, give appropriate advice to the customer.
Securities brokerage is one of the most fundamental and important operations of a
securities company. It contributes much to the formation and development of the stock
market in general and securities companies in private. Securities brokerage benefits
not only customers, brokers, securities companies but also benefits the development of
the stock market. Currently, securities companies are doing this business and have
achieved certain results; however, there are still many shortcomings and limitations
that need to be addressed. This situation originates not only from securities companies
but also from the limitations of Vietnam's stock market as well as the inadequacies of
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legal documents. In order to attract a large number of domestic and foreign investors
and become a prestigious and quality service, brokerage activities will need to change
and develop further. Given that companies are competing fiercely to attract customers
today, brokerage activities need to improve the quality. Based on this practice, after a
period of researching securities brokerage activities at ACBS, the author decided to
select the topic "Improving the quality of securities brokerage services at ACB
Securities Company Limited (ACBS)" to research.
2. Objectives of the study
General objective: Propose solutions to develop brokerage services at ACBS
Detail objective:
- Overview of theoretical and practical issues related to securities companies and
brokerage services.
- Analysis of securities brokerage services at ACBS through assessment the
status of brokerage services and customer opinion on brokerage services.
- Proposing solutions to improve the quality of brokerage services at ACBS in
the coming time.
3. Research question
Improving the quality of securities brokerage services of securities companies,
including what content? What are the criteria for evaluating the results and the factors
that affect the quality of the brokerage service?
How is the development of brokerage services of ACBS? What are the successes and
limitations?
What is the solution to further improve the quality of brokerage services of ACBS?
4. Object and scope of the study
Research subjects: Securities brokerage and quality of brokerage services at ACBS
Scope of Research: Research on brokerage services of ACBS from 2015 to 2017.
5. Research Methods
In order to achieve the objectives of the study, the author uses methods of surveying,
statistics describing, analyzing, comparing and synthesizing data to generalize the
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nature of the issues to be studied. Due to the time limit as well as not enough data
collected, the author has not run the quantitative research model, this is the limitation
of the topic.
6. The meaning of the topic
To clarify basic theoretical issues on securities and securities brokerage in Vietnam.
Assess the true situation, pointing out the advantages and limitations need to complete
in securities brokerage activities at ACBS.
Set out solutions to improve the quality of securities brokerage activities at ACBS.
7. Structure topic
The thesis consists of 4 chapters:
Chapter 1: Introduction
Chapter 2: Theoretical bases on securities brokerage activities and the quality of
securities brokerage services
Chapter 3: Assessment of the quality of brokerage services at ACB Securities
Company Limited.
Chapter 4: Solutions to improve the quality of securities brokerage services at ACB
Securities Company Limited
8. General conclusion
Improving the competitiveness of securities companies is an important and complex
issue in both theory and practice. Ideas within the thesis come from subjective
assessment of self. Through this dissertation, the writer presented his research results,
based on the current situation to propose some solutions to develop effective brokerage
activities at ACB Securities Company.
After the research, it can be seen that the quality of brokerage services at ACBS has
made remarkable improvements recently. However, in order to improve its
competitiveness and achieve its long-term goals in the future, ACBS has been and is
going to have to make great efforts. The company needs to develop a different
competitive strategy to gain advantages. Besides, the company also needs support
from the state agencies in creating a transparent and fair competitive environment,
creating a business environment with a strict legal rule and ensuring the tightness,
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management, supervision, as well as policy formulation for the integration process to
support securities companies adapting to the new competitive environment.