Thesis information "Research and development of methods for organizing and managing specialized securities documents at the State Securities Commission" by HVCH Hoang Thi Thanh, majoring in Archival Science.1. Full name of student: Hoang Thi Thanh 2. Gender: Female 3. Date of birth: December 23, 1987 4. Place of birth: Hoa Binh 5. Decision to recognize student No.: 1528/2009/QD-XHNV-KH&SĐH dated October 14, 2009 of the University of Social Sciences and Humanities on recognizing graduate students in 2009. 6. Changes in the training process: None 7. Thesis topic: Research and development of methods for organizing and managing specialized securities documents at the State Securities Commission. 8. Major: Archival studies; Code: 60 32 24 9. Scientific supervisor: Dr. Nguyen Lien Huong - Hanoi University of Social Sciences and Humanities 10. Summary of the results of the thesis: The thesis has clarified the characteristics and nature of the centralized securities management system in Vietnam in general and of the State Securities Commission (SSC) in particular as well as the characteristics and value of securities specialized documents in the system. At the same time, through assessments of the current status of securities specialized document management, we propose a method for organizing the management of a relatively large volume of securities specialized documents in this system in Vietnam. Chapter 1. Overview of the centralized securities market management system in Vietnam The content of Chapter 1 mainly focuses on explaining clearly the concepts of securities, securities market as well as the characteristics of the model and operation of the centralized securities market management system in Vietnam, in which the State Securities Commission plays the role of directly managing all activities of the market and the system. From there, it contributes to clarifying the characteristics of the source and composition of specialized securities documents of this system in Chapter II. Chapter 2. Reality of managing specialized securities documents at the State Securities Commission and the centralized securities market management system in Vietnam Through the actual survey and information collection process at members of the centralized securities market management system in Vietnam, especially the State Securities Commission, this Chapter focuses on clarifying the concept, characteristics, composition, content and value of specialized securities documents at the State Securities Commission and the system. At the same time, we also present the specific management of the above document block at the members of the current system. This is an important practical basis for us to make proposals in the management of securities specialized documents in Chapter III. Chapter 3. Research on the development of a method for organizing the management of securities specialized documents at the State Securities Commission and in the centralized securities market management system in Vietnam. From the actual management of securities specialized documents in the system presented in Chapter II, Chapter III focuses on providing some assessments and comments on the limitations of the current management method. At the same time, propose a more effective document management method based on the advantages of the current management method. 11. Practical applicability: The document management method we propose is not a completely new construction but is based on the existing advantages of the old management method. The most basic point in management that we want to add is the systematic, unified and standardized nature. Therefore, the results achieved from the topic can be the basis for the industry management agency (Ministry of Finance, State Securities Commission) to build an effective, systematic and unified management method. 12. Further research directions: Based on the initial research results of the topic, continue to study, research and perfect the management method of securities specialized documents at each specific member in the centralized and decentralized securities market management system in Vietnam. 13. Published works related to the thesis: As far as we know, up to now, there has not been any research work on this issue.
INFORMATION ON MASTER'S THESIS
1. Full name: Hoang Thi Thanh 2. Gender: Female 3. Date of birth: December 23, 1987 4. Place of birth: Hoa Binh province 5. Admission decision number: 1528/2009/QD-XHNV-KH&SĐH dated September 14, 2009 by University of Social Sciences and Humanity, Ha Noi National University. 6. Changes in academic process: None 7.Official thesis title: Construction methods research organization specialized document management stock in the stock market management system focused in Vietnam. 8. Major: Archives Code: 60 32 24 9. Supervisor: Dr. Nguyen Lien Huong - Dean of Faculty of Archives Studies and Office Management. 10. Sumary of the thesis: The thesis has clarified the features and characteristics of the exchange-traded management system in the securities field in Vietnam in general as well as in the State Securities Commission of Vietnam in particular; the features and values of the specialized securities documents in the system. At the same time, through the evaluation of the current management on situation specialized securities documents, the author would like to recommend methods on organization and management of specialized documents in the securities field in Vietnam. Chapter 1: Overview of the management system on the exchange-traded securities market in Vietnam. The main content of the Chapter I focuses on the clarification of the concepts of securities, securities market as well as the features of the structure, the operation of the management system on the exchange-traded securities market in Vietnam, of which the State Securities Commission of Vietnam plays the key regulation role over the entire operational activities of the market and the system. Based on that, the Chapter contributes to clarify the features of the sources, components of the specialized securities documents in the system, which will be mentioned in Chapter II. Chapter 2: Practice of providing guidance and inspection of the State Records and Archives Department of Vietnam at local level Through the factual survey and the information collection process from the market participants in the exchange-traded management system in Vietnam, especially from the departments of State Securities Commission of Vietnam, in this Chapter we would like to focus on clarification on the definition, concepts, structure, contents as well as the values of the specialized securities documents in the State Securities Commission of Vietnam as well as in the management system. At the same time we would like to present in details the current situation of the management system on such documents of the market participants. This is the important foundation based on which we can set up recommendations on the management system of the specialized securities documents in the next chapter - Chapter III. Chapter 3: Research and set up organization and management methods on the specialized securities documents in the State Securities Commission of Vietnam and in the management system of the Vietnam's exchange-traded market. Based on the current management situation of the specialized securities documents in the system that mentioned in Chapter II, Chapter III focuses on the evaluation on the issues and obstacles of the current management methods, and proposes the effective management methods which will be developed based on the advantages of the current management methods and to solve the current obstacles. 11. Practical applicability: the document management methods which we propose are not the full new version but based on are developed based on the advantages inherited from the current management system. The key management point that we would like to propose is the systematization, synchronization and standardization. Therefore, the achievements of the thesis can be the useful reference for the management and regulation agencies (Ministry of Finance, State Securities Commission of Vietnam) in setting up the effective, standard and synchronized management method. 12. Further research directions: Based on the research results of the thesis, the continuing research and analysis can be made with the aim to fully complete the management methods on the specialized securities documents for each market participant in the management system of the exchange-traded market as well as the over-the-counter market in Vietnam. 13. Thesis-related publications: from our understanding so far there is no other research paper or project on the same topic.
