Project title: Financial Risk Management in Securities companies in Vietnam (case study of the Saigon Securities Inc.)

Authors: Nguyen Thi Hoai, Dang Tran Phuc

Class: QH-2007-E Business Administration

Instructor: Dr. Tran Duc Vui

Prize: Incentive Prize at UEB level, 2011


  • Identifying the situation of risk management in securities companies, and the impact of risks to the securities companies in Vietnam.

  • Applying for a specific case study of effective risk management in Saigon Securities Company.

  • Offering recommendations to the Securities companies when applying risk management system for their business operations.


Beside the introduction, conclusion and list of references, the research topic consists of four chapters:

  • Chapter 1: Securities companiesandfinancialrisk managementin securities companies.

  • Chapter 2: Situations of risk, financial losses and the application of risk management systems in the securities companies in Vietnam.

  • Chapter 3: Case studyappliedsystemsof risk managementinSaigonSecurities Inc

  • Chapter 4: Some recommendations to apply risk management system for securities companies in Vietnam.


  • The study showed the financial loss which the Securities companies in Viet Nam have experienced because of a lack of risk management systems within the companies.

  •  Introducing an effective risk management system in Saigon Securities Inc (SSI)

  • Recommending some solutions for the Securities companies in order to apply risk management systems effectively.

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