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 [...]... Percent 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 6 3.9 3.9 100.0 154 100.0 100.0 No ideas Total Q12 Reason not to use the services of security company Valid Frequency Valid No answer High fee Percent Cumulative Percent Percent 60 39.0 39.0 39.0 8 5.2 5.2 44.2 Unknown to the 36 23.4 23.4 67.5 Not good information 32 20.8 20.8 88.3 Other ideas... 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... 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... 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 . 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. 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. 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