Operation Department

1/ Manage account information of customer
- Got information of Customer from Marketing team to instruct procedure for opening account
- Receive opening securities trading account contract of customer from Sale Department, checking information and open account on ASAM' system, VSD's system
- Instructing Customers to change information upon request, collect document from the Customer, make a dossier and submit it to VSD, get appoval from VSD then changing information on ASAM's system
- Guide the foreinger customer apply for securities trading code at VSD, procedures for securities trading through indirect investment capital account
- Guide the old customer of ASAM (using service of SJSC) resign the contract to use new trading system of ASAM
2/ Depository
- Compare Stock balance at ASAM to Stock balance at VSD everyday to ensure customer's balance is fully monitored
- Following and allocating rights arising from Customer's stock (Cash dividends, Stock dividends, Buying issued Stock, etc) to ensure customer depositing stock at ASAM receive full rights from the Stock issuer
- Deposit, withdraw, transfer Stock according request of Customer, make a doissier and submmit it to VSD to get approval
- Borrow stock form customer/another securities company and contact to VSD to correct short sell error
- Update new regulation from VSD to apply at ASAM and request vendor edit system
3/ Settlement
- Input cash into customer's securities trading account when customer transfer money from bank account to securities account
- Transfer money from securities trading account to registered bank account following request of customer
- Check the amount and balance of stock transferred to VSD for payment according to customer's buying/selling orders
4/ Place order for fund/put through order
- Collect valid put through order from the customer and input it into system
- Acting as a trader to place order for fund
5/ Customer service
- Take care old customer at ASAM
- Receive, respond and solve customer inquiries via email, call center
6/ TESTING, IMPROVEMENT SYSTEM
- Participate in testing and golive new core; linked to system of BIDV, Shinhanbank for foreigner transaction ( (already done))
- Participate in testing new project: eKYC
- Participate in testing trading system with HNX, HOSE according their announcement
- Participate in testing KRX's system with VSD
- Identify system errors through daily operations to ask the vendor to correct and re-check after the vendor has fixed it.
7/ Procedure
- Build and standardize departmental procedures according regulation of Vietnamese law
+ Completed and issued:
Opening, closing securities trading account process
Cash advance process
Receiving orders Process
Transaction error correction process
+ Continue to comply processes related to Operation Department according to the actual demand of ASAM
- Create attached form correspond to each process
8/ Make daily report, weekly, monthly report related to Operation Department to submit to SSC, HNX, HOSE, BOD
9/ Store document related to OP Department
10/ Other taks arising related to OP Department