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cc/NG:116A xA HO! CHU NGHiA VIETNAM Dc lp — Tty do — Ilqnh phtic

HANG TMCP IEN LONG

/QD-BKS Roch Gia, ngay thong nom 2019

Dy• thcio

QUYET DINH

Ban hanh Quy che TO chat vã hog di:mg ctia Ban Mem soat Ngfin hang TMCP Kien Long

BAN KIEM SOAT NGAN HANG THIYONG MA! CO PHAN KIEN LONG

- Can,cO Drat cac t6 chirc‘tin dung s6 47/2010/QH12 ban hanh ngay 16/6/2010 \fa that sira doi, bo sung mOt so diet' cña Lust cac TO chirc tin dung so 17/2017/QH14 duce ban hanh ngay 20/11/2017;

- Can dr Dieu 16 Ngan hang TMCP Kien Long;

- Can cir Nghi quyet cUa Dai hi dOng c6 dong ngay thang nam 2019,

QUYET DINH:

Dieu 1. Ban hanh kern theo Quyet dinh nay "Quy che T6 chtic vã hot Ong Oa Ban Kim soar Ngan hang TMCP Kien Long.

Dieu 2. Quyet dinh nay c6 hieu tut ke to- ngdy /2019,va thay the cho Quyet dinh so 08/QD-BKS ngay 15/4/2014 coa. Ban Kiem soat ve viec ban haph Quy che T6 chat va boat dOng dm Ban Kim soat Ngan hang TMCP Kien Long.

Di'eu 3. Thanh vien Ban Kim soat, thanh viten HO &Ong quail tri, Ban TOng Giam dOc, cac PhOng, Ban, Trung tam HOi so, the Chi nhanh va PhOng Giao cilch chiu trach nhiem thi hanh Quyet dinh nay.

Nol nhOn: - FIDQT, BKS; - Nhu Diu 3 (thy-c Men,);

- Luu Vp. FIDQT, BKS.

TM. BAN KIEM SOAT TRIIONG BAN

Nguyen Cao Ctrimg

viz pt&

. Quy che' TO chirc Nth hoat dOng dm Ban Kim soat

QUY CHE VE TO CHUC VA HOAT BONG Ctik BAN KIEM SOAT NGAN HANG TMCP KIEN LONG

(Ban hanh kern theo Quyé't cif/1h so /QD-BKS ngay thang mam 2019 cua Ban Kiem soat Ngan hang TMCP Kien Long)

Chuang QUY DINH CHUNG

Ditu 1. 1161 tulyng ditu chinh vi phum vi ip dung

1. Quy che nay quy dinh v t6 chdc, chirc nang, nhiem vu, quyen co che hog dOng va cac mai quan he' c6ng tac ctia Ban Kiem soat Ngan hang TMCP Kien Long.

2. Mgi hoat dOng dm Ban Kiem soat va cac thanh vien Ban Kim soat, dun vi, ca nhan ti Ngan hang TMCP Kien Long c6 lien quan den to chirc va hoat dOng dm Ban Kiem soat phai tuan tha Dieu le va Quy che nay.

3. Quy ché nay dugc áp dung th6ng nhAt trén toan b0 he th6ng Ngan hang TMCP Kien Long.

Dieu 2. Dia vi Oaf) ly cfia Ban Kim sok

Ban Kim soat do Dai hôi ,deng cif') (long bau, mijn nhiem; Ban Kiem soat thgc hien chitty nang kiem Wan nOi b0, kiem soat, danh gia viec chap hanh quy dinh cua phap luat, quy dinh nOi b6, Dieu le va Nghi quyet cUa Dai hi &rig Co d8ng, Hi dong quail tri Ngan hang TMCP Kien Long.

Diu 3. Nguyen tAc t6 chat, hot Ong cilia Ban Ki'em soat

1. Ban Kim soat t6 chic va hoat dOng theo nguyen tac tuan thn cac quy dinh cna Phap luat, Dieu le va cac quy dinh cCia Ngan hang TMCP Kien Long.

, 2. M9i din bin va nhang thong tin thu thap dtrgc trong qua trinh giam sat cilia Ban Kiem soat phai dugc xem xet, danh ,gia trung thkrc, khach quan tren co so. cac tai lieu da dtrgc ki'em tra tai cho hoac qua he th8ng thong tin bao cao.

Tat ca cac bao cao,'ket luan, kin nghi dia Ban Kiem soat gut cho Dai hOi deng c6 HO (long quart tri, Ban Dieu hanh va cac co quan Nha nuac c6 tham quyen (nett co)

phai dugc did° luan tap the trong Ban Kiem soat vá Co the tham khan kien cua Hi (long quail tri.

4. Ban Kim soat lam viec theo che d6 tap the ket hgp veci trach nhiem cá nhan ve pham vi cong viec dugc phan cong cña tirng thanh vien Ban Kiem soat. Thanh vien Ban Kim soat chiu trach nhiem báo cao ye viec thgc hien cac cong viec dugc phan cong phu trach.

5. Ban Kiem soat dugc sir dung con dau cña Kienlongbank (16 thkrc hien nhiem vu cüa minh quy dinh tai Quy che nay, Dieu le Ngan hang TMCP Kien Long va phap luat CO lien quan.

Diu 4. Giai thich tit ngii.

Trong Quy che nay, nhung nga clued day dugc hieu nhu sau:

Kienlongbank: La Ngan hang TMCP Kien Long.

Ban Kim soat: La Ban Kiem soat cUa Kienlongbank.

Luu hanh nôi b() Trang 1/19

Quy 6116 T6 eh& và hoat Ong dm Ban Kiëm soar

3. Hi dting quail tri: La HOi di:Mg quan tri cUa Kienlongbank.

4. Ngtriri quan ly: Chu tich HOi thong quart tri; thanh vien HOi dOng quan tri; Teng Giam doe \fa cac chirc danh khde theo quy dinh tai Dieu lecüa Kienlongbank.

5. Ban Dieu hanh: La. Tong Giant d8c, cac Ph6 Tong Giam doe \fa Ke than truong cila Kienlongbank dirge HOi &Mg quan tri be, nhiem.

6. Ngtrei có lien quan: La t6 chirc, cá nhan co quan he; true tip hoac gian tip vOi t6 chirc, cá nhan khac thuOc mOt trong cac truerng hgp sau day:

Ong ty me vOi cong ty con va ngugc lai; To chirc tin dung vOi cong ty con cita to chirc tin dung va ngugc lai; Cac cong ty con cila ding mOt ding ty me hoac cUa ciing mOt to chirc tin dung vOi nhau; Nguai quan 19, thanh vien Ban Kiem soat ena ding ty me hoac cita to chirc tin dung, ca nhan hoac to chirc c6 that-it quyen bo nhiem nhiing nguoi nay voi ding ty con va ngugc lai;

Citing ty hoac t6 chile tin dung vat ngu6i quart 19, thanh vien Ban Kiem soat ena cong ty hoac to chirc tin dung do hose \fel cong ty, tO chirc c6 tham quyen be, nhiem nhang nguiri do va ngugc lai;

iiL C6ng ty hoac th chue tin dung vOi t6 chirc, cá nhan see him tir 5% v8n dieu I hoac von c6 ph'An c6 quyen Neu quyet trer len tai c8ng ty hoac tO chirc tin dung do va ngugc lai.

Ca nhan veri vg, cheing, cha, me, con, anh, chi, em cüa nguti nay;

Cong ty hoac t6 chirc tin dung vOi ca nhan theo guy dinh tai Diem (iv) Khoan nay cüa riguai quart 19, thanh vien Ban Kiem,soat,,thanh vien gOp von hoac co thong sir hiru tn. 5% von dieu lé hoac von c8 phan c6 quyen bieu quyet tra len dm cong ty hoac t6 chirc tin dung do va ngugc lai;

Ca nhan dirge ny quyen dai din cho t6 chirc, cfrnhan quy dinh tai cac Diem (i), (ii), (iv) va (v) Khoan nay vOi to chirc, cd nhan ay quy'en; Cac cd nhan dugc fly guy& di din phan von g6p efla ding met to chat vOi nhau;

Phap nhan, ca nhan khac c6 m6i quan he tiem An rfli no cho boat dOng cna Kienlongbank, &rot xac dinh theo quy dinh rthi b cfla Kienlongbank hoac theo yeu eau bang van ban ctia,Ngan hang Nha nu& thong qua hot theng thanh tra, giam sat doi vOi tiling truemg hgp cu the.

7. H'e th6ng ki'em sok n6i 136: La tap hgp cac co che, chinh sach, quy trinh, quy dinh nOi130, ea cau to chirc efla Kienlongbank dirge xay dung phit hgp vOi cac quy dinh efla phdp luat va dugc to chirc thue hien nham ki'em soat, phOng ngira,' phat hien, xir 19 kip thed rili ro va dat dirge yeu cau de ra. H thong kiem soat nOi b0,thire hien giam sat cilia quart ly cap cao, kiem soat nOi b, quan 19 rfli ro; danh gia nOi 130 ye mire dfl von va kiem toan

, 8. Kim titan nOi 136: La viec rã soat, danh gia (the lap khach quan doi vOi h'e thOng kiem soat rthi b0; Danh gia dOc lap ye tinh thich hgp va tuan thii guy dinh chinh sach nOi 130, thit tuc, quy trinh da thiet lap trong Kienlongbank, dua ra kien nghi nham nang cao hieu qua dm cac he thong, quy trinh, quy dinh gOp phan bao darn Kienlongbank hot Ong an toan, hieu qua, thing phap luat.

9. Cling ty con dm Kienlongbank: LA cong ty thlthe met trong cac truang hgp sau:

I. Kienlongbank hoac Kienlongbank ,va nguiri c6 lien quan cilia Kienlongbank sec him tren 50% von dieu 1 hoac tren 50% von co phan co quyen bieu quyet;

Lau hanh n6i b6 Pfz

Trang 2/19

Quy cha Ta chdc va haat Tang dm Ban Mani sok

Kienlongbank c6 quyen true tiep hoc gian tie') bo nhiem da so hoc tat ,ca cac thanh vien HOi (long quan trj, HOi dongrAhanhtvien hoc Tong Giam doe (Giarn doe) dm cong ty con;

Kienlongbank c6 quyen stra dei, b6 sung dieu lecüa c6ng ty con;

, iv. Kienlongbank va ngugi c6 lien pan cüa Kienlongbank true tip hoc gian tip kiem sok vie thong qua nghi quyet, guy& dinh ctia Di hOi dong co (long, HOi thing quail tri, HOi 'Jong thanh vien cüa cling ty con.

Unlit cac T6 chin tin dung: La luat cac To chirc tin dung so 47/2010/QH12 ban hanh ngdy 16/6/2010 va Luat stra dgi, be sung met so dieu cUa Luat cac T6 chirc tin dung s6,17/2017/QH14 dugc ban hanh ngay 20/11/2017 bao g6m van ban sira doi, 1)6 sung, thay the Luat nay trong timg thgi 14.

Lu4t Doanh nghiep: La lust Doanh nghiep sO 68/2014/QH13 dugc ban hanh ngay 26/11/2014 bao gOm van ban sira doi, 136 sung, thay the Luat nay trong tirng thgi ky.

Phil) lual: La tat ca the Luat, Phap lenh, Nghi dinh, Quyet dinh, Thong Pr va cac , van ban quy pham phap luat khde dugc cac,cu quan Nha nugc Viet Nam ban hanh theo timg thgi bao g6m ca cac van ban sin doi, b8 sung, hoc thay the (neu c6).

Dieu le: La Dieu le Kienlongbank bao gem cac ban sira dei, b6 sung (lieu c6).

Ngfin hang Nha nut: La Ngan hang Nha ntrac Viet Nam.

Cac thuat ngirr khac dugc sir dung trong Quy che nay có nghia nhu trong Di'eu le Kienlongbank.

Chtrong II

CO CAU, TO CI-IfiC CUA BAN KIEM SOAT

Dieu 5. Co. cu, td chat cfia Ban Kim sok

1. Ban Kiem sok cüa Kienlongbank c6 it nhat 03 (ba) thanh vien,va tgi da kitting qua 09 (chin) thanh vien, trong d6 phai c6 it nhat 1/2 (mOt phan hai) tong so thanh vien la thanh vien chuyen trach, khong 'tong then dam nhiem chirc vu, c8ng viec khde tai Kienlongbank hoc doanh nghiep khae.

2.,Nhiem dm Ban Kim soat kh6ng qua 05 (nam) nam. Nhiem thanh vien Ban Kiem sok theo nhiem cita Ban Kiem sok. Thanh vien Ban Kiem sok c6 the dugc bau hoc b6 nhiem lai vgi so nhiem khong han che. Nhiem ky elm thanh vien duce bo sung hoc thay the la thgi han con Lai cüa nhiem 14. Ban Kiem sok cüa nhiem vita ket thilc tiep tuc boat dOng cho den khi Ban Kiem sok cüa nhiem mad tiep quail ding viec.

3., Cac thanh vien Ban Kiem sok bau 01 ngugi trong s6 cac thanh vien lam Trugng Ban Kiem sok.

Trong trugng hcep vao the:6 diem ket,thiic nhiem ma Ban Kim ,soat nhiem ky med chua dugc ,bau thi Ban KiEm sok da het nhiem kY van tiep tkic thuc hien quyen \fa nhiem vu cho den khi Ban Kiem sok nhiem mai dugc bau va nhan nhiem vv.

Trugng hgp s6 thanh vien Ban Kim sok khong dü 2/3 (hai phan ha) tong s6 thanh vien cüa nhiem hoc khong dii so thanh vien tOi thieu theo quy dinh tai Khoan 1 Dieu nay thi trong thai han 60 (sau muui) ngay ke tir ngdy khong du so lugng thanh vien, Ban

Luu hanh OM) Trang 3/19

Quy ch6 T6 Wm va hout clOng ena Ban Kirn soat

Kiem soat phai d nghi H0i,dOng quart tri trieu tap Dai hOi &mg co dong de bAu b6 sung do so lugng thanh vien Ban Kral soat. Thanh vien Ban Kiem soat dirgc bau bo sung phai duct Ngan hang Nha nuOt chap thuan. truac khi bau.

Ditu 6. Be phan gitip viec cim Ban Kim soat

, 1. Ban Kiem soat co b0 phan giup viec,.b0 phan Kiem toan nOi b0, dugc sir dung cac nguonlpc CUa Kienlongbank, duct (hue chuyen gia vã to cfurc ben ngodi de thuc hien nhiem vu cüa minh.

2. Chirc nang, nhiem vp Cy the crla BO phan giup viec thuc hien theo Quy che nay hoac van ban có lien quan khac do Ban Kiem soat ban hanh.

Dieu 7. Tieu actin vi ditu kien d dtrot ban, b nhiem thanh vien Ban Kiem soat

Thanh vien Ban Kiem soat phai dap Ung du cac tieu chuAn vã diEu kin sau:

Kh6ng thuOc doi truing quy dinh tai Dieu 8 oh Quy ch nay;

CO dao dire nghE nghiep;

C. CO bang Dai hpc trer len ve mOt trong cac chuyen nganh kinh girth tri kinh doanh, luat, ke toan, kiem than; CO it nhat 03 (ba) nam lam viec true tientrong linh we Ngan hang, tai chinh, ke toan hoac kiem toan;

Khong phai la ngueri cO lien quan cOa ngtrOi quan 19 Kienlongbank;

Thanh vien Ban Kim sok chuyen trach phai Cu tro tai Viet Nam trong then gian duong nhiem va khong duct dOng thel darn nhan chirc vp, lam vice tai .Kienlongbank, tO chirc khac hoac doanh nghiep khac;

Ngoai cac diet' kin, tieu chuAn quy dinh tai DiEu nay, thanh vien Ban Kiem soat cria Kienlongbank phai tub flu) cac quy dinh hien hanh cOa Phap lust c6 lien quan.

g. Twang Ban Kiem soat la nguoi c6 chuyen mon ye' Ice toan hoac kiem toan.

Ditu 8. NM-mg trutng hop khong duvc dam nhiem chnt vy

I. Nhung nguai sau day kh6ng duct la thanh vien Ban Kim sok cOa Kienlongbank:

Nguen chin thanh nien, bi han che hoac bi mAt nang luc hanh. vi dan sp;

Nguai dang bi truy ciru trach nhiem hinh sg, dang chap hanh ban an, quyet dinh ve hinh dm Tea an;

C. NgtrOi da N ket an ve tOi Pr tOi pham nghiem trpng trer len;

Ngueri da bi ket an ye' tOi pham nghiem tryng tra len;

Nguai da bi ket an ve tOi xam pham s& him ma chua dugc xoa an tich;

Can b0, cong chirc, ngueri quart 19 cap phOng trer len trong cac doanh nghiep ma Nha nuot nAm tit 50% von dieu l fro: len, PP nguai duct cP lam dai din (pain 19 phan vein gOp ctia Nha tux& tai Kienlongbank;

sy quan, ha sy quan, quan nhan chuyen nghie.p, cong nhan quOc phong trong the co quan, don vi thuOc Quan dOi nhan dan Viet Nam; Sy quan, ha sy quan chuyen nghiep trong cac co quan, don vi thuOc Cong an nhan dan Viet Nam, Ulf ngtrai dugc cIt lam dal din quail 19 phan von gop cIta Nha nuot tai Kienlongbank;

Luu hanh nc)i b6

C

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Quy ch6 T6 chat và hoat dOng cila Ban Kiam soot

Ngtred thuOc d6i ttrgng kh6ng dirge tham gia quail ly, dieu hanh theo quy dinh cüa pita], luat ye can b0, cong chile va phagiluat yeTheng, ch8ng tham nhang;

,Ngtrai da timg la chü doanh nghiep tu nhan, thanh vien hgp danh elm cong ty hgp danh, Tong Giam doe (Giam d8c), thanh vien I-10i dong quan tri, thanh vien HOi dong thanh vien, thanh vien Ban Kiem soat cüa doanh nghiep, Chi nhiem \fa cac thanh vien Ban quan tri hgp tac xa tai thai diem doanh nghiep, hgp tac xa..b1 .tuyen bo pha san, trir truang hgp doanh nghiep, hgp tac xa N tuyen b8 pha san vi lY do bat kha khang;

Nguai dai din theo phap luat càa doanh nghiep tai died diem doanh nghiep bi dinh chi hoat dOng, bi buOc giai the do vi pham phap luat nghiem gong, trir truang hgp Ia dai dien theo de nghi elm ca quan nha nu& c6 tham quyen nham chan chinh, cling eO doanh nghiep do;

Ngueri da tirng bi dinh chi chirc danh Chit tich HOi 'Tong quan tri, thanh vien HOi &mg quan tri, Chit tich HOi (tong thanh vien, thanh vion HOi (long thanh vien, Tru&ng Ban Kiem soat, thanh vien Ban Kiem soar, T8ng Giam doe (Gilm doc elm to chirc tin dung theo quy dinh tai Dieu 37 dm Lust Cac tO chat tin dung hoc bi ca quan co tham quyen xac dinh ngueri dO c6 vi pham dan den viec to chirc tin dang bi thu hoi Giay phOp;

I. Ngueri c6 lien quan elm thanh vien Hi dong quan tri, Tong Giam doc Kienlongbank khong dirge IA thanh vien Ban Kiem soat elm Kienlongbank;

m.Ngtrai phai chiu trach nhiem theo ket luan thanh tra dan den viec Kienlongbank bj xir phat vi pham hanh chinh trong Firth virc tien tO va ngan hang a khung phat Wen cao nhat doi veri hanh vi vi pham quy dinh ye giay phop, quail tri, dieu hanh, c8 phan, co phiOu, gOp von, mua c8 phan, cap tin dyng, mua trai phial doanh nghiep, ty le bao dam an than theo quy dinh cila phap lust ye mü vi pham hanh chinh trong linh vgc tien t va ngan hang.

2. Cac truang hgp khac theo quy dinh tai Dieu le elm Kienlongbank.

Dieu 9. Meng truirng hqp Wong ding dam nhiem chtrc vu

Truang Ban Kiem soat không dirge dOng thai là thAnh vien Ban Klein soat, ngueri quan elm TO chat tin dung khac.

Thanh vien Ban Klein soat khong dirge dOng the.' dam nhiem mOt trong cac chat vg sau day:

a. Thanh vien HOi riling quart tri, nguiri dieu hanh, nhan vien cüa Kienlongbank hoac Cong ty con oh Kienlongbank hoac nhan vien elm doanh nghiep ma thanh viOn HOi (tong quan tri, Tong Giam d8c clia Kienlongbank là thanh vien HOi 'Jong quan tri, ngtroi diet' hanh Mac IA cO (long Ian elm doanh nghiep do;

b., Thanh vien HOi dOng quan tri, ngueri dieu hanh elm doanh nghi r' ep ma thanh vie Ban Kiem soat elm doanh nghiep do dang la thanh vier) HOi dong quail tri, nguai dieu hanh tai Kienlongbank.

Dieu 10. throng nhien mit ttr each thanh vien Ban Mem snit

1. Thanh vien Ban Kiem soat throng nhien mat tu each trong cac truang bap sau:

Mat nang lire hanh vi dan sg, chet.

Vi pham cac quy dinh tai Dieu 8 Quy che nay ye nhilng truang hgp khong dirge dam nhiem chi:re vu thanh vien Ban Kiem sok.

Liru hanh nOi b0 itev' Trang 5/19

‘1Ck

Quy chE Tt) chac va hoat dOng dm Ban KiErn sok

La ngtrai dai din phAn von g6p cilia mOt t6 chirc la c6 &Ong hoac thanh vien g6p von càa Kienlongbank khi to chirc do bi cham dirt tu each phap nhan.

Khong con la ngugi dai din phan v6n g6p theo Oy quyen cilia co' dong là t6 chirc.

Bi true xuAt kh6i lanh th6 nuat COng hOa xa hOi chü nghia Viet Nam;

I Kienlongbank bi thu hOi giAy pile]) hoc bi cham dirt tu each phap nhan;

HOi dOng quan tri Kienlongbank'phai c6 van ban bao cao kern tai lieu chirng minh ye viec cac doi tugng duang nhien mat at each theo quy dinh tai khoan 1 Dieu nay girl Ngan hang Nha nu& trong thai han 05 (nam) ngay lam viec, ke tit ngdy ;the dinh dugc doi tugng tren ducrng nhien mat tu each va chiu trach nhiem ve tinh chinh xac, trung thut cira bao cao nay, dux hien cac thir tue bau, be nhiem chirc danh bi khuyet theo quy dinh cira phap luat c6 lien quan va theo Dieu lecàa Kienlongbank.

Sau khi duang nhien mat tu each, thanh vien Ban Kiem soat Van phai chiu trach nhiem ye cac quyet dinh cilia minh trong thai gian duang nhiem.

Dieu 11. Min nhi'em, bAi nhiem thanh vien Ban Kiem soat

1. Thanh vien Ban Kiem soat bi min nhiem, bai nhiem khi thuOc mOt trong cac truang hgp sau day:

Bi han cite nang lye hanh vi clan stir;

CO don xin tilt chirc (trong do neu r8 lY do xin tit chirc) giYi Ban Klein soat va TIOi dong quan tri Kienlongbank;

Khong tham gia hoat dOng ctia Ban Kiem soat trong 06 thang lien Mc, trir throng hp bAt kha khang;

Khong bao dam tieu chuAn, dieu kien theo quy dinh tai Dieu 7 Quy ch& nay;

Theo quyet dinh coa Dai hi &Ong cO dong;

Cac trtrerng hgp khac theo quy dinh tai Dieu le Kienlongbank va quy dinh cilia phap luat.

2. Sau khi bi mie'n nhiem, bai nhiem, Truerng Ban va thanh vien Ban Klein soat van phai chiu trach nhiem ye cac quyet dinh cira minh trong thai gian duang nhiem.

3. Trong thai han 10 (mire.° ngay lam viec, k lilt ngay thong qua quyet dinh mien nhiem, bai nhiem doi yeti cac thAnh vien Ban Ki'em soli, HOi (long quail tri Kienlongbank phai c6 van ban kern tai lieu lien quan bao cao Ngan hang Nha mite.

, 4. Trong tiled han 24 gier, ke tilt khi Kienlongbank thay di, bai nhietn, mien nhiem doi vai, cac doi tugng theo quy dinh tai Khoan 1 Dieu nay, Kienlongbank phai time hien c6ng bo th8ng tin.

Diu 12. Dinh chi, tnni dinh chi chat danh Ban Kim soat

1. Ngan hang Nha mite c6 quyen dinh chi, tarn dinh chi viec dux thi quyen, nghia cilia Trailing Ban, cac thanh vien Ban Kiem soat vi pham quy dinh tai Dieu 9 dm Quy che nay, quy dinh khac cilia phap luat cO lien quan trong qua, trinh time hien quyen, nghia vu dugc giao; yeu eau ca quan c6 tharn quyen mien nhiem, bau, bo nhiem ngueri thay the hoc chi dinh nguOi thay the neu xet thay can thiet.

Lun hanh nOi b4a 847 Trang 6/19

Quy die T6 chat va hoat dOng dm Ban Ki6m soat

Ban Kim soat dac bit c6 quyen dinh chi, tam dinh chi viec flux thi quyen, nghia \iv cua Truang Ban, thanh vien Ban Ki;em,soateila Kienlongbank bi dat vao tinh trang kiem soat dac bit neu xet thay can thiet.

Ngueri bi dinh ,chi, tam dinh chi viec thuc thi quyen, nghia vv theo quy dinh tai khoan 1 va khoan 2 Dieu nay phai c6 trach nhiem tham gia ?at 15/ cac ton tai và vi ,pham c6 lien quan den trach nhiem cii nhan khi c6 yeu cau ciia Ngan hang Nha mite, Wei (long quan tri, Ban Kiem soat cUa Kienlongbank hoac Ban Kiem soat dac bit.

Dieu 13. Thay the thanh vien Ban Kim soat

1. Trong truerng hop Truerng Ban Klein soat bi dining nhien mat tu each hoac co dun xin tit nhiem, trong thai han 15 (muai lam) ngdy lam viec ke tit ngly Tru&ng Ban Kiem soil throng nhien mat tu each hoac c6 dun xin tit nhiem, cac thanh vien Ban Kiem soat c6 trach nhiem tO chitc hup Ban Klein sok de bau 01 (m0t) thanh vial Ban Kiem soat lieu chuan, dieu kin) lam TruOng Ban Kiem soat.

TruUng hgp khong c6 thanh vien Ban Kim soat dap Ung dii fiat chuan, dieu kien theo quy dinh hien hanh, cac thanh vi'en Ban Kiem soat con lai de dr met thanh vien bao dam tiou chuan ye ciao dice nghe nghiep, nang lvc dieu hanh vii trinh ,d0 chuyen mon tam thai dam nhiem cong viec ciia Inning Ban 'Clem soat; (long thai, dO nghi HOi d8ng quan tri trong the" han 60 (sau muui) ngay lam viec (ke tit ngay Truong Ban Kiem soat bi throng nhien mat tu each hoac cc') dun xin tic nhiem) tien hanh cac thu tvc can thiet theo quy dinh de Ngan hang Nha tux& chap thuan danh sach du kien ung cit bau vao Ban Kim soat, vi trieu tap Dal hei &mg co d8ng bat thuang d8 bau ho sung thanh vien Ban Kiem goat vii tin hanh thu tvc bau Truang Ban Kiem soat.

2., Thanh vien Ban Kim soat muen tit chdc phai c6 don gii d'en Hi deng quan tit Ban,Kiem soat \fa HOi d6ng quan tri Kienlongbank d'e trinh Dai hei (long c8 dong gin nhat quyet dinh.

True/11g hap s6 thanh vien Ban Klein sok khong da 2/3 (hai phan ba) t6ng s6 thanh vien cUa nhiem ky hoc khong do so thanh vien Ban Kiem soat ten thieu theo quy dinh ciia Dieu le Kienlongbank, trong thai han 60 (sau mutt° ngdy lam viec ke tit ngay không dii s6 thanh vien Ban Kiem soat theo quy dinh, Ban Kiem soat phai de nghi HOi deng quan tri trieu tap Dai hei 'tong co dong de bau b6 sung thanh vien Ban Kiem soat.

Dieu 14. ChAp thuAn danh sach dty kin nhiing ngtroi (lucre bin lam thinh vien Ban Mem soat

1. Danh sach dv kin nhitng nguai dugc bau lam thanh vien Ban Kim soat ciia Kienlongbank phai dugc Ngan hang Nha nude chap thuan bang van bin tit khi bau cac chirc danh nay.

2., Kienlongbank phai thong bao cho Ngan hang Nha nu& danh sach,nhung nguai dugc bau thanh vien Ban Kim soat trong thai han 10 (mueri) ngay lam viec Ice tic ngay bau.

Dieu 15. Thu lao, tien thtthng vi cac chi phi khac cfia Ban Kim soat

1. Thanh vien Ban Kiem soat dugc tra thn lao theo cong viec dinh ky hang thing vi tien thuong theo ket qua vii hieu qua kinh doanh cua Kienlongbank. Dai h'ei clang ce (long quyet,dinh tong mite thu lao vii ngan sach boat dOng hang nam dm Ban Kiem soat can dr vao s8 ngay lam viec dr tinh, s6 lugng vi tinh chat °la cong viec vii mite thil lao binh quart hang ngdy cna thanh vien.

Luu hanh n6i b6 OA/ Trang 7/19

Quy chE Ta chive \fa Float Ong dm Ban KIEm soat

2. Thanh vien Ban Kiem . soat clime thanh loan chi phi an, 6., di loi, chi phi sir dung dich vu Ur van dc lop veri mire hgp ly. Tong mire thfi lao va chi phi nay kitting vugt qua tong ngan sach hoot dgng hang,nam oh Ban Kiem sodt dugc Doi hOi citing co dong chap thuon, trü truang hgp Doi hgi 'tong co dong c6 quyet dinh khae.

. 3. Thii lao cüa thanh vien Ban Kiem sok dugc tinh vac .chi phi kinh doanh cUa Kienlongbank theo guy dinh.cin phap luat ye thue thu nhap doanh nghiep, phap luat c6 lien quan va phai dirge the hien thanh lupe rieng trong bag cao tai chinh hang nam cita Kienlongbank, phai bao cao 114 hi &Ong co dong toi cugc hop thuerng nien.

Chuang III NHIEM IT VA QUYEN HAN GOA BAN KIEM SOAT

Dieu 16. Nhiem vu va quyen hmi ciia Ban Kim sold •

Giam sat viec tuan thit cac quy dinh cUa phap luat va Dieu lecUa Kienlongbank trong viec guar' tri, dieu hanh Kienlongbank, chin trach nhiem fru& Dai hgi dong co (long, trong viec tlurc hien nhiem vu, quyen han dirge giao.

Ban hanh cac guy dinh nOi bg cila Ban Kiena soat, bg phan Kim titan ngi bg va cua cac bg phan gift!) viec,khac true thugc, dinh, kY, hang Warn xem xet lat guy dinh ngi bg cita Ban Kiem soat, cac chinh sach quan tr9ng ye k'e toan va bao cao.

BO nhiem, mien nhiem, kY luat, dinh chi \TA quy6t dinh mire luang, lgi ich khac vai cac chfrc danh thugc bg phan Klein toan ngi 136.

,Thuc hien chirc nang kiem toan ngi b6, ea quyen sir dung tu Van dc lap va quyen dirge tiep con, cung cap dU, chinh xac, kip thei cac thong tin, tai lieu lien quan den hoot dOng quail ly, diet' hanh Kienlongbank de thut hien nhiem vg, guy'en han dirge giao.

Tham dinh bao cao tai chinh 06 (sau) thang, dau nam va hang nam cUa Kienlongbank, bao cao Dai hi dOng cO (long ve Ica qua tham djnh bao cao, tai chinh, danh gia tinh hgp ly, hgp phap, trung,thgc va mire do can trong trong ding tac ke toan, thong ke va lap bac) cao tai chinh. Ban Kiem soat có the tham kith) 2 kien cira Hgi Tong quan tri truerc khi trinh bao cao \fa kien nghi len Dai hOi (tong co (long.

Kim tra sg k toan, cac tai lieu khdc va ding viec (pan ly, dieu hanh hog dOng cira Kienlongbank khi xet thay can thiet hoc theo nghi quyet, quyet dinh cOa Dai hgi dong co idling hoac theo yeu cau caa co (long Ian hoac nhom co &Ting Ian phU hgp vai quy dinh cira phap luat. Ban Kiem,soat dux hien kiem tra trong theri han 07 (bay) ngay lam viec, ké tir ngay nhan dirge yeu cau. Trong thoi han 15 (mtrai lam) ngay, ke tir ngay ket ythtic kiem tra, Ban Kiem sodt phai bao cdo, giai trinh nhitng van de dugc you can kiem tra den to chirc, ca nhan eel yeu cau.

Kip theri thong bao cho HOi dOng quan trj, khi phat hien nguai quan ly có berth vi vi pham, yeu can nguai vi pham cham dirt ngay hanh vi vi phom va cO giai phap khac phvc hau qua, neu cg.

, 8. Lap danh sach c6 dong sang lap, c6 (tong Ion, va ngueri c6 lien quan cUa vien Hgi (tong quan trj, thanh vien Ban Kiem sok, Tong Gam doe etia Kienlongbank hru gift va cap nhat thay doi ciia dant! sach. nay.

Luu hành n0i bi" Trang 8/19

Quy ch6T chut va hog dOng dm Ban Kim snit

9. De nghi HOi ding quail tri hopiliat thtteng hoac d nghi HOi &mg quan tri trieu tap Dai hOi dong co 'long bat thuOng theomy dinit oh Dieu le va phap luat có lien quan.

, 10. Trieu tap Dai hOi d'ong c6 &mg bat thutmg trong trutrng hgp HOi deng quan tri c6 quyet dinh vi pham nghiem tong quy dinh dm Dieu le, Lust Doanh nghiep va Luat Cac to chirc tin dung hoac vucrt qua tham quyen ducc giao va tnrong hgp khac theo quy dinh tai Dieu lecilia Kienlongbank.

11. Cac nhiem vu, quyen han khac theo quy dinh tai Quy che nay, Dieu le Kienlongbank va phap luat c6 lien quan.

Dieu 17. Nhiem vy va quyen hn cilia Trtroing Ban Kiem sok

, 1. T6 chirc trien khai thvc hien nhiem vv, quyen han cilia Ban Kiem soat quy dinh tai Dieu 16 dm Quy che nay.

Chan bi chuong trinh hop dm Ban Klein soat ten co sa kin d xuat cilia thanh vien Ban Kiem soat lien quan den nhiem vv, quyen han cila Ban Kiem soat, trieu tap va chit tpa cuOc hop Ban Kiem soat. .

Thay mat Ban Kiem soat ky cac van ban thuOc tham quyen dm Ban Kim soat.

Thay mat Ban Kiem ,soat trieu top Doi hOi dang c8,dong bat thuong quy dinh tai Dieu l'e Kienlongbank hoac de nghi HOi dong quail tri hop bat thuang.

Tham dv cuOc hop HOi (fang quart tri, Oat bieu kien nhung thong ducre bleu quyet.

, • , 6. You cu ghi lai kin cilia minh trong bien ban cuOc hop HOi (Jong plan tri, nu )"/

kien cilia minh khac vi nghi quyet, quyet dinh cilia HOi (tong quan tri, va bao cao nu& Dai hOi dong c6 'Jong.

Chuan bite hoach lam viec va phan ding nhiem Iry cho cac thanh vien Ban Kim soat.

Bao dam cac thanh vien Ban Kim sOat nhan dugc thong tin dAy dü, khach quan, chinh xac \fa cal áü theri gian that) luan cac van de ma Ban kiem soat phai xem ?cot.

Giam sat, chi dao viec thvc hien nhiem vuducrephan ding \Id quyen, nghiavu cilia thanh vien Ban Kiem sok.

111y quyen cho mOt thanh vien khdc dm Ban Kim soli thgc hien nhiem vu cilia minh trong then gian yang mat.

Cac quyEn, nghia vii khac theo quy dinh tai Quy che nay, Dieu le Kienlongbank va phap 1410 lien quan.

Dieu 18. Nhiem vy va quyen hn cfia thAnh vier' Ban Kiem soat

Tuan tho quy dint ciia phap luat, Dieu le nay va quy dinh nOi 130 caa Ban Kim sok mOt each trung thvc, can tong vi lgi ich cüa Kienlongbank va cilia c8 (long.

Bau mOt thanh vien Ban Kim sok lam Truang Ban Kim soat.

You cAu Truang Ban Kim soat trieu tap Ban Kim soat hop bat thuang.

Kim soat boat Ong kinh doanh, kiem soat s6 sach ke toan, tai san, bat) cat) tai chinh va kien nghi bin phap kh'Ac phvc.

Liru hanh n(n

ruit

64/ Trang 9/19

Quy ch6 T6 chirc va hoar Ong cna Ban Kim soat

Dugc quyen yeu cau can)* nhan vien cUa Kienlongbank cung cap s6 lieu \Id giai trinh cac hog dOng kinh doanh d'e thyc hien nhiem vy dugc phan c6ng.

Bao cao Twang Ban .Kim soat ve hoat dOng tai chinh bAt thuang va chiu trach nhiem ve danh gia va ket luan cita minh.

Tham dy cuOc hop cna Ban Kiern soak, that:, luan ‘va bieu guy& ve vAn de thuOc nhiem vu, quyen han cila Ban Kiem 'sok, trir nhang van de c6 xung dOt lgi ich vori thanh vien do.

Cac quyen, nghia vy khac theo quy dinh tai Quy che nay, Dieu 1 Kienlongbank va phap luat c6 lien quan.

Dieu 19. Trach nhiem cling khai cac ich c6 lien quan

1. Thanh vien Ban Kim soat phai c6ng khai vOi cac thong tin sau day:

Ten, dia chi try sa chinh, nganh, nghe kinh doanh, so va ngay cAp Giay chUng nhan dang kY doanh nghiep, nai dang k kinh doanh cUa doanh nghiep, to chirc kinh te ma minh va ngueri c6 lien quan dung ten se NM phan von gap, co phan hoc ay quyen, ay thach cho cá nhan, to chirc khac dung ten tir 5% (nam phan tram) von diet' l tra len;

Ten, dia chi try sg chinh, nganh, nghe kinh doanh, s6 va ngly cap Giay chimg nhan dang ky kinh doanh, nth dang , I4 kinh doanh cua doanh nghiep ma minh va ngtrai c6 lien quan dang là thanh vien FlOi &mg quan tri, thanh vien Hi (tong thanh vien, thanh vien Ban Kiem soat, Tong Gam doe (Giam doe).

2. Vic Ong khai thong tin quy dinh tai Khoan 1 Dieu nay \id viec thay dgi thong tin lien quan phai thyc hien,bang van ban trong theri Ilan 07 (bay) ngdy lam viec, ké tu ngdy phat sinh hoc c6 thay dOi th8ng tin.

3. Kienlongbank phai cong khai thong tin quy dinh tai Khoan 1 Dieu nay dinh kY hang nana cho Dai hOi (long ca thing cita Kienlongbank va dugc niem yet, luu gift tai try sâ chinh ctia Kienlongbank.

4. Kienlongbank phai,thong bao bang van ban cho Ngan hang Nha nu6c cac thong tin quy dinh tai khoan 1 Dieu nay trong thai hart 07 (bay) ngdy lam viec, ke tir ngay Kienlongbank nhan dugc thong tin cong khai theo quy dinh tai khoan 2 Dieu nay.

5. Thanh vien Ban Kim soat phai thyc hien ding 136 thong tin ve giao dich c6 phieu theo quy dinh cira phap luat lien quan.

Dieu 20. Trach nhiem can trting

Thanh vien Ban Kiem soat co trach nhiem Mut hien cac nhiem vy cua minh, Ice cá nhang nhiem vy vai tu each thanh vien b0 phan Kiem toan nOi b0, mOt each trung thirc vi lgi ich cao nhat elm Kienlongbank va vai mac dO can am-1g ma mOt ngueri than trong phai ca khi dam nhiem vi tri tucrng throng va trong hoan canh tuang tr.

Dieu 21. Trach nhiem trung thtyc yi tranh cac xung dt v quyen lqi

, 1. Thanh vien Ban Kim soat khong dugc phop sir dyng nhang co hi kinh doanh c6 the mang lai lgi ich cho Kienlongbank và vi myc dich cá nhan, d8ng thgi khong clugc sir dyng nhting thong tin c6 dugc nha chirc Nip cüa minh de tu lgi cá nhan hay de phyc vy Igi ich cga to chat hoac cá nhan khac.

Lau hanh nOi b6

Trang 10/19

Quy ch6 TE) chirc ya ho?-t Ong dm Ban Ki‘rn snit

2. Thanh vien Ban Kiem soat co-nghia vu-thong bao cho Ban Kiem soat tAt ca the lgi ich co the gay xung dot vai lgi ich cilaiKienlongbank ma he c6 the dugc huang thong qua cac phap nhan kinh te, cac giao dich hoac ca nhan khac.

3. Hop thing hoac giao dich gitia Kienlongbank vai met hoac nhieu that-1h vien Ban Kiem soat hoac nhang nguai lien quan den he hoac cong ty, doi tac, hip hoi, hoac to chat ma thanh vien Ban Kiem soat hoac nhang ngtrai lien quan den 119 la thanh vien, hoac c6 lien quan lgi ich tai chinh khong bi vo hieu hóa trong cac truang hap sau day:

Doi yen hap Tong c6 gia tri tilt duai 20% (hai mirth phan tram) tong gia tri tai san dugc ghi trong bao cap tai chinh gan nhat, nhiing yeti t6 .quan trung ye hgp deng hoac giao dich cling nhu the mei quan he va lgi ich cüa can be quan IY hoac thank vien Ban Kim soat da dugc bao coo cho Ban Kiem soat hoac Wei clang quail tri. Deng thai,,H0i thing quan tri da cho phep thuc hien hap &mg hoac giao dich do met each trung thuc bang da s8 phieu tan thanh cüa nhting thanh vien HOi dong quan tri;

Dei veri nhang hgp ding CO gia tri Ian han 20% (hai muai phan tram) cua thug tai sari dugc ghi trong bao cao tai chinh gan nhat, nhang you to quan tr9ng ve hap dong hoac giao dich nay cling nhu mai quan h va Igi ich cUa can be quan hoac thanh via Ban Kiem soat da dugc ding 136 cho the co d8ng kh8ng c6 lgi ich lien quan CO quyen bieu quyet ye van de da va nhung c8 (tong do da bo phieu tan thanh hgp &Mg hoac giao dich nay;

Hgp &mg hoac giao dich do dugc met te) chirc Ur van dee lap cho la cong bang va hap ly xet tren mei phucrng din lien quan den the c6 &Mg cila,Kienlongbank van thai diem giao dich hoac hap d8ng nay dugc Ban Kiem soat Mac Wei (long quart tri hay cac co dong cho phep;

4. Thanh vien Ban Kim soat va nhang nguai CO lien quan vOi cac thanh vien tren khong dugc sir dung cdc thong tin chua dugc phop cong bo eüa Kienlongbank hoac het le cho ngtrai khac de thuc hien cac giao dich co lien quan.

5. Thanh vien Ban Kim soat phai am hieu ye cac loai rüi no trong hot dOng cüa Kienlongbank.

6 Thanh vien Ban Kim sok thong bao kip thai,7dAy dU, chinh xac cho Kienlongbank ye quyen lgi cOa minh tai to chire khac, giao dich vai to chac, ca nhan khac co the gay xung (let veri lgi ich cda Kienlongbank va chi dugc tham gia vao giao dich do khi dugc Hei &mg quart tri chap nhan.

Thanh vien Ban Kim soat kh6ng dugc tao dieu kin de ban than hoac nguai c6 lien quan cilia minh vay v8n, sir dung cac dich vu khac cOa Kienlongbank veri nhang dieu kien uu dai, thuan lgi han so veri quy dinh chung cOa Kienlongbank.

Ban Kim soat thong dugc tang Luang, thn lao hoac yeu cAu tra thuang khi Kienlongbank hi 18.

Thanh vien Ban Kim soat CO nghia vg thong bao cho Hi &Ong quan tri, Ban Kim soat ye cac giao dich gifta c8ng ty, cong ty con, c8ng ty do Kienlongbank nam quyen ki'em soat tren 50% (nam math phan tram) tra len v8n dieu l vai chinh thanh vien do hoac vai nhirrng nguai có lien quan cOa thanh vien dO theo quy dinh cUa phap luat. Doi vad cac giao did) neu tren do Dai hi dong c8 dong hoac Hei &Ong quan tri chap thuan, Kienlongbank phai thkrc hiOn cong bo thong tin ve cac nghi quyet nay theo quy dinh cOa phap 141 chang khoan ye cong be thong tin.

Lau hanh nr)i 1m5 00/ Trang 11/19

.frUA U-027

Quy ch6 TO chnt ya hog Ong dm Ban Kim soat

9. Cac nglila vv khac quy dinIttai Quy che nay, Dieu l'e va phap luat c6 lien quan.

Dieu 22. Trach nhiem ye thi'et hai va bôi thuimg

1. Thanh vien Ban Kim sciat vi pham nghia vv, trach nhiem trung thvc \fa can trong, Ichong hoan thanh ngifia vii cüa minh vgi sr man can va nang lye chuyen m6n phai chiu trach nhiem ve nhang thiet hai do hanh vi vi pham cita minh gay ra.

2. Khi thvc hien chirc na'ng, nhiem \Tv hoc thvc thi cac cong viec theo gy quyen.cga Kienlongbank, thanh vien Ban Kiem soat dugc Kienlongbank boi thuang khi tr6 thanh mgt ben lien quan trong cac vii khieu nai, kin, khai to (tit cac vv kin do Kienlongbank là ngueri Idled kin) trong cac Huang licyp sau:

Da hanh dgng trung thvc, cAn tning, man can vi lgi ich va khong mau thuan vai lgi ich cüa Kienlongbank.

Tuan thfi luat phap va khong c6 bang chung xac nhan da khong thvc hien trach nhiem veri lgi ich cña Kienlongbank.

Chi phi bgi thugng bao gm cac chi phi .phat sinh (Ice ca chi phi thue luat,su), chi phi phan quyet, cac khoan tien phat, cac khoan phai thanh toan Oat sinh trong thvc te hoac dugc coi la mire hgp l khi giai quyet nhang vu viec nay trong khuon kho luat phap cho phep.

Chtrang IV

HOST BONG CIJA BAN MEM SOAT

Dieu 23. CusYc hyp dm Ban Kim soat

, 1. Cugc hop Ban Kim soat dau tien phai dugc t6 chirc, trong \Tong 07 (bay) ngay sau bau CI:f Ban Kiem soat do. Cugc hgp nay do thanh vien c6 so phial bau cao nhat trieu tap. Truang hgp c6 nhieu hun mOt thanh vien c6 so phieu bau cao nhat Ara ngang nhau thi mgt ngueri trong so ho trieu tap hgp Ban Kiem soat.

, 2. Ban Kim soat hgp dinh k5' it nhat qu57 mOt Lan va c6 the dugc trieu tap hgp bat thuerng de kip theri giâi quyet nhung cong viec dgt xuat. Cugc h9p Ban Kiem soat do Trugng ban hoc ngueri tam gill chirc Truong Ban trieu tap va lam chit' tga.

3. Cu& hgp bat thugng cfm Ban Kiem sok thrgc tien.hanh theo de nghi coa:

Chit tich HOi thing quan tri;

Hai thanh vien HOi dgng quart tri;

Trtrerng Ban Kiem soat;

Da so thanh vien Ban Kim soat;

TOng Giam dee;

I Giam dee Ngan hang Nha nu& Chi nhanh hoc Thgng &Se Ngan hang Nha ntr6c.

4. Trong theri han 15 (mugi lam) ngay lam viec ketü ngdy nhan dugc van ban de nghi hop Ban Kiem soat bat thugng cña mOt trong cac doi ttrgng neu tai diem a, b, d, e vã f, khodn,3 Dieu nay, Truang Ban Kiem soat phai trieu tap \fa tien hanh cugc hop Ban Kiem soat bat thuang. Trudng hgp, sau hai Ian de nghi ke tiep ma Trugng Ban Mein soat khong trieu tap cugc hgp Ban Kiem soat, HOi dong quan tri va cac thanh vien Ban Kiem soat phai c6 ngay van ban bao cao Chi nhanh Ngan hang Nha nuerc tinh, thanh pito trvc thugc Trung

Lisu hanh nOi 60 Pc/

Trang 12/19

Quy che. T6 chirc ya hunt dOng elm Ban Kiez ni soar

uang noi Kienlongbank dat try sâ chinhAva tienihanh h9p Ban Kim soat d xir 19 cong viec, oiling tiled quyet dinh viec mien nhiern,,bai nhiem chirc danh Truang Ban Kiem soat, bau met thanh vien Ban Kiem soat dam bac) cac dieu kien gift chirc danh Truerng Ban Kiem soat, theo dung quy dinh hien hanh, hoac quyet dinh to chirc,Dai hOi dong c6 dong bat thuerng de xir ly nhfing ton tai, vtrang mac chua the giai quyet (neu co).

Cac cuec hop Ban Kim soat se duct tin hanh 6 da chi try see chinh da dang k9 càa Kienlongbank hoac 6 nai kilt do Trutng Ban Kiem sok quyet dinh.

Th6ng bao mai hop Ban Kiem soat phai duct ggi cho cac thanh vien Ban Klein soat t6i thieu 05 (nam) ngay lam viec truot ngay hop. Th6ng bao ve cuOc hop Ban Kiem soat duct lam bang van ban tieng Viet, trong do neu r6 ye: Chuang trinh hcp, thai gian, dia diem va phai duct kern theo nhfing tai lieu can thiet ye nhfing van de se duct ban bac vã bleu quyet tai cuOc hop Ban Kiem soat va cã cac phieu bieu quyet cho nhang thanh vien Ban Kiem soat. Nhirng thanh vien Ban Kiem soat kh6ng the du hop se gin phieu bieu quyet cho Ban kiem sok trutc khi hcp.

7., Cuec hop Ban Kim soat dugc den hanh khi co tir 2/3, (hai phan ba) s6 thanh vien Ban Kiem soat tra len true tiep tham du hoac qua ngtrai thay the IA met trong cac thanh vien Ban Kiem soat dugc ny quyen.

Dieu 24. Thong qua quyet dinh dm Ban Kim soat

M6i thanh vien tham dy cuec hop Ban Kim soat s'e c6 met phieu Neu guy& tai cuec hop Ban Kiem soat., Neu thanh vien Ban Kiem soat khong the tham du cuOc hop thi co the ay quyen bieu quyet cUa,minh bang van ban cho met thanh vien Ban Kiem soat khac (la dot Wong duoc tham gia bieu quyet) thyt hien bieu quyet thay.

Thanh vien Ban Kim soat c6 quy'en loi lien quan tai van d8 duce dua ra Ban Kiem soat qtiyet,dinh sê kh6ng duct phop tham gia bieu quyet doi voi van de do vã khong duct tinh vao so lugng dai bieu yeu cau co mat tai et hop, &Mg thgi ,cang khong dirge nhAn fly quyen cua thanh vien Ban Kiem soat khac de tham gia bieu quyet van de do.

Bat ky thanh vien Ban Kim soat nao cO lien quan den met hop dang,duct neu trong khoan 3 Dieu 21 dm Quy che nay se dugc coi la c6 quyen lgi vAt chat deli \Teri hop (long do.

4; Thanh vien Ban Kim soat neu theo sr hien biet cña minh thay co lien quan dit la true tiep hay gian tiep veri met hop &mg, met th6a thuon hay met hop (long dy ,kien hoac met th6a thuan du kien giao ket vai Kienlongbank phai khai bao ban chat quyen lgi lien quan tai cuc hop Ban Kiem sok. Tai day Ban Kiem soat se xem,xet,viec c6 giao,ket cac hop &Ong hoac thoa thuan del hay kh6ng. Neu nhu sau nay mdri Net ve su t6n tai ye quyen loi do ciia minh hay trong bat cfr trutng hop nao khac, thanh vien do phai thong bao,ngay tai cuOc hop gan nhat ctia Ban Kiem soat sau khi thanh vien do biet dugc da co quyen Igi lien quan.

, 5. Quyet dinh dm Ban Kim soat dugc thong qua neu dtroc,da s6 thanh vien Ban Kiem soat c6 quyen tham gia,bieu quyet chap thuan. Truerng hop so phieu ngang nhau thi quyet dinh cuoi cfmg thuOc ye phia c6 9 kien cüa Truang Ban Kiem sok boat thanh vien Ban Kiem soat duce Ban Kiem sok ày quyen Chit tca cuec h9p (truang hop Twang Ban Kiem soat yang mat).

Lau hanh *130 04/ Trang 13/19

tWr °32)2X

Quy cha Ta chirc va hoat &Ong cua Ban Kim soat

6. Truang hop Ban Kiem soat lay 9 kin bang van ban de thong qua guy& dinh ye mOt van de thi quyet dinh dugc coi la c6 gia tri tuong throng yeti mOt quyet dinh dugc th6ng qua beci cac thanh vien Ban Kiem soat tai mOt cuc Iwp duce trieu tap va to chirc thong thuong neu:

Dugc str nhat tri bang van ban cüa da s6 thanh vien Ban Kiem soat c6 quyen tham gia bleu quyet doi vai van de dim ra xin 9 kien;

So hrong thank vien Ban Kim soat co quyen tham gia bieu quyet bang van ban phai dap Ung dugc (lieu kin ye s6 lugng thanh vien bat buOc phai c6 de tien hanh hop Ban Kiem soat.

Dieu 25. Bien bin hyp cim Ban Kiem sok

, 1. CuOc hop Ban Kiem soat phai &roc ghi day da vao so hien ban. Bien ban hop Ban Kiem soat dugc lap bang tieng Viet va phai ducfc tat ca thanh vien Ban Kiem soat tham du hop k9 ten va phai lien clai chiu nth nhiem ye tinh chinh xac va trung dux cilia Bien ban. Thu kY cuOc hop chiu trach nhiem ghi chop va lop bien ban cu6c kip Ban Kiem soat va k9 ten vao bien ban.

2. Chit toa cu6c hop co trach nhiem 17.6 tri lap va gui bien ban cuOc hop Ban Kiem soat cho cac thanh vien Ban Kiem soat va Bien ban hop do së dugc coi la bang chUng mang tinh ket luan ye cong viec tien hanh ti cac cuOc hop do, trir truang hop co nhang khieu nai lien quan den nOi dung cim Bien ban hop trong thai han 10 (mired) ngay ke fir ngay gin Bien ban.

3. Twang hop thanh vien tryc tiep dtr hop khong kY vao Bien ban hop thi ghi rO ly do; Neu khong ghi rO ly do thi bieu quyet cUa thanh vien do doi v&i nhang nOi dung tai cuOc hop coi nhu khong c6 gia tri.

4. S6 bien ban va Bien ban hop Ban Kim soat phai dugc luu gill va bao quart tai try se( chinh cüa Kienlongbank.

5. Chn toa, Thu kY va cac thanh vien Ban Kim soat tham du cu6c hop phai lien dai chiu trach nhiem ye tinh chinh xac va trung thyc cita. Bien ban hop Ban Kiem soat.

Dieu 26. Thim quyen va the truly liy 9 kien thanh vien Ban Kim soat bing yin ban

1. Truang Ban Kim soat quyet dinh viec My 9 kien thanh vien Ban Kim soat bang van ban.

, 2. Thu kY Ban Kiem soat chuan bi phieu My y kien, cac tai lieu can thiet c6 lien quan den n6i dung xin 9 kien.

3. Phieu lay 9 kian phai cO,cac nOi dung chO yeu sou day:

Ten, dia chi try sâ chinh, s6 va ngdy cap Giay pile]) thanh lap \fa hog dOng, Giay chung nhan dang ky kinh doanh cfm Kienlongbank;

Myc dich lay y kien;

Ho, ten va dia chi lien lac cna thanh vien Ban Kiem soat;

Van de can lay y kien;

Phtrcrng an bieu quyet, bao g6m: Tan thanh, khong tan thanh và killing co 9 kien;

Thai hp gin phieu lay 9 kien dã dugc tra lai v Kienlongbank;

Luu hanh nal be) Trang 14/19

Quy chE Tt; chirc NIA ho?! Ong dm Ban Kim sok

g. HQ va ten, chit ky cUa TruerngBanKiem soat.

4. Phieu,lay 9 kin da dugc tra larphaito chit ky cüa thanh vien Ban Kim soat va gfri ve Ban Kiem soat Kienlongbank theo dung thed ban quy dinh.

, 5. Thu ky Ban Kim soat kiem phieu va lap bien ban kiem phieu clued sr giam sat cua toi thieu mOt thanh vien Ban Kiem soat chuyen trach. Bien ban kiem phieu phai có cac nOi dung chit yeu sau day:

Ten, dia chi try ser chinh, se va ngay cap Giay phep thanh lap va hog dOng, GiAy chimg nhan dang kY kinh doanh dm. Kienlongbank;

Myc dich va cac van de can lay 9 kin;

tang so phial Neu quyet Wri di t6ng so phieu bieu guy& thu v& so phieu Neu quyet hop le, so phieu bieu quyet khong hyp le. Bien ban phai cO phi lyc danh sach thanh vien Ban Kiem soat da tham gia bieu quyet;

,TOng s6 phieu tan thanh, khong tan thanh va kheng có 9 kin veld tirng van de duce xin 9 kien;

Hy, ten, chit k9 cna ngtrai .phy trach kiem phieu, ngueri giam sat.

Thu ky Ban kiem soat My 9 kin thanh vien Ban Kim soat bang van ban va nguai giam sat kiem phieu phai lien ded chiu trach nhiem ye tinh trung thirc, chinh xac cüa Hen ban kiem phieu;,Lien deri chiu trach nhiem ye cac thiet hai phat sinh tir cac quyet dinh dugc thong qua do kiem phieu khong trung thuc, kh6ng chinh xac.

Bien ban ket qua kiem phieu kern nghi quyet, quyet dinh ctia. Ban Kim soat thong qua Oa teen ket qua kiem phieu phai dugc giri den cac thanh vien Ban Kiem soat trong Mari han 15 Owed lam) ngay, ke tu ngay ket thac kiem phieu.

Phieu My Y kin da dugc tra lai, Nen ban kiem ephieu, toan van ban nghl quyet cid dirge thong qua \fa tai lieu có lien quan giri kern theo phieu lay 9 kien deu phai dugc luu gut tai try ser chinh cUa Kienlongbank.

, 9. Quyet dinh dugc thong, qua theo hinh that lay 9 kin thanh vien Ban Kim soat bang van ban co gia tri nhu quyet dinh dugc thong qua tai cuOc h9p Ban Kiem soat.

Chtrung V CHUONG TRINH, DIEU KIEN LAM VIEC, QUYEN MAX CUNG CAP THONG

TIN, BAO MAT THONG TIN CIJA BAN KIEM SOAT

Dieu 27. Chtrung trinh cling tic ciia Ban Kiem soat

1. Can dr myc tieu chung, chuang trinh, ke hoach,,dinh hmang phat trien hang nam va trong timg giai doan cüa Kienlongbank, nhiem vv, quyen ban cim Ban Kiem soat, nhiem vu cüa tirng thanh vien Ban Kiem soat, this ky tong hyp chucrng trinh cong tac cila Twang Ban Kiem soat va cac thanh vien Ban Kiem soat, xay dung va trinh Truang,Ban Kiem soat phe duyet Chuang trinh cong tac dinh kY hang thang, quy, nam cila Ban Kiem,soat va theo dOi, bao cao tinh hinh, ket qua thuc hien Chucrng trinh cling tac dm Ban Kiem soat theo dinh bao cao tai k9 hyp thuang k9 theo quy dinh.

Lau hanh nOi b(5 86/ Trang 15/19

Quy cha TO chirc va hogt dOng dm Ban Ki&rn soat

2. Can Cu ,Chuang trinh cong tac chung cua Ban Kiem soat va nhiem vv da duct Throng Ban Kiem soat phan cong, tang thanh vien Ban kiem soat chti deng thvc hien Chuang trinh ding tac caa minh.

Dieu 28. Dieu kien lam viec elm thanh vien Ban Kim soat

Ban TOng Giam dee, cat Phong, Ban, Trung tarn Hi ser, cat Chi nhanh va Phong giao dich va cac C6ng ty con c6 lien quan cüa Kienlongbank co trach nhiem cung cap day dit, kip thai thong tin can thiet, lien quan den boat dng ciia Kienlongbank theo yeu cau ciia Truang Ban Kiem soat hoac cac thanh vien Ban Kiem soat de thvc hien nhiem vv, quyen hp ciia minh theo quy dinh ciia pith() luat va quy dinh tai Dieu le Kienlongbank.

Dieu 29. Ched lam viec ciia Ban Kim sok

1. 7 11 an Mem scat lam viec theo che de tap the, cá nhan chuyen trach. Cac thanh vien Ban Kiem soat thvc hien nhiem vv theo six phan cong ciia Truong Ban: Truang Ban Kiem soat:chiu trach nhiem -Ern& Dai hei (long co &mg va truac phap 10-1 ve viec thtrc hien cac quyen va nhiem vi dm Ban Kiem soat.

2. Twang Ban Kim soat c6 trach nhiem tO chirc, phan tong cac thanh vien phy trach theo mang cong viec. Thanh vien Ban Kiem sok chiu trach nhiem fru& Truemg Ban Klein soat ye viec thvc hien nhiem vv dugc giao.

, 3. Tr-Wing Ban Kim scat ce, quyen trieu tap va chit tri tat ca cac cuec hcp dm Ban Kiem sok, cac thanh vien phai c6 mat day do, neu yang mat vi ly do chinh clang phai cep y kien bang van ban. Nei dung cuec hcp Ban Kiem sok duct lap thanh bien ban va cep day da chit k9 cUa cac thanh vien Ban Kiem soat dv h9p.

Ban Kim sok lap chuang trinh cong tac Quy, 06 (sau) thang, nam, phan cong trach nhiem cac thanh vien phi Udell ting Gong viec theo chuang trinh de thvc hien cac nhiem vu quy dinh theo Dieu le Kienlongbank.

Bei vai nhirng vi viec kiem, tra mang tinh phirc tap, Ban Kim soat bao cat ved HOi dong quail tri hoc Tong Giam doe de huy Ong them nhan sr tham gia cila met so can be c6 nang ltrc, nghiep \Tv chuyen mon plum \iv cho tong tac kiem tra.

Cac kin nghi dm Ban Kim soat tru6c khi bac) cao cho 0a hi ding ce dong phai duct dua ra,thao luan tap the trong cac cuec hcp cilia Ban Kiem soat. Truang hgp thanh vien Ban Kiem soat c6 2 kien khac vài ket Wan ciia Truang Ban Kiem soat, thanh vien dO có quyen bao ltru 9 kien cá nhan va. Trueng Ban Meth soat phai ghi 9 kin ban luu nay vao bi'en ban.

, 7. Cac thanh vien có 9 kien doi Arai bac, cao quyet toan tai chinh hang nam, bao cao tham dinh tai chinh 06 (sau) thang, bao cao dm Ban Kiem scat truck Dai hi &mg co &mg N/A cat van de khac theo yeu tau efia Twang Ban Kiem sok.

Dieu 30. Quyen duvc cung cap thong tin

Thong bao mai hcp, phieu lay 9 kin thanh vien Hai dong quail tri va cac tai lieu kern theo phai dugc giri den thanh vien Ban Kiem sok ding thai diem va theo phuang thirc nhu doi yen thanh vien Hei (Jong quail tri.

Bao cao ciia TOng Giam dee trinh HOi deng quaff q tri hoc tai liCu khac do Kienlongbank phat hanh duct gfri den cac thanh vien Ban Kiem soat ding then diem \TA theo phuang thirc nhu doi veri thanh vien Hai thing quart tri.

Luu hanh Trang 16/19

Quy che' Ter chirc va hoat dOng cua Ban Kim soat

Thanh vien Ban Kim sok c6 quyen tier) can cac 110 sa, tai lieu cilia Kienlongbank km gicr tai try s& chinh, chi nhanh va4ia dient.khac; có quyen den cac dia diem nod nguOi quail 15, va nhan vien cüa Kienlongbank lam viec.

HOi dOng quan tri, thanh vien HOi dOng quan tri, T6ng Giam dee va the ngued quan lY khac phai cung cap day dü, chinh xac va kip tiled tat ca the thong tin Aid tai lieu ve ding tac, quan ly, dieu hanh va hoat dOng kinh doanh cna Kienlongbank theo yeu cau cita Ban Kiem soat. VA phai bao dam rang tat ca the thong tin tai chinh va cac thong tin khac dugc cung cap cho cac thanh vien HOi dong quan tri cling nhu cac bien ban hgp 1-10i thing quail tri së phai dirge cung cap cho thanh vien Ban Kiem soat vao cling thed diem va theo .phtrang thirc doi vOi thanh vien HOi (long quail tri.

5. Neu mOt thanh vien Ban Kim soat nhan dirge thong tin hoc tai ,lieu lien quan den nhiem \iv dm Ban Kiem soat theo each thirc phü hgp vài nhiem vti kiem soat (tir nguon khac 1-10i dong quail tri hoac Ban Kiem sok), thAnh vien nay phai th6ng bao vol TruOng Ban Kiem soat ngay khi c6 the va. Tnredig Ban Kiem soat se thong bao cho cac thanh vien Ban Kiem soat c6 lien quan.

Dieu 31. Baia mat thong tin

, 1. Cac thanh vien Ban Kim soat xir ly moi th6ng tin tai lieu c6 dugc trong pham vi tham quyen thanh vien Ban Kiem soat voi str can trong can thiet va bao mat trong truOng hgp thong tin dirge xep loai mat theo quy dinh cUa Kienlongbank vã phap lust.

Cac thanh vien Ban Kim soat khong dugc tiet 10 ra ben ngoai, ding be hoac bang each khach cung ,cap cho ben thn ba the thong tin mat, cac van ban tai lieu va the thong tin khac lien quan den hoat &Ong eüa Kienlongbank, hoc cac th6ng tin ma Kienlongbank chua cong bo ra ben ngodi.

Viec bao mat thong tin vAn dirge thyt hien sau khi thanh vien Ban Kiem soat da het nhiem

Cac thanh vien Ban Kim soat c6 trach nhiem tuan tha bao mat thong tin theo Dieu le Kienlongbank, Quy ch nay va quy dinh c6 lien quan càa phap lust.

Chuang VI _ MO! QUAN HE ClJA BAN KIEM SOAT

Dieu 32. Dal van cac quan quail 15, Nha nut

Ban Kim soat thgc hien the do bao cao cho cac co quan quan lY NU. nuot theo quy dinh cUa phap luat hien hanh.

Dieu 33. Deli voi CAC cO &mg

Ban Kim soat thuc hien bao cao cho c thing lc& qua giam sat hoat dOng cüa Kienlongbank tai ky hop DO het &Ong co (long thuOng nien theo quy dinh tai Dieu le Kienlongbank.

Ban Kiem soat thtm hien kiem tra dOt xuat khi nhan dirge yeu cAu tir CO dong Ian hoc nhom co dong Ian theo quy dinh tai Luat cac TO chirc tin dung, Luat Doanh nghiep, Di'eu ie Kienlongbank va gni bao cao theo quy dinh tat Quy che nay va Dieu le Kienlongbank.

Luu hanh nt)i bi) me," Trang 17/19

Quy ch T6 chat \fa hog dOng dm Ban Kim soat

Dieu 34. 061 van 1141 deng quail tri

Hi (long quan trj bao dam che do cung cap thong tin cho Ban Kim soat theo Quy che nay, Dieu le Kienlongbank, quy dinh quan tri nOi 130 cUa Kienlongbank va cac quy dinh khac c6 lien quan.

HOi deng quan tnj bao dam, Tru6ng Ban Kiem sodt dugc tham dr cac cuOc hop thuerng kY hay bat thuong cüa HOi citing quan tri.

Ban 'Gem soat that hien giam sat, kiem toan,n0i b0 va thot hien bao cao lc& qua giam sat, kiem todn nOi be theo quy dinh. Khi nhan,dtroc ket qua giam sat, kiem todn va nhang de xuat, kien nghi cna Ban Kiem soat, HOi (long quan tri së xem xet de dua ra ket luan. Ban Kiem sodt theo dOi viec thgc hien the ket luan cüa HOi (long quan tri.

, 4., Ban Kiem soat thuc hien tham dinh cac bao cao HOi dOng quan tri trinh Di hei &Mg c6 (long tai cuOc hop thuang nien theo quy dinh -Lai Dieu le,Kienlongbank. HOi (long quan trj bao dam Ban Kiem sok c6 day dii thong tin vá th6i gian can thiet de thgc hien tham dinh cac ban cao nay.

5. Ban Kim soat tham khao 9 kin ciia HOi deng, quantri cac van de duce neu trong bao cao dm Ban Kiem soat tru6c khi gin Dai hei &mg co (long.

Dieu 35. 061 vol Ban Dieu hanh vi nguiri quail !Siena Kienlongbank

Ban Dieu hanh bao dam elle do cung cap thong tin cho Ban Kiem soat theo Quy ch8 nay, Dieu le Kienlongbank, quy dinh nOi b0 ciia Kienlongbank va cac quy dinh khac c6 lien quan.

Truang,hop xet thay can thiet, Ban Dieu hanh \fa ngueri quail 19 Kienlongbank Mei Tru&ng Ban Kiem soat hoc thanh vien Ban Kiem soat tham du hop Ban Dieu hanh hoc cac cuOc hop khac.

Ban Dieu hanh va nguai quan 19 Kienlongbank thuc hien bao cao dinh ky theo quy dinh tai dieu 1 Kienlongbank, quy che nay, quy dinh quan tri nOi ho vã cac quy dinh khac c6 lien quan. Ngoai cac thong tin bao cao theo dinh ky, Ban Dieu hanh vã Ngtrai quan 19 Kienlongbank Mut hien bao cao true tiep hoac cung cap cdc thong tin, bao cao c6 lien quan den hoat deng ciia Kienlongbank theo yeu cau ciia Truong Ban Kiem soat.

Tru6ng hop phat hien rAi no có the anh huerng lem d'en uy tin hoac,hoat dOng kinh doanh cAaKienlongbank, Ban Dieu hanh vá ngir6i quan 19 Kienlongbank can bao cao ngay cho Truarng Ban Kiem soat.

Ban Kiem soat time hien kiem tra, giam sat va kiem toan nOi be vã thgc hien bao cao ket qua,kiem tra, giam sat, kiem toan nOi 130 theo quy dinh. Ban Dieu hanh thong bao cho Ban Kiem,soat nhang chi ciao, 9 kien ciia minh doi vOi nhung van a Ban Kiem solt da c6 bdo cdo, kien nghi de Ban Kiem soat theo dOi.

Dieu 36. DOi veil the Don v trong he thiing Kienlongbank

Cac Don vi trong he th6ng bao dam cung cap dAy dii thong tin, tai lieu plmc vii cling tac kiem tra, gidm sat, kiem toan nOi b0 theo yen cau dm Ban Kim soat.

Lanh ciao cac Dan vi dugc kiem tra, kiem toan chiu trach nhi'em v tinh day dA, trung thgc ciia cac thong tin, tai lieu cung cap cho Ban Kiem soat va cac doan kiem tra, kiem toan dm Ban Kiem soat; Thkrc hien cac kien nghi ctia Ban Kiem soat dOi vesi nhang

Luu hanh n6i b0 Trang 18/19

Quy cha Ta clthe va haat 'Tang dm Ban Kirn sok

van de,neu trong bao can dm Ban Mem soat,:-thvc hien cung cap thong tin phan hoi cho Ban kiem soat ve viec thvc hien cac kieri nghicila Ban Kiem soat theo quy dinh.

Cac don vi thvc hien co che ph& hgp hoat Ong vei Ban Kim soat theo quy dinh nei ho cüa Kienlongbank.

'Chuang VII KHEN THUONG VA Kt LUAT

Dieu 37. Khen thtterng ya 1(5, tat

• 1. Thatah vien Ban Kiein soat dirge khen thithng •va luat theo quy dinh ve khen thuemg va kY luat ctia Kienlongbank.

Twang Ban Klein soat dánh gia,hoat dOng cüa cac thanh vien Ban Kiem soat va de xuat hinh thirc khen thireng va luat de Hoi &mg quail tri tong hew trinh Di hei (long co dong xem xet, quyet dinh.

Truemg Ban Kiem soat danh giá ket qua boat Ong càa cac can ho trvc thuOc Ban Kiem soat theo quy dinh ctia Kienlongbank va de xuat hinh fink khen thuong va kY luat de trinh HOi &Ong quail tri xem xet, quyet dinh.

Chuang VIII DIEU KHOAN Till HANH

Dieu 38. WO kre thi hanh

Quy che nay c6 hieu lye thi hanh k'e tir ngay / /2019,

Cac thAnh vien Ban Kiem soat, HOi &mg quail tri ,va toan the can bO, nhan vien Kienlongbank chiu trach nhiem trien khai thvc hien Quy che nay.

„ 3. Vic sira di, b6 sung, thay the Quy che nay do Ban Kiem soat trinh Dai hei dOng co &rig .phe chuan.

TM. BAN KIEM SOAT TRUONG BAN

Nguyen Cao Ctrong

Luu hanh nai 1)0 ifizzTrang 19/19

44/

Chtit danh can quan tam

1 Ca clang

2 Ban Kiam soat

3 Hai dang quan tri

4 Ban Diau hanh -

5 Leinh ciao PM/2g, Ban, Trung tam H6i so, Chi nhanh, Phong Giao clich

6 Toon the Can ba, nhan vien

TOM TAT VAN BAN TR1NH BA! HQI BONG CO BONG

Ten van ban: Quy chi Tii char va hogs &Ong ciia Ban Kiem soda' Ngan hang TMCP Kien Long

Cu quan ban hanh Ban Kiam soot

Th'e loai Thay tha

Van ban dugc thay the

08/QD-BKS ngay 15/4/2014

Ngay ban hanh

Ngay hi'au ltrc

Ngay het hiau Mc Den khi c6 van ban thay the hoac chom dui hieu ly-c van ban nay

Loai .van ban Quy cha

SO hieu

Ngueri ky Ban Kiam sok

Teng quan:

Quy cha TO chim va hoat dOng cim Ban Kiam soat Ngan hang TMCP Klan Long clugc sin dOi, ba sung mgi plui hop veri Luat Doanh nghiap 2014,

Luat Cac tO chirc tin dung nam 2010 (Luat Cac TCTD 2010) va. Luat Sin dai, 1)6 sung mOt sep eau Luat Ck TCTD (Luat Cac TCTD 2017), cac van

ban phap luat khac va Diau 1 Kienlongbank.

Tom tit nhiing thay deli chinh cim van ban Mod:

Trang 1/5

UV WV

STT Ni dung thay den Quy che cil Quy che mai LY do thay deii

1 Khoan 6, Dieu 4. Ngtroi cO lien quan

Khong quy dinh

136' sung dinh nghia Nguiri eó lien quan, t3i owe vii: Phap nhan, ca nhart khac CO mai quan he tiem an rui ro cho hoat dg'ng cna Kienlongbank, dugc xac dinh theo quy dinh, nOi bg cfra Kienlongbank hoac theo yeti cau bang van ban dm Ngan hang Nha nuyc theng qua hoat Ong thanh tra, giam sat di yen nrng tnrong hop cti th'e.

Sera di pho hyp veri Dieu le dm Kienlongbank

2 Khoan 7, Dieu 4. He theing Kiem soat ngi bg

Fie thgng kiem sok ngi 1)0: LA tap hop cac co che, chinh sach,, guy trinh, quy dinh Wen bg, co cau to chirc cim Kienlongbank dugc xay dung phn hop vai c,ac quy dinh cna phap luat va dugc to cherc thvc hien nham bao dam pheng ngira, phat hien, xer 19 kip thei lin ro va dal dugc y8u cau de ra.

Dieu chinh dinh nghia He thgng kiem soat nen bO

Sera dei phn hap Thong tu s6 13/2018/TT-NHNN

3 Khoan 9, Dieu 4. C6ng ty con ctia Kienlongbank KhOng co' quy dinh

Bei sung dinh nghia "Cong ty con dm Kienlongbank" ti Khoin 9: 9. Cong ty con dm Kienlongbank: LA ding ty thugc mgt trong cac truong hop sau:

Kienlongbank hoac Kienlongbank và nguai c6 lien quan cilia Kienlongbank s& Sfra hail teen 50% von clieu le hoac ten 50% von co .phan c6 quyen bieu quyet;

Kienlongbank ce quyen trtrc ti8p hoac gian tip bg nhi8rn da s6 hoac ffit ca cac thanh vien Filth dong quan tri, Flgi (long thanh vien hoac Tong Giam et& (Giam chic) caa ding ty con;

di phi' hopvei Di'eu le dm Kienlongbank

(-9-frc4z

Trang 2/5

STT Mil dung thay din Quy che cu Quy che moti . Ly do thay did '

Kienlongbank cO quyen sira den, be) sung dieu le dm ding ty con;

Kienlongbank va ngueri c6 lien quan etla Kienlongbank true tiep hoac gill tiep kiem soat viec thong qua ,nghi quyet, quyet dinh dm Dai hen dieing co citing, HOi &mg quan tri, HOi ding thanh vien cna cOng ty con.

4 Khoan 10, Dieu 4. LI* cac th chirc tin dung

LA. luSt cac to chirc tin dung s6 47/2010/QH12 dugc Quoc Ithi nuot Cang h6a Xa hoi Chn nghia Viet Nam thong qua ngay 16/06/2010.

Dieu chinh dinh nghia LI* cac T6 chat tin dpng

Sim den phia hap Luat stia d6i, ba sung mOt so dieu T6 chirc tin dung 56 17/2017/QH14

,

5 Khoan 11 Dieu 4. Luat

• Doanh nghiep

La luat . Doanh nghiep sei 60/2005/QH11 dug c ban hanh ngay 29/11/2005

La luat Doanh nghiep se; 68/2014/Q1113 , dugc ban h anh ngay 26/11/2014.

Sfra d6i pith hop vol quy dinh mei cna phap lust.

6

Diem m Khoan 1 Dieu

khong dugc dam nhiem chirc vp

8. Nhung truerng hap Khong có quy dinh nay.

134 sung quy dinh: Ngueri phai chth trach nhiem theo kat Wan thanh tra dan den viec te chirc tin dung, chi nhanh ngan hang nuot ngoai bi xir, phat vi pham hanh chinh trong lint? vpc tien ,te va ngan hang & khung phat tien cao nhat den veri hanh vi vi pham quy dinh ve giay pile!), quan tri, dieu hanh, cO phan, c6 phieu, gop

S. Ura d6i pith hop Ludt sim den, b6 men s6 dieu T6 chirc tin clung

s6 17/2017/QH14 (Khoan 6, Dieu 1)

von, mua co phan, cap tin dung, mua trai phieu doanh nghiep, ty le bao dam an toan theo. quy dthh dm phap that ye xir ly vi pham hanh chinh trong linh vpc tien te \id ngan hang.

tevz, Trang 3/5

STT Ni dung thay din Quy chO di. Quy che mai 1,57 do thay dOi

7

Khoan 3, Dieu 10. Ducmg nhien mat tu each thanh vien Ban kiem stint -

3. Chire danh da dugc Mang dc Ngan hang Nha nu& chuan y truerc day dm nhirng nguai bi dining nhien mat tu each quy dinh tat Khoan 1 Dieu nay ducmg nhien het hiau lye.

B6 quy dint) nay y SUB dot i phO hop quy dinh phap luat

8 Khodo 3, Dieu 11. Mien nhiam, bai nhiem thanh vien Ban kiem soat

3. Chita danh da dugc Tilting doe Ngan hang Nha nuOt chuan y clucmg nhien het hieu lire khi bi mien nhiam ye, the quy'et dinh cUa co quan c6 tham quyen ena. Kienlongbank.

BO quy dinh nay Sim clai phi) hop quy dinh phap luat

9 Khoan 4, Dieu 11. Mien nhiam, bai nhiam thanh vien Ban kiem soat

Khong c6 guy dinh

BO sung quy dinh Khoin 4: Trong thei han 24 gia, Ice tir -khi Kienlongbank thay cleii, bai nhiam, mien nhiem doi vai cac doi tucmg theo quy dinh tai Khoan 1 Dieu nay, Kienlongbank phai nitre hien congbo thong tin

Sira cliii phi' hap Dieu 1'' Kienlongbank vá quy dinh ve cong bo throng tin theo quy clinh dm phap luat

10 Dieu 12. Dinh chi, tam dinh chi chive danh Ban kiem soat

Khong cO quy dinh nay

Quy dinh eac truerng hap Ban Kiem soat bi dinh chi, tam dinh chi chirc danh beri Ngan hang nha nuee

, Chi tiet the truemg hap theo quy , - • dinh Luat the To eh& tin dung so 47/2010/QH12 (Dieu 37)

11 Khoan 3 Dieu 16. Nhiam Nip va quyen han dm Ban kiem soat

Khong c6 quy clinh nay

BO sung quy dinh: • .7 BC) nhiem, mien nhiam, Icy luat, dinh chi va

quyet dinh mirc luang, Igi ich khae dd&voi cac chat danh thuac bo phan kiem man n'ai b0.

Sfra di phit hap Luat sira d&, bap 6 sung m'at s6 dieu T dare tin dung

s6 17/2017/QH14 (Kho an 9, Dieu0.

12 Khoan 4 Dieu 19. Traeh nhiam eong khai cae Igi ich co lien quan

Khong co quy dinh nay

Bo sung quy dinh: Kienlongbank phai thong bao bang van ban cho Ngan hang NM nu& cac thong tin quy dinh tai khoan 1 Dieu nay trong then i Ilan 07

Sita di phi) hap Luat situ di, b0 ,. . , sung mOt se) dieu To chire tin cluug so 17/2017/QH14 (Khodn 8, Dieu 1)

Trang 4/5

STT Ni dung thay dOi Quy the' cii Quy che mai 14 do thay did

ngAy lam viec, ke tir ngay Kienlongbank than dugc theng tin cong khai theo quy dinh tai khoan 2 Dieu nay.

13 Khoan 5, Dieu 19. Trach nhiem cong Thai eac lgi ich cif) lien quan

Kitting co quy dinh

Bo sung quy dinh Khoin 5: ThAnh vien Ban kiem soat phai thgc hien cong bo thong tin ye giao dich cO phial theo quy dinh dm phap luat lien quan.

Sim doi phi' hgp Dieu le Kienlongbank va quy dinh ve ding be thong tin theo guy dinh elm phap luat

. 14

Khodn 9, Dieu 21. Trach nhiem trung thgc va tranh cac xung dot ye

,

i.guyen Igi .

•

'Chong c6 quy dinh

BO sung quy dinh Khoin 9: Thanh vien Ban Kiem soat c6 nghia vg thong bao cho Wei &Ong quan tri, Ban Ki'em soat ve cac giao dich giira ding ty, ding ty con, cong ty do Kienlongbank nam quyen kiem soat tren 50% tit len yen dieu le Vol chinh thanh yien do hoc \fed nhling nguei có lien quail dm thanh- vien do theo -quy dinh dm phap luat. Di veri cac giao dich neu tren do DO hi (long co &Ong hoc Flei (long quart tri chap thuan, Kienlongbank phai thgc hien cong be thong tin ye cac nghi quyet nay theo quy dinh caa phap luAt chimg khoan ye Gong bo thong tin.

Sga di Ohl hgp Dieu 1e Kienlongbank va quy dinh ve ding be th6ng tin theo quy dinh dm phap luat

15 • .‘

Khoan 1, 3 Dieu. 38. Hieu Igc thi hanh

1. Quy che nay cei hieu Itrc theo Quyet dinh ban hanh. - 3. Viec sin di, be sung Quy che nay do Ban Kiem‘soat quyet dinh va trinh Dai hi deng co dong phe chuan, trir truang, hop Dai hei dong ce deing, Uy quyen cho Ban Kiem soat quyet dinh..

. 1. Quy che nay cei hieu hie thi hanh ke

Stra del phi' hcrp thuc te.

th ngdY / /2019.

3. Viec sin di, be sung hoc thay the - Quy che nay do Ban Kiem sok trinh Dal

hei deng ce dOng xem xet, quyet dinh.

2k7/ Trang 5/5

UCIV