The operational process of a securities company is implemented in a structured and rigorous manner to ensure legal compliance and effective risk control. First, the enterprise must complete the procedures for establishing the company in accordance with the Law on Enterprises, selecting appropriate business lines and preparing documents on organizational structure, key personnel, and required facilities. Next, the company must submit an application for approval from the State Securities Commission of Vietnam to obtain the License for Establishment and Operation. At this stage, the authority will assess statutory capital, technological systems, management procedures, personnel qualifications, and the company’s ability to meet financial safety standards.

Upon being licensed, the securities company may conduct core business operations such as securities consulting, securities investment advisory, securities brokerage, and analysis and publication of analytical reports for investors. Each line of business must be operated based on clear internal procedures, stringent compliance controls, and periodic reporting obligations in accordance with legal regulations, ensuring transparency, safety, and contributing to the sustainable development of the securities market.