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APPENDIX 1
Survey about the level of satisfaction of customer to the
consultation service of securities companies in Hanoi Stock
Market
Objective: We are students from FTU University, Faculty of International education. At the
moment, we are researching about the consultation service at securities companies
in Ha Noi stock market. The result of this questionnaire will help us answer more
clearly about the interest of the customer to the consultation service and level of
satisfaction to that service in securities companies in Ha Noi. The result of this
questionnaire will help us to get the fact data into our research. We hope that you
will take your time to answer the questions below. Thank you very much!!!
Secure: Private information of respondents will be totally secured. The result of the
questionnaire will be displayed in percentage.
Note: Please choose a correct answer for each question.
I. General information
1. How long have you invested in the stock market?
□ A. Under 6 months
□ B. From 6 months to 12 months
□ C. More than one year
2. Within three months recently, do you often execute trade?
□ A. 1-2 times/ week
□ B. 3-4 times/ week
□ C. Daily
□ D. Others:…………………………………………………………………
3. Please choose the reason from the options below to tell us why you choose this securities
company for trading?( maximum 2 choices)
□ A. There are many options of service
□ B. High quality of service
□ C. Prestige of the securities company
□ D. Low trading fee
□ E. Know about the company through relative/friend.

□ F. Others: ………………………………………………………………….
II. Service of securities company:
4. Does your securities company you are register, initiatively provide you with the
information about the present stock market?
□ A. No
□ B. Yes:
 If yes, do you satisfied with the information you received?
□ A. Totally satisfied
□ B. Partly satisfied
□ C. Normal
□ D. Partly unsatisfied
□ E. Totally unsatisfied
5. Do you use the consultation service of this security company?
□ A. Yes (Move to part A)
□ B. No (Move to part B)
A. This part is for the customer used/using the consultation service of company
6. Do the consultations, analyze of the stock broker affect on your investing decision?
□ A. Totally influence
□ B. Partly influence
□ C. Influence
7. At your point of view, are the information which were given by the stock broker
helpful for the investor using consultation service?
□ A. Totally agree
□ B. Partly agree
□ C. Difficult to answer
□ D. Partly disagree
8. Do you think your stock broker have these manifestations?
□ A. Advice the investor to carry out many transaction to earn profit
□ B. Using the investor’s account irregularly
□ C. Using the transactions of customer with bad purpose (get benefit, impact to

the market badly)
□ D. Others: ………………………………………
…………………………………………………………………………………
…………………………………………………………………………………
9. How do you evaluate about the truthful level of your present stock broker?
□ A. Totally believable
□ B. Partly believable
□ C. No ideas
B. This part is for the customer not using the consultation service:
10. For what reason you do not use the consultation service of the securities company?
□ A. High fee
□ B. Not know about the service.
□ C. Quality of the service is not good enough
□ D. Others: ………………………………………………………………….
…………………………………………………………………………………
…………………………………………………………………………………
11. Do you have any suggestion for the improvement of the consultation service, brokerage:
□ A. Reduce trading fee
□ B. Improve more skilled for the stock brokers
□ C. The company should create some policies, regulations which strictly define
authorization and obligation of the stock broker
□ D. Others: … ………………………………………………………………
… …………………………………………………………………
………………………………………………………………………………………
……
III. Other information:
12. Sex :
□ A. Male □ B. Female
13. Occupation:
□ A. Officer

□ B. Student
□ C. Housework
□ D. Others:
14. How much is your capital when you join the stock market?
□ A. Under 100millions
□ B. 100-500 millions
□ C. 500 millions – 1 billion
□ D. More than 1 billion
Thanks for your cooperation!
APPENDIX 2
Q1. Time investment
Frequency Percent Valid Percent
Cumulative
Percent
Valid <6month 14 9.1 9.1 9.1
6-12mths 18 11.7 11.7 20.8
>12mths 122 79.2 79.2 100.0
Total 154 100.0 100.0
Q2. Recent transaction time
Frequency Percent Valid Percent
Cumulative
Percent
Valid 1-2times/week 40 26.0 26.0 26.0
3-4times/week 32 20.8 20.8 46.8
Everyday 78 50.6 50.6 97.4
Others 4 2.6 2.6 100.0
Total 154 100.0 100.0
3.1 Q3.A
Frequency Percent Valid Percent
Cumulative

Percent
Valid Yes 54 35.1 35.1 35.1
No 98 63.6 63.6 98.7
3.00 2 1.3 1.3 100.0
Total 154 100.0 100.0
3.2 Q3.B
Frequency Percent Valid Percent
Cumulative
Percent
Valid Yes 48 31.2 31.2 31.2
No 106 68.8 68.8 100.0
Total 154 100.0 100.0
3.3 Q3.C
Frequency Percent Valid Percent
Cumulative
Percent
Valid Yes 58 37.7 37.7 37.7
No 96 62.3 62.3 100.0
Total 154 100.0 100.0
3.4. Q3.D
Frequency Percent Valid Percent
Cumulative
Percent
Valid Yes 18 11.7 11.7 11.7
No 136 88.3 88.3 100.0
Total 154 100.0 100.0
3.5 Q3.E
Frequency Percent Valid Percent
Cumulative
Percent

Valid Yes 38 24.7 24.7 24.7
No 116 75.3 75.3 100.0
Total 154 100.0 100.0
3.6 Q3.F
Frequency Percent Valid Percent
Cumulative
Percent
Valid Yes 26 16.9 16.9 16.9
No 128 83.1 83.1 100.0
Total 154 100.0 100.0
Q4. Frequency provided information
Frequency Percent Valid Percent
Cumulative
Percent
Valid No 30 19.5 19.5 19.5
Yes 124 80.5 80.5 100.0
Total 154 100.0 100.0
Q5. Information provided satisfaction
Frequency Percent Valid Percent
Cumulative
Percent
Valid No answer 26 16.9 16.9 16.9
Totally satisfied 48 31.2 31.2 48.1
Partly satisfied 44 28.6 28.6 76.6
Normally 22 14.3 14.3 90.9
Partly unsatisfied 10 6.5 6.5 97.4
Totally unsatisfied 4 2.6 2.6 100.0
Total 154 100.0 100.0
Q6. Transaction method using

Frequen
cy Percent
Valid
Percent
Cumulativ
e Percent
Vali
d
Direct order at
desk
24 15.6 15.6 15.6
Telephone 66 42.9 42.9 58.4
Internet 36 23.4 23.4 81.8
Others 28 18.2 18.2 100.0
Total 154 100.0 100.0
Q7+Q16.
Consultancy service using * Ordinal capital Crosstabulation
Ordinal capital Total

<VND100
millions
VND100-
500millions
VND500milli
ons-
VND1billions >VND1billions
Consultancy
service using
Yes
16 18 26 12 72

No 38 26 12 6 82
Total 54 44 38 18 154
Q8. Influence of broker's analysis to investor'decision
Frequency Percent Valid Percent
Cumulative
Percent
Valid No answer 82 53.2 53.2 53.2
Totally no
influence
10 6.5 6.5 59.7
Partly influence 38 24.7 24.7 84.4
Influence 24 15.6 15.6 100.0
Total 154 100.0 100.0
Q9. Usefulness of broker's analysis
Frequency Percent Valid Percent
Cumulative
Percent
Valid No answer 84 54.5 54.5 54.5
Totally right 10 6.5 6.5 61.0
Partly right 30 19.5 19.5 80.5
Difficult to answer 26 16.9 16.9 97.4
Partly wrong 4 2.6 2.6 100.0
Total 154 100.0 100.0
Q10. Broker's demonstration
Frequency Percent
Valid
Percent
Cumulative
Percent
Valid No answer 96 62.3 62.3 62.3

Advise you to carry
out many transactions
to earn profit
4 2.6 2.6 64.9
Use your account
irregularly
2 1.3 1.3 66.2
Use the transactions
of customers with bad
purposes
1 .6 .6 66.9
Other ideas 51 33.1 33.1 100.0
Total 154 100.0 100.0
Q11.The truthful level of brokers
Frequency Percent Valid Percent
Cumulative
Percent
Valid No answer 82 53.2 53.2 53.2
Totally believable 50 32.5 32.5 85.7
Partly believable 16 10.4 10.4 96.1
No ideas 6 3.9 3.9 100.0
Total 154 100.0 100.0
Q12. Reason not to use the services of security company
Frequency Percent
Valid
Percent
Cumulative
Percent
Valid No answer 60 39.0 39.0 39.0
High fee 8 5.2 5.2 44.2

Unknown to the
services
36 23.4 23.4 67.5
Not good information 32 20.8 20.8 88.3
Other ideas 18 11.7 11.7 100.0
Total 154 100.0 100.0
Q13. Recommendation for improving the consultancy services
Frequency Percent
Valid
Percent
Cumulative
Percent
Valid No answer 38 24.7 24.7 24.7
Reduce the fee 12 7.8 7.8 32.5
Improve more
skilled brokers
56 36.4 36.4 68.8
More specific
management policy
20 13.0 13.0 81.8
Other ideas 28 18.2 18.2 100.0
Total 154 100.0 100.0
Q14. Sex
Frequency Percent Valid Percent
Cumulative
Percent
Valid No answer 4 2.6 2.6 2.6
Male 104 67.5 67.5 70.1
Female 46 29.9 29.9 100.0
Total 154 100.0 100.0

Q15. Current occupation
Frequency Percent
Valid
Percent
Cumulative
Percent
Valid No answer 6 3.9 3.9 3.9
State-owned
enterprises
58 37.7 37.7 41.6
Private enterprise 42 27.3 27.3 68.8
Joint-venture 2 1.3 1.3 70.1
Others 46 29.9 29.9 100.0
Total 154 100.0 100.0
Ordinal capital
Total
<VND10
0million
s
VND100-
500millio
ns
VND500mil
lions-
VND1billio
ns
>VND1billi
ons
Consultancy Yes 16 18 26 12 72

No 38 26 12 6 82
service using
Total 54 44 38 18 154
NoYes
Consultancy service using
40
30
20
10
0
Count
>VND1billions
VND500millions-
VND1billions
VND100-500millions
<VND100millions
Ordinal capital
Bar Chart
1. DATA ANALYSIS TECHNIQUE
After collecting data, chart and table will be drawn for comparing. Then, this technique
also helps readers understand easier.
1.1. Primary data
a. Interview
Purpose
Besides article interviewed broker, we will face to face interview with 3 brokers
who working in different securities companies. By asking brokers who work and
communicated with their clients directly, we will get information we need. Besides, to
make interviewee feel comfortable, we asked open questions and have open conversation
with brokers.

Process
Before interviewing, researchers found documents related to brokers and stock
market. Questions were prepared to ask which were in form of open question so
interviewee could give their own opinion about their career in currency.
Interviewees are brokers who work directly in Hanoi stock market at different
security companies and they did not know about what questions would be asked .Their
answers gave researchers an overview about consultant services.
In interviewing, researchers asked from 3 to 5 questions related to brokers’ job.
Researchers made sure that all answers only use for this topic only, therefore we take
notes instead of recording.
Researchers aim to find out the first objective which is “To get an overview about
broker service in Ha Noi and the efficiency of using consultant services”. First of all, we
asked general information about brokers’ job. After having an over view and based on
interviewee’s attitude we will asked deeply questions. We asked brokers about how did
investors used their services in different security companies, or how did brokers advice to
their customers.
Besides, researchers also asked brokers about the gap between “what will brokers
do?” in theory and “what did brokers do?” in practice. From that the researchers find out
some limitation in consultant services.
Evaluation
By interviewing some brokers, we have overall about what brokers do in practice
different from theory. We also collected opinions from brokers at different companies
and compared with thesis from other research before.
b. Survey Questionnaires
Purpose : investors who are direct connect and use brokerage service. Therefore, their
assessment is important to measure service quality. Moreover, they can give opinion
about limitation of brokerage service.
Process: there are total 154 respondents in three securities companies : VDSC, BSC and
VN Direct.
• Questionnaire methodology:

With questionnaire methodology, sampling method will be use is random sampling. It
means that survey will be distributed randomly to 154 casual investors
• Questionnaire design:
As recorded above, data is collected by using survey. In a form of questionnaire, it
includes about 10-15 questions, which are divided into three main parts. In the first part,
researchers will ask some personal questions that related to the job of investors and the
company they are concerning. Then, the second part is focus on answering, “How many
percentages of investors are using broker’s service” and “whether brokers influence the
investor’s trading decision”. Finally, investors will be asked for suggestion to improve
the broker’s service to attract more customers.
• Time to survey: 3 weeks (1
st
May 2010 to 22
nd
May 2010)