CONG TY CO PHAN CHUNG KHOAN DAU KHI Company name CQNG HOA XA HQI CHU NGHIA VIET NAM THE SOCIALIST REPUBLIC OF VIETNAM Doc lap - Tir do - Hanh phfic Independence - Freedom - Happiness s6: gy) No. Ha NO, ngaWthang04 nam Ha Noi,day month year BAO CAO TINH HiNH QUAN TRI CONG TY NIEM YET REPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY (12 thong) (12 months) To: Kinh - 1:1y ban Chang khoan Nha mot; Sa Giao dich Chang khoan Ha NOi; So . Giao dich Chung khoan HO Chi Minh. The State Securities Commission; The Stock Exchange Ten cong ty niem yet/Name of listing company: Cong ty CO ph'an Chimg khoin D'au Khi Dia chi tru sO• chInh/Address of headoffice: Tang 2 T6a nha Hanoitourist, so 18 141 Thutmg Quan Hoan Kiem, Thanh phO Ha NOi Dien thoai/ Telephone: (84-4) 3934 3888 Fax: (84-4) 3934 3999 Email: mail.psi.vn VOn dieu le/ Charter capital: 598.413 ty dZing Ma chirng khoan/ Securities code: PSI I. Hot Ong cila Dai hOi diing co donglActivities of the General Meeting of Shareholders Thong tin ve cac cuOc hop va Nghi quyet/Quyet dinh caa Dai hOi d'Ong co &Ong (bao g6m ca cac Nghi quyet caa Dai hOi d6ng co clang dugc thong qua &raj hinh thirc lay jt kien bang van ban)/ Information on meetings and resolutions / decisions of the General Meeting of Shareholders (including the resolutions of the General Meeting of Shareholders adopted in the form of written comments): SO Nghi quyet/ Quyet Stt Ngay dinh Resolution/Decision No. Date No. NOi dung Content Th6ng qua Ke hoach kinh doanh nam 2016; Thong qua Bao cao hoat dOng caa HDQT ve quan tri va ket qua hoat dOng dm tang thanh vien HDQT nam 2015 va phuang 01 01/NQ-DHDCD-CKDK (Hop trkrc tiep) 26/04/2016
Transcript
CONG TY CO PHAN CHUNG KHOAN DAU KHI
Company name
CQNG HOA XA HQI CHU NGHIA VIET NAM THE SOCIALIST REPUBLIC OF VIETNAM
Doc lap - Tir do - Hanh phfic Independence - Freedom - Happiness
s6: gy) No.
Ha NO, ngaWthang04 nam Ha Noi,day month year
BAO CAO TINH HiNH QUAN TRI CONG TY NIEM YET REPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY
(12 thong) (12 months)
To:
Kinh - 1:1y ban Chang khoan Nha mot; Sa Giao dich Chang khoan Ha NOi; So. Giao dich Chung khoan HO Chi Minh.
The State Securities Commission; The Stock Exchange
Ten cong ty niem yet/Name of listing company: Cong ty CO ph'an Chimg khoin D'au Khi
Dia chi tru sO• chInh/Address of headoffice: Tang 2 T6a nha Hanoitourist, so 18 141 Thutmg
Hot Ong cila Dai hOi diing co donglActivities of the General Meeting of Shareholders
Thong tin ve cac cuOc hop va Nghi quyet/Quyet dinh caa Dai hOi d'Ong co &Ong (bao g6m
ca cac Nghi quyet caa Dai hOi d6ng co clang dugc thong qua &raj hinh thirc lay jt kien
bang van ban)/ Information on meetings and resolutions / decisions of the General Meeting
of Shareholders (including the resolutions of the General Meeting of Shareholders adopted
in the form of written comments):
SO Nghi quyet/ Quyet Stt
Ngay dinh Resolution/Decision
No.
Date No.
NOi dung
Content
Th6ng qua Ke hoach kinh doanh nam 2016; Thong qua Bao cao hoat dOng caa HDQT ve quan tri va ket qua hoat dOng dm tang thanh vien HDQT nam 2015 va phuang
01 01/NQ-DHDCD-CKDK
(Hop trkrc tiep) 26/04/2016
huang hog Ong nam 2016; Thong qua Bao cao hog dOng cua BKS ve ket qua kinh doanh cua Cong ty, v6 ket qua hog dOng cua HOi ding quan tri, Gam doe nam 2015 va phuong huang hog (Icing nam 2016; Th6ng qua Bdo cao tir danh gia ket qua hog Ong dm Ban kiem soat va cua tong Kiem soat vien nam 2015; Th6ng qua Ti trinh viec phan chia lqi nhuan; Thong qua Ttt trinh Quyet toan quj% thu lao cUa HDQT va BKS nam 2015, Ice hoach thu lao HDQT, BKS nam 2016; Th6ng qua Rs trinh N.4 lkra chon don vi kiem todn; Thong qua To trinh ve not dung bau thay the thanh vien HDQT; Thong qua To' trinh sfra doi, bt) sung Dieu le theo LDN 2014; Thong qua To. trinh ve not dung bail thay the thanh vien BKS.
Th6ng qua viec Ngan hang TMCP Dai Chang Viet Nam nh'an chuyen nhuong On gap a tang ty' gap von tai PSI len tren 50% tir cac CO Tong: Cong ty TNHH MTV quail 1S/ quy Ngan hang TMCP C6ng thucmg Viet Nam, Cong ty CP Dau tu va kinh doanh tai san Viet Nam, Cong ty CP Dau tu tai chinh Cong doan Dan khi Viet Nam va Cong ty CP Du Lich bien MS/ Khe.
02 02/NQ-DHDCD-CKDK
(lAy y kien bang van ban) 12/10/2016
II. 1-1(ii ding quail tri (Bao cao 6 thang/nAm)/ Board of Management (Semi-annual/annual
reports):
1. Thong tin ve thanh vien HOi d'ong quan tri (HDQT)/ Information about the members of the
Board of Management:
at Thanh vien Chi:re NT/ Ngay bat SO buoi TS, le LS/ do khOng tham No. HDQT/ Position dau/IchOng hop HDQT tham du du hop/ Reasons for
BOM's con la tham du/ hop/ absence member thanh vien
HDQT/ Number of Percenta attendance ge
Day becoming/n
o longer
member of the Board
of Manageme
nt
1. I Ong Nguygn
Anh Tun
CT.HDQT Bat dau:
30/03/2016
28/28 100% Ong Nguyen Anh
Tun &roc bau b6
dam va , bAu la
sumt, .
Chu tich HDQT thay
ba Hoang Hai Anh
2. 1 Ba Hoang Hai
Anh
Uv•HDQT ki&n Giam
d6c
Bit d'au:
22/09/2010
(B6 nhi'en
PGD)
30/30 100%
3. Ong Trinh
The Phuong
UV.HDQT Bit d'au:
18/03/2014
30/30 100%
4. Ong Biti The
Anh
UV.HDQT Nth to
cach:
13/04/2016
6/6 100%
Ong Dao QuOc Bao
dupe HDQT b'au
thay the Ong Biti
The Anh trong kS, 5. Ong Dao
Qu6c Bao
UV.HDQT Bat du:
13/04/2016 bao cao
24/24 100%
6. Ong Nguygn
Sinh Dung
Thing
UV.HDQT Mat to
cach:
31/05/2016
10/10 100% Ong Twang Quo'c
Dung dupc HDQT
bAu thay the Ong
Nguyen Sinh Dung
Thing trong IcS, bao
do.
Ong Twang Qu6c
Dung c6 don xin tit
nhiem thanh vial
HDQT doe 14 ngiy
14/09/2016 va &rot
HDQT th6ng qua tai
cu6c hop HDQT qu)'(
7. Ong Truong
Quoc Dung
UV.HDQT Mat to
each
14/09/2016
14/14 100%
I
III ngay 28/09/2016
8. Ong Takahiro
Yazawa
UV.HDQT Mat tu.
cach:
29/03/2016
1/1 100%
De thkrc hien nhiem
vu khac va dirge
DHDCD thong qua
9. Ong Doan
Thanh Nhan
UV.HDQT Mat to
cach:
29/03/2016
1/1 100%
10. Ong Nguyb
Viet Ha
UV.HDQT Mat to
cach:
29/03/2016
1/1 100%
2. Hog Ong giant sat dm HDQT dei voi Ban Giam dec/ Supervision by the BOD over the
Director (General Director):
Trong nam 2016, I-10i d6ng Quan tri thtrong xuyen giam sat hog &ling dia. Ban Gam d6c
va cac b0 phSn quan 15/ khdc thong qua co. the phan citing nhiem vu cu the, ro rang nham
danh gia hieu qua lam viec dm Ban Giam dc dam bao hog Ong cua C6ng ty dtrgc minh
bach, tuan ti) dung phap lust, tri6n khai thtrc hien theo dung cac Nghi quy6t cua HOi d6ng
quail tri. Hoi ding quan tri da thkrc hien nhiem vu giam sat hog d'Ung dm Ban Giam d6c
thong qua:
- Chit tich HDQT trip tiep t6 chfrc cac cuOc hop voi cac Kh6i va co j, kien, ket luSn.
HOi d6ng quan tri xem xet danh gia viec thirc hien ice hoach kinh doanh thOng qua cac
bao cao, van ban cua Ban Gam dee va bao cao qt4/ giri Hqi d'Ong qub.n tri. Chu tich
HDQT tit do có bien phap chi ciao kip thad Ban Gam d6c dap (mg cac yeu eau hog
dOng kinh doanh cua Cong ty.
- Thong qua cac tieu ban giup viec de tham gia, giam sat trirc tiep cac hog dOng va nang
cao tinh tuan thu cua Ban Giam d6c.
3. Hog dung cua cac tiL ban thu'Uc Hoi d6ng quan tri/ Activities of the Board of Directors'
committees:
3.1 PhOng Kim toan not 1)0
PhOng kiem toan not I:00 la don vi gift') viec Hoi d6ng quart tri. Trong nam 2016, Phong
Kim soat not b0 da tri6n khai thkrc hien cac ding viec cu the sau:
ThAm dinh va coy kien ve tinh phap ly va tinh tuan thu trong cong tac xay dung cac
quy trinh, quy che, quy dinh cua Cong ty;
Tien hanh cac hog dOng kiem tra doi vai hog dOng cua cac don vi trong cong ty trong
pham vi chfrc nang cua Kiem toan KIR);
CoCoy kien ye tinh phap 1y va tinh tuan thir cua cac de xuAt, to trinh cua Ban Dieu hanh
va cac don vi ra truac HDQT, HOi ding DAu tu, HOi ding Chinh sach dich vu khi c6
yeu cAu;
Ph6i hap ding Phong Tai chinh Ke toan lam dAu moi lam viec ding Kiem toan dc lap
thAm dinh Bdo cao Tai chinh Qu5r, Ban nien.
Thuc hien cac chi dao cua Chti tich HDQT trong viec kiem tra, thAm dinh cac ho so, du
an dAu to dm PSI hoc cua cac Doanh nghiep ma PSI la co &Ong lan va co cir Ngu?Yi
dai dien;
Duy tri viec xem xet danh gia tinh hinh thkrc hien cac Nghi quyet, Quyet dinh , chi dao
cua HDQT;
Giam sat va danh gia hog dOng cua Quan trj rui ro trong toan he thong;
Cir can b6 tham gia cac kh6a tap huAn, dao tao nghiep vu nham dam bao hoan thanh tot
chirc nang, nhiem vu cua Mem toan not b6.
3.2 HOi ding chinh sach dich vu
116i ding Chinh sach dich vu chang kho duvc thanh lap theo Nghj quy& 12/NQ- HDQT-
CKDK ngay 16/06/2016 cua HDQT.
3.3 HOi ding DAu to dugc thanh lap theo quyet dinh s6 18/QD- HDQT ngay 13/10/2014 oh
Rai ding quan tri PSI.
4. Cac Nghi quyet/Quyet dinh cua HOi ding quan tri(nam 2016)/ Resolutions/Decisions of the
Board of Directors (Semi-annual/annual reports):
Stt
No.
S6 Nghj quyet/ Quyet
dinh
Resolution/Decision
No.
Ngay
Date
NOi dung
Content
01 01/NQ- HDQT- CKDK
(Hop trkrc tier)) 29/03/2016
- Thong qua ket qua hog dOng kinh doanh cua nam 2015 va ice hoach san xuAt kinh doanh nam 2016;
- Thong qua chuong trinh va not dung hap DHDCD nam 2016;
- Thong qua viec thay doi thanh vien HDQT:
+ Mien nhien chirc danh thanh vien HDQT doi Ong Nguyen Viet Ha ke tir ngay 29/03/2016;
+ Mien nhien chirc danh thanh vien HDQT dOi Ong Doan Thanh Nhan Ice tir ngay 29/03/2016;
+ Mien nhien ch(rc danh thanh vien HDQT doi Ong Takahiro Yazawa ke tir ngay 29/03/2016;
02
03
02/NQ- HDQT-CKDK (Hop true Up)
30/03/2016
- Thong qua Ket qua hog dOng kinh doanh nam 2015;
- Th6ng qua chuong trinh va not dung hop DHDCD nam 2016; Uy quyen cho Chi' tich HDQT hoan thien va phe duyet Tai lieu tnroc khi geri xin S kien DHDCD. Giao Ban Dieu hanh to ch(rc hop DHDCD theo dung quy dinh;
- Thong qua co cau thanh vien HDQT g'om 05 thanh vien, trong do 01 Chu tich;
- Thong qua viec tam thOi bli sung Ong Nguyen Anh Tuan la thanh vien HDQT Ice tir ngay 30/03/2016.
03/NQ- HDQT-CKDK (Lay Sr kien bang van
ban) 12/04/2016
- Th6ng qua viec cir/thay the nguai dai dien tai cac doanh nghiep theo not dung TO trinh so 11/TT-CKDK ngay 05/04/2016;
- Uy quyen cho Ban Dieu hanh thuc hien cac thir tuc lien quan de cir/thay the nguoi dai dien tai cac doanh nghiep theo phe duyet cila HDQT.
04 04/NQ- HDQTCKDK
A ' • (Lay Sr kien bang van ban)
12/042016
- Th6ng qua de xuat dm Cong ty ve viec khOng ding Sr phuang an tai cau true C6ng ty CP Dau tir Be tong Cong nghe cao; Uy quye , n cho Ban Dieu hanh thuc hien cac thu tuc lien quan (neu co).
05 05/NQ-HDQT-CKDK (Lay Sr kien bang van
ban)
13/04/2016
- Giao nhiem vu cho ba Tran Tu Lan gift nhiem vu Phu trach Phong Kiem town Ni b0 - Cong ty c0 phan ChUng khoan Dau khi; Thfr thach 6 thang.
06 06/ NQ-HDQT-CKDK (Lay Sr kien bang van
ban) 13/04/2016
- Thong qua mien nhiem chirc danh thanh vien HDQT do' i voi Ong BUi The Anh Ice tir ngay 13/04/2016;
- Thong qua viec tam theyi b0 sung Ong Dao Quoc Bao la thanh vien HDQT ke tir ngay 13/04/2016;
- Uy quyen cho Chu tich HDQT thirc hien va hoan tat cac thin tkic lien quan den viec thay al nhan sir.
07 07/ NQ-HDQT-CKDK
(Hop trirc tiep) 26/04/2016
- BO nhiem Ong Nguyen Anh TuAn la Chii tich HDQT va la nguai dai dien truac phap luat dm Cong ty;
- Ba Hoang Hai Anh tiep tical chirc vu Giam doc Cong ty.
08 08/ NQ-HDQT-CKDK
(Hop trirc tiep)
29/04/2016
5
- Th6ng qua Ket qua hoat dOng kinh doanh Qu5, 1/2016 va ke hoach hoat dOng kinh 1 doanh Qu5, 11/2016;
- Thong qua Phuang an xir 15, a; vori nhom tai khoan ton dong tai chi nhanh HCM theo not dung de xuAt tai T? trinh 14/TT- CKDK va 15/TT-CKDK ngay 22/04/2016.
09 09/ NQ-HDQT-CKDK
(Hop trirc tiep) 18/05/2016
- Thong qua viec Ong Nguyen Sinh Dung Thang xin tir nhiem ily vien HDQT dOc lap Ice tir ngay 31/05/2016;
- Thong qua viec bau bO sung Ong Truing ,: - Quoc Dung
- Lam thanh vier) HDQT dOc lap thay the Ong Nguyen Sinh Dung Thang sau khi tir nhiem.
10 10/ NQ-HDQT-CKDK
(Hop true tiep) 18/05/2016
- Thong qua nOi dung thay ai co cAu t6 chirc dm Cong ty theo de xuAt dm Ban Giam ac tai ter trinh s6 19/TT-CKDK ngay 16/05/2016;
- Thong qua not dung Quy dinh hoat dOng dm Ban Giam dOc theo nOi dung Ti trinh so 20/TT-CKDK ngay 16/05/2016 dia Ban Gam d6c; Uy quyen cho Chu tich HDQT Oa dOi, ban hanh Quy dinh hoat Ong dm Ban Giam dOc;
- Giao nhiem vu cho 6ng Nguyen Sinh Dung Thang lam co van HO Sing quan tri sau khi tir nhiem UV HDQT dOc lap ngay 31/05/2016;
- Giao Ban Gam ac a xuAt va fly quyen cho Chu tich HDQT quy6t dinh dr nhan sir thay the sau khi ba Nguyen Minh Thay chinh thirc thoi dam nhan Thu k5, Cong ty.
11 11/ NQ-HDQT-CKDK
(Lay 5, kien bang van 09/06/2016 - Thong qua de xuAt lira chin don vi kiem
town tai to' trinh so 05/TT-KTNB ngay
ban 06/06/2016 cua PhOng Kim toan not bO.
12 12/ NQ-HDQT-CKDK
(Hop tip tiep) 16/06/2016
- Thong qua viec lieu chinh thanh phAn Hoi deng chinh sach dich vu tai chinh cua Cong ty.
13
13/ NQ-HDQT-CKDK
(Lay y kien bang van
ban)
21/06/2016 - Thong qua viec ban hanh Quy the quan 1Y tai chinh cua Cong ty.
14
14/ NQ-HDQT-CKDK
(Lay Y kien bang van
ban)
01/07/2016 - Ban hanh Quy the hog dOng dich vu tai
chinh cua C6ng ty CP Cluing khoan Dau khi
15
15/ NQ-HDQT-CKDK
(Lay yr kien bang van
ban)
11/07/2016 - Phe duyet chu truorng nang cap phAn mem giao dich tai PSI
27/07/2016 - Ban hanh Quy the hog dOng dau to cua C6ng ty CP Chirng khoan Dau khf.
21/ NQ-HDQT-CKDK
21 (Lay Yr kien bang van
ban)
1/8/2016 - Tie') nhAn va giao nhiem vu cho canbO
54/QD-HDQT 22
(Theo uy quyen) 3/8/2016 - Ban hanh Quy the Cong b6 thong tin
22/ NQ-HDQT-CKDK
23 (Lay Yr kien bang van
ban)
15/08/2016 - Thay doi Lai suat trai phieu cua PSI
24
23/ NQ-HDQT-CKDK
(Lay yr kien bang van
ban)
31/08/2016 _ Trieu tap DHDCD bat thuorng 2016
25
24/ NQ-HDQT-CKDK
(LAy y kien bang van
ban)
1/9/2016
- Xin Y kien DHDCD v/v Th6ng qua viec Ngan hang TMCP Dai Chung Viet Nam nhan chuyen nhugng von Op de tang ty le Op von tai PSI len tren 50%. Hinh till:re xin Y kien: Bang van ban va thyc hi'en ch6t danh sach c6 clang.
26 58A/QD-HDQT
(Theo ity quyen) 30/09/2016 - Thanh lAp Ban kiem phieu DHDCD
27 58A/QD-HDQT
(Theo KL hop HDQT) 30/09/2016 - Giao nhiem vu cho can be? (Ong Nguyen
(Theo KL hop HDQT) 30/09/2016 - Ban hanh so. d6 t6 chirc dm PSI
30
26/ NQ-HDQT-CKDK
(LAy y kien bang van
ban)
7/10/2016 - Thong qua Co' cau chirc danh dm Cong ty CP Cluing khodn DAu khi
31 60/QD-HDQT
(Theo ity quyen) 7/10/2016 - Ban hanh Binh mdc chi phi
32
27/ NQ-HDQT-CKDK
(LAy Y kien bang van
ban)
; 31/10/2016 - Sira d6i Quy cite ve cong tac quan lY nhan
sty va the 010 chinh sach cua Cong ty CP Chimg khoan DAu Ulf
33 62/QD-HDQT
(Theo fly quyen) 2/11/2016
.x - Dieu chinh mix Luang chirc danh ding viec (Ong Dao Hong arcing)
34 63/QD-HDQT
(Theo fly quyen) 8/11/2016 - CU can b0 di cong tac Philippines
35
28/ NQ-HDQT-CKDK
(LAy y kien bang van
ban)
22/11/2016 - Sira d6i b6 sung dieu le" Cong ty CP dau to be tong cong nghe cao - Sopewaco
36 64/QD-HDQT
(Theo fly quyen) 1/12/2016 - Giao nhiem vu cho can b0 (Ba TrAn Ta
Lan)
37 65/QD-HDQT
(LAy y kien bang VB) 5/12/2016 - B6 nhiem lai chirc danh Pito Giam d6c
C8ng ty vo'i Ong D4ng Minh Quang
38 69/QD-HDQT
(Theo ity quyen) 9/12/2016 - Thanh lap H0i dOng tuye'n dung cap
HDQT
39 67/QD-HDQT
(Theo Ay quyen) 9/12/2016 - Thanh leap H'9i dOng thi dua khen thtrong
40 68/QD-HDQT 9/12/2016 _ Thanh lAp HO dOng /rang
(Theo fly quyen)
66/QD-HDQT 41
(Theo fly quyen) 9/12/2016 - Thanh lap HOi ang ky lust
III. Ban kiesm snit (nam 2016)/ Supervisory Bourd(Semi-annual/annual reports):
1. Thong tin ve thanh vien Ban Kiem soat (BKS)/ Information about members of Supervisory Board:
Stt No.
Thanh vien BKS
Members of Supervisory
Board
Chile vu Position
s Ngay bat dau/khong con la thanh vien
BKS Day
becoming/no longer member
of the Supervisory
Board
SO bu6i hop BKS tham
du Number of attendance
TS( le tham du hop
Percentage
LS, do khong
tham du hop
Reasons for
absence
1. Ong Nguyen Van Nhiem
Truang ban
Kiem soat
Bat dau: 4/02/2008 1
(136 nhiem
KTT)
2/2 100%
2. On Biii The Anh
TV.BKS BALI b6 sung: 14/04/2016
1/1 100%
3. Ba Pham Thu Thily
TV.BKS Bau bo sung: 26-04-2016
1/1 100%
4. Ong Doan
Ngoc Luu
TV.BKS Mien nhiem:
14/04/2016
1/1 100% Tir nhiem theo
nguyen vong ca.
nhan 5. Ba Nguyen
Dieu Trinh
TV.BKS MiL nhiem:
15/04/2016
1/1 100%
2. Hog dOng giam sat cua BKS d6i voi HDQT, Ban Gam dOc dieu hanh va c6 (long Surveillance activities of the Supervisory Boardtoward the Board of Management, Board of Directors and shareholders: Ban Kiem soat (BKS) bao g6m ba (03) thanh vien do Dai hOi d6ng co dong (DHDCD) bau
ra de thuc hien cac hoat dOng giam sat theo quy dinh cua phap lust va Dieu le C6ng ty.
Trong nam 2016, dirge sir phOi hop chat the cua HOi d6ng Quan tri (HDQT) va Ban Dieu
hanh (BDH), BKS tiep tuc thuc hien cong tac kiem tra, giam sat va Ichuyen nghi thuc hien
nhfing thay d6i can thiet tai PSI a Op phan tang hieu qua dm hog dOng quan 1S, rui ro va
nang cao chit luorng quan tri doanh nghiep.
Trong nam 2016, mac du phai hog Ong trong twit mai truong kinh doanh khong thuan
lqi, canh tranh gay gat, gay anh huang kh6ng nho den su phat trien cua thi tnrong chi:mg
khodn. Tuy nhien theo danh gia cua BKS, HDQT, Ban GD da hoan thanh cac chi tieu ke
hoach dirge giao trong nam 2016, d9ng thag tuyet cloi tuan thu cac quy trinh va quy dinh
trong hog Ong dieu hanh doanh nghiep theo dieu 1e, quy the Quan tri not b9 va cac quy
dinh phap 1j( hien hanh. Cu the:
■ DCA voi HDQT
- HDQT da to chdc hog dOng phd hop quy dinh tai Dieu 1e va Quy the quan tri Cong ty,
dam bao ve so cu9c h9p, s6 thanh vien tham du a dap Cmg tinh phap ly va hieu qua
cu9c hop.
Dua ra cac dinh huang trim khai mOt each cu the, kha thi va giam sat chat chi' viec
thkrc hien cac Nghi quyet cua DHDCD va hog d9ng san xuAt kinh doanh cua Cong ty.
- HDQT da dua ra cac dinh htrang va giam sat thkrc hien viec trim khai cac chucmg trinh
quan tong dm Cong ty nhu he th6ng quan ly rUi ro, kiem toan not b0, he thong KPIs
toan cong ty, chuang trinh hoach dinh nhan skr tir Gidm doe den trueng phong lien
quan.
■ D6i vdi BGD
TO chile, trim khai cac hog d9ng kinh doanh theo dOng skr chi dao, nghi guy& cua
HDQT, tir do da hoan thanh cac chi tieu ke hoach kinh doanh nam 2016.
- Giai guy& ve co ban cac ton don tir cac hop Sing mua ban chi:mg khoan co kST han va
hop tac dau to theo yeu ch cua UBCKNN.
- Tang ctramg quart tri cac doanh nghiep trong danh mac dau to OTC, cfr nguoi tham gia
true tiep vao HDQT, Ban Dieu hanh de nam bat thong tin, h43 tra doanh nghiep thao go
kilo khan, phut hoi va Oat trim.
Hoan thien viec ra soat ca chi tien Luang va danh gia CBNV toan C6ng ty, dam bao
canh tranh, cong bang, hieu qua.
De day math hoat dOng m6i giai & dich vu chdng khodn; thdc thy cong tac thodi von
co phieu OTC va hoan thien co the cua Kh9i Van hanh.
Xay dung he th6ng KPIs cho cac kh6i, gin hieu qua cong viec vOi tien luang, tien
thuang va danh hieu thi dua cua tap the ca. nhan.
3. Srt ph6i hop hog d'9ng gida BKS &Si WA hog dOng cua HDQT, Ban Gam doe dieu hanh
va cac can b9 quan b% khac/ The coordination among the Supervisory Board-with the Board
of Management, Board of Directors and different managers:
Trong nam 2016, &roc su phOi hop chat chi cua HOi ding Quan trio (HDQT) va Ban Dieu
hanh (BDH), BKS Wei) tic thuc hien cong tac kiem tra, giam sat va khuyen nghi tilde hien
nhting thay d6i can thiet tai PSI d g6p phap tang hieu qua cua hog (icing quail ly rui ro va
nang cao chit luting quail tri doanh nghiep. Cu the:
- HDQT, Ban GD va cac don vi da thgc hien viec cung cap thong tin va tao dieu kien cho
Ban kiem soat dugc tiep can vai tai lieu de kiem tra, giam sat.
- Ban Kiem soat da nhan dugc skr phoi hop chat the trong hog ding kiem soat oh
HDQT va ale darn vi lien quan trong ding ty.
- Trong Min 2016, HDQT, Ban GD va cac b6 phan lien quan trong cong ty Wing c6
mot sir can tra nao trong hog Ong dm Ban Kiem soat.
Ve co ban cac thong tin va tai lieu cung cap da ddp ting dirgc yeu cdu dm Ban Kiem soat.
4. Host ding khdc cfia BKS (neu co)/ Other activities of the Supervisory Board(if any):
Ban Kiem soat (BKS) bao g6m ba (03) thanh vien do DO KA cling c6 ding (DHDCD) bdu
ra del thuc hien cac hog Ong giam sat theo quy dinh dia phap lust va Dieu le Cong ty.
Trong nam 2016, duot su ph6i hop chat the oda HUi ding Quail tri (HDQT) va Ban Dieu
hanh (BDH), BKS tiep tuc thkrc hien ding tdc kiem tra, giam sat va khuyen nghi thkrc hien
nhirng thay d61 can thiet tai PSI de Op plidn tang hieu qua dia hog Ong quail 1S, rui ro va
nang cao chit him quan tri doanh nghiep.
Trong nam 2016, BKS a: tham du day dil cac cu6c hop HDQT hang quS, va theo yeu au, ,
nam bat kip thai tinh hinh kinh doanh cua C6ng ty va ding Op SP kien voi HDQT va BGD
trong viec thkrc hien cac muc ti8u da &roc DHDCD phe duyet. Ngoai ra BKS da tien hanh
cac cong viec khac nhu sau:
- Thdin dinh Bao cao sat xet 6 thang nam 2016 Kiem tra, ra soat hog dung kinh doanh tai cac Chi nhanh H6 Chi Minh, Wing tau, trong do tap trung vao cong tdc kiem Ice, hach town ke todn va giai guy& cac din ding ve moi giai chirng Ichoan. Phei hop ding PhOng Kiem toan N6i b6, Mem soat rill ro tien hanh cac hog dung kiem
tra dinh lcS,, cha yeu duai khia canh tuan thil va mot s6 diem tong yeu;
IV. Dao tao ve quail tri cong ty/ Training on corporate governance:
Cac khoa dao tao ve quail tri cong ty ma cac thanh vien HDQT, thanh vien BKS, Giam dec
(Tong Giam d6c) dieu hanh, cac can 1)0 quan 1S, Ichac va ThirkS7 cong ty da tham gia theo
quy dinh ve quan tri cong ty/ Training courses on corporate governance which members of
Board of Management, members of the Supervisory Board, Director (CEO), other
managers and company secretary was involved in accordance with regulations on
corporate governance:
- Ban Giam dee a- cir Ong Dang Minh Quang — Ph6 gidm dee Ong ty tham gia kh6a
h9c ve Quan tri Using ty do Ngan hang TMCP Dai chOng Viet Nam t6 auk.
V. Danh such ve ngirOi co lien quan cua Ong ty niem yet then quy dinh tai khan 34 Dieu 6 Lu4t Chfrng khofin va giao dich cua nein co lien quan cua ding ty vol chinh Ging ty / List of affiliatedpersons of the public company as specified in clause 34, Article 6 of the Securities
Law (Semi-annual/annual reports) and transactions of affiliatedpersons of the Company with the Company)
1. Danh sach ye ngtrOi c6 lien quan cua c6ng ty/ List of affiliatedpersons of the Company
110i clang quan tri
Ghi chzi/Note: So Gay NSH*: SO CAIND/143 chat" (clai voi ca nhan) hoc SO GCN clang doanh nghiep, Gay phep hoot d 'Ong hock gay to phap ly twang throng (cloi vai to chic)/NSH:: In case of individual: ID card/Passport No.; In case of organization: License of establishment and operation/Certificate of business registration/equivalent legal documents.
STT No.
Ten t6 chirc/ca nhan Name of organizati
on/individual
Tai khoan giao dich cluing
khodn (neu co) Securities
trading account (if any)
Chirc vu 01 cong ty (nett co) Position at the company (f
any)
Se Giay NSH*, ngay cap, noi
cap NSH No. * date of issue, place of issue
Dia chi tru se( chinh/ Dia chi lien he Address
TM diem Mt dau la nguali CO lien quan Time
of starting to be affiliated person
Thai diem khong con la ngtrOi co lien quan Time of ending to be
affiliated person
L9 do Reasons
1. Ong Nguygn Anh
Tan
Chit tich
HDQT
A 012754537 cap
ngay 4/3/2005
C.A Ha N0i
53 Lac Trung,
Hai Ba Trung, Ha
NOi
30/03/2016
ngay
DHDCD thong qua
26/04/2016
2. Ba Hoang Hai Anh
•
UV HDQT
kiem Giant dOc
011988062
Cap ngay
16/9/2004
C.A Ha N6i
12/9 Huh Thitc S/n
Khang, Dong Da,
Ha NOi
22/09/2010 .
(136 nhi'm PGD)
3. Ong Trinh The UV.HDQT 017390259 P 1707 CT4B 11/02/2015
.4*
Phuong 14/7/2012 C.A
Ha NOi
Khu DT Xa La,
Phil La, Ha Dong,
Ha NOi
4. Ong Dao QuOc Bao UV.HDQT 011815622
012754537 cap
ngay 3/9/2009
C.A Ha NOi
85 Tran Que,c
Toan, Hoan
Kiem, Ha NOi
13/04/2016 duqc HDQT
Ong Bao
baulk') sung sau khi Ong
The Anh duqc
DHDCD thong qua de
thuc hien nhiem vu
khac
5. Ong &A The Anh UV.HDQT 011816581 cap
ngay 25/4/2008
tai CA. Ha NOi
35 ng6 38 H8
Tang MO, Mai
Dich, Ha NOi
13/04/2016
6. Ong Irwin Qu6c
Dung
UV.HDQT dOc
14
001082010303 A cap 20/08/2015
tai Ha NOi
SO 3 ng6 78 Giai
Phong, Phuong
Mai, DOng Da,
Ha NOi
31/05/2016 14/09/2016 duqc HDQT
Ong Dung
bau b8 sung sat! khi Ong Thing duqc
DHDCD . thong qua de
thuc hien nhiem NT
khac
Ong TwangQuOc Dung
có don xin tir nhiem thanh vial HDQT
7. Nguygn Sinh Dung
Thing
UV.HDQT 011755786 cap
26/11/2003 tai
Ha NO
Phong 1904, tao
nha
Eurowindows, so 27 Trim Duy
Hung, Cau Giay,
Ha NOi
31/05/2016
dOc rap ngay 14/09/2016
va duot HDQT thong qua tai cuOc hop HDQT quSr III ngay 28/09/2016
8. Ong Takahiro
Yazawa
UV.HDQT 29/03/2016 Duot DHDCD
thong qua de thuc hi'e'n nhi4in vki.
khac
9. Ong Doan Thanh
Nhan
UV.HDQT 29/03/2016 Dive DHDCD
thong qua de thkrc hiO nhi'en Iry
khac
10. Ong NguyZn Vi''t Ha UV.HDQT 29/03/2016 Dago DHDCD
thong qua de thut hi'41 nhi'm vu
khac
Ghi cha/Note: So Gay NSH*: SO CMND/HO chiju (doi vai ca nhcin) hoific So GCN dling ky doanh nghrep, Gay phep hoot cl'Ong hoc giciy tc) phcip 1j). twang &tang (dOi vdi td chitc)/IVSH: In case of individual: ID card/Passport No.; In case of organization: License of establishment and operation/Certificate of business registration/equivalent legal documents.
Ban Kiem soat
STT No.
Ten t6 chirc/ca nhan Name of organizati
on/individual
Tai khoan giao dich chting
khoan (lieu co) Securities
trading account (if any)
Chirc vu tai Gong ty (neu co) Position at the company (f
any)
SO Gik, NSH*, risk/ cap, nai
cap NSH No.*, date of issue, place of issue
Dia chi tru sir chinh/ Dia chi lien he Address
Thai diem bat du la ngtrad co lien quan Time
of starting to be affiliated person
ThOi diem khong con la nguoi co lien quan Time of ending to be
affiliated person
LS, do Reasons
1. Ong Nguyen Van Nhiern
Twang Ban .A Kim soat
14/02/2008
(BO nhi'm KIT)
2. Ong Biti The Anh Thanh vien BKS
15/04/2016 DHDCD bau be sung
3. BA Pham Thu Thtly Thanh vien BKS
14/04/2016 DHDCD bAu 1)6 sung
4. Ong Doan Ngoc Ltru TV BKS 14/04/2016 De thgc hien nhiem vu
khac va dtrqc DHDCD thong qua
5. Ba Nguyen Dieu Trinh
TV BKS 15/04/2016 De tlnrc hien nhiem vu
khac va dtrqc DHDCD thong qua
Ghi chti/Note: So Giey NSH*: So CMND/HO chau (dei veri ca nhcin) hoc SO GCN clang lc-f; doanh nghiep, Giey phgp hoot ctong hotyc gay ter phap ly twang &rang (del veri to cherc)/NSH: In case of individual: ID card/Passport No.; In case of organization: License of establishment and operation/Certificate of business registration/equivalent legal documents.
❖ Ban dieu hanh
STT No.
Ten t6 chirc/ca nhan Name of organizati
on/individual
Tai khoan giao dich chi:mg
khoan (nen co) Securities
trading account (f any)
Chirc vu tai cong ty (neu có) Position at the company (if
any)
SO Giay NSH*, ngay cap, nai
cap NSH No.*, date of issue, place of issue
Dia chi tru s& chinh/ Dia chi lien he Address
Thal diem bat dau la nguai co lien quan Time
of starting to be affiliated person
TWA diem Wang con la ngu8ti c6 lien quan Time of ending to be
affiliated person
LS/ do Reasons
1. Ba Hoang Hai Anh Giam Mc 22/09/2010
(B6 n1Qin POD)
2. Ong Nguyen Xuan
Hung
PM Gam Mc 22/04/2009
3. Ong Trail Wing
Dung
Pho Giam Mc 21/12/2006
4. Ong DOng Minh
Quang
PhO Giam Mc 20/11/2013
5. BA Thai Viet Anh PhO Giam dOc 30/12/2015
6. Ba Dinh Thi Lan
Phuang
Ire toan twang 23/08/2013
Khong c6 giao dich.
VI. Giao dich co phieu ciia nproi not bi) vi nguiri lien quan cita ngtroi not b0/
Transactions of internalpersons and relatedperson of internal person (Semi-
annual/annual reports)
Kh6ng c6 giao dich.
VII. Cac van a can hru y khac/ Other significant issues
