Securities companies in Vietnam

What is a securities company?

• 1. A securities company is a specialized intermediary entity in the stock market, conducting securities business activities similar to its primary business operations

• 1. A securities company is intermediary entity in the stock market

• 1. A securities company is a company or organization that specializes in promoting stock trading through listing services and systems that track prices and purchase data

• 1. A securities company is a venue where buyers and sellers meet to exchange equity shares of public corporations

Which is not one of the top securities companies in Vietnam?

• 1. SSI Securities Corporation

• 1. VPS Securities Joint Stock Company

• 1. ICICI Direct

• 1. MB Securities Joint Stock Company

Which is the largest securities company in Vietnam?

• MB Securities Joint Stock Company

• 1. VPS Securities Joint Stock Company

• 1. Vndirect Securities Corporation

• 1. SSI Securities Corporation

Which element is included in a typical organizational structure of a security company?

• 1. Training

• 1. Sales and Marketing

• 1. Risk Management

• 1. Information Security

What is the minimum share capital for establishing a securities company in Vietnam?

• 1. VND 500 million

• 1. VND 400 million

• 1. VND 500 billion

• 1. VND 400 billion

Which is a condition for securities company establishment in Vietnam?

• 1. At least 51% shareholders of the securities company must be Vietnamese citizens or organizations

• 1. At least 50% shareholders of the securities company must be Vietnamese citizens or organizations

• 1. At least 75% shareholders of the securities company must be Vietnamese citizens or organizations

• 1. At least 76% shareholders of the securities company must be Vietnamese citizens or organizations

What is the maximum percent of shares foreign investors can hold in a Vietnamese securities company?

• 1. 50%

• 1. 49%

• 1. 51%

• 1. 25%

How many business operations are securities companies allowed to carry out?

• 1. 3

• 1. 4

• 1. 5

• 6

What services does a securities company in Vietnam provide?

• 1. Stock brokerage

• 1. Proprietary trading

• 1. Stock underwriting

• 1. Stock investment consulting

• 1. All of the above

In the SCB case study, Ms. Pham Doan signed ... contracts totaling over … million VND.

• 1. 5 - 800

• 1. 5 - 700

• 1. 4 - 700

• 1. 4 - 800