Abstract
Securities brokerage activity in Vietnam is one of the conditional business activities. Besides providing stock trading services for individuals and organizations who want to buy or sell securities on the exchange, securities brokerage activities are also connecting investors, helping to attract and circulate cash flow in the economy, improving the investment and business cultural environment and promoting new product development. Currently, the law on securities brokerage activities is relatively complete in terms of the legal framework, however, no matter how the law is strict, it cannot cover all cases. In the scope of this article, the author will gain an overview of the securities brokerage activities in Vietnam. Through analytical research and synthetic methods based on current legal regulations including laws, decrees and circulars, the article will evaluate the remaining shortcomings in the legal regulations of the securities brokerage profession, thereby, giving some recommendations and solutions to supplement and improve the legal regulations related to securities brokerage activities in Vietnam.
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