TTLV: Phương pháp tổ chức, quản lí tài liệu chuyên ngành chứng khoán tại UBCKNN

INFORMATION ON MASTER’S THESIS

1. Full name: Hoàng Thị Thanh 2. Gender: Female 3. Date of birth: 23 December, 1987 4. Place of birth: Hoà Bình province 5. Admission decision number: 1528/2009/QĐ-XHNV-KH&SĐH dated 14 September, 2009 by University of Social Science 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 Viet Nam. 8. Major: Archives Code: 60 32 24 9. Supervisor: Dr. Nguyễn Liên Hương - 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 situation on 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 whole 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 propose 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.