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