bo tai chinh cong. hoa xa hqi chu nghia viet nam
TRANSCRIPT
BO TAI CHINH CONG. HOA XA HQI CHU NGHIA VIET NAM SO GIAO DICK CHUNG ICHOAN TP.HCM DSc 1Sp - Tv do - Hanh pink
S6: 338 /QD-SGDHCM Thanh pha Ha Chi Minh, ngay 24 thcing 6 nam 2020
QUYET DINH Chi) thuan niem yet chting quyen có bao dam
TONG GIAM DOC SO GIAO DfCH CHUNG MIOAN THANH PHO HO CHI MINH
Can ail Lust Ching khoan s6 70/2006/QH11 ngay 29 thang 06 nam 2006 cila QuOc hQi ya LuAt sin dei be sung mOt so dieu cUa Lua;t Chung khoan sa 62/2010/QH12 ngay 24 thang 11 nam 2010;
Can dr Nghi dinh so' 58/2012/ND-CP ngay 20 thang 07 nam 2012 oh Chinh phit quy dinh chi tiet vi huang dan thi hanh mot so dieu ctla Luat Chung khoan vi Luat sin den, b6 sung mat so dieu cüa Luat Chung khoan va Ngh1 dinh s6 60/2015/ND-CP ngay 26 thdng 06 nam 2015 sun d6i, bit) sung mOt so dieu cüa Ngh1 dinh 58/2012/ND-CP;
Can dr ThOng tu s6 107/2016/TT-BTC ngay 29 thing 06 nam 2016 dm BO truemg BO Tai chinh huong &kr' chao ban vi giao dich cluing quyen c6 bao dim;
Can cfr Quyet dinh s6 2399/QD-BTC ngay 21 thing 11 nam 2017 dm BO trueng BO Tai chinh ban hanh Dieu i t6 chirc vi boat dOng cUa S& Giao dich Chung khoan Thanh phi') H6 Chi Minh;
Can dr Quyet dinh sO 69/QD-SGDHCM ngay 02 thing 03 nam 2018 dm Tang Guam doe S6 Giao dich Chung khodn Thanh pho Ha Chi Minh vie viec ban hanh Quy che niem yet vi cong b6 th6ng tin den vei cluing quyOn cod bao dam tai SO: Giao clich Chung khoan Thanh pho Ha Chi Minh;
Can cif h6 su clang k9 Mem yet clung quyen có bao dim cilia Cong ty C6 phdn Chang khodn US Viet Nam;
Theo de nghi cna Giam doe Phong Quin 19 vi ThAm dinh Niem yet,
QUYET DiNH:
Dieu 1. ChAp thuAn .dang k9 niem yet chi:mg quyen c6 ban dim do Cong ty CO phan Cluing khoan K.I.S Viet Nam phat
Ten t6 chirc phat hanh: Cong ty C phAn Chung khoan MS Viet Nam
Ten vitt tat: KIS
Giay phép thanh lap \fa hoat dOng ding ty cluing khoan sO: 56/UBCK-GPHDICD do ty ban Cluing khodri Nha nude cap ngay 05 thing 7 nam 2007
Van dieu le: 1.897.011.000.000 ding (Mat nghin tam tram chin meal bay tft khong tram myth mat tri"Ou clang)
HOSE_BM-7.31/1-BH1-04/2018 Trang 1/2
NG GIA1VI DOC DOC PHV TRACH
Vu Quang Trung
Dia chi try so chinh: Tang 3, 180-192 Nguyen Cling Trir, Phuang Nguye'n Thai Binh, Quan 1, Thanh ph6 HO Chi Mirth
Dien thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898 Dieu 2. Chung quyen c6 bao darn do Gong ty a phan Chung khoan MS Viet
Nam phat hart duce niem yet tai SO Giao dich Chung khoan Thanh pho H6 Chi Minh theo cac nOi dung sau:
1. Loai chung khodn:
Ten cluing quyen:
MA chung quyen:
ma IS1N:
Ma chtimg khok ca sec HDB
6. Ten t6 chic phat hanh chting khok pa set: Ngan hang Thirang mai CO phan flat hien Thinh phi) H6 Chi Minh
Chthig quyen c6 bao dam
Chtimg quyen.HDB.KIS.M.CA.T.03
CHDB2005
VNOCHDB20052
Loai chting quyen:
Kieu chtimg quyen:
Phuang thirc thuc hien quyen:
Thai haw
Ngay dao han:
T9 le chuyen dei:
Gia thgc hien:
Mua
Chau Au
Bang tien
04 thfing
05/10/2020
4:1
27.327 ding
Se luong chirng ctuyen niem yet: 1.500.000 chting quyen (M'Ot trieu naM tram nghin chieng quyen)
Ngay chinh thtirc giao dich: 26/6/2020 Dieu 3. Ceing ty CO ,phan Chung khoan MS Via Nam phai tuan thii phap luat
Viet ,Nam, cac quy dinh ye chimg khoin va thi tnrang cluing khoin, cac quy dinh cüa Quyet dinh nay.
Dieu 4. Quyet dinh nay c6 hieu lvcketin ngay 1(9.
Dieu 5. Clam doe phOng Quan 19 va Them dinh Niem yet, Giam dote PhOng Quan 19 Thanh vien, Glair); dog Pheng Giam sat Giao dich, Giam doe Pheng Th6ng tin TM throng va Gang ty Co phan Cluing khoan MS Via Nam c6 trkh nhiem thi hank Quyet dinh nay./.-17(
Noi -Nhu cliau 5; - UBCKNN; - TTLKCKVN; - Lint: VT, NY (08)
HOSE J3M-7.31/1-13H1-04/2018 Trang 2/2
BO TAI CHINE SO CIAO DICH CHUNG KHOAN TP.HCM
S6: .344 /QD-SGDHCM
ONG HOA XA HO CHU NGHIA VIET NAM Dc lap - Tkr do - Hanh phtic
Theznh pha Ha Chi Mink ngezy 24 thang 6 nam 2020
QUYET DINH Chap thuan niem yet chting quyen có ban dam
TONG Gum DOC sti"GIA0 DICH CHTYNG ICHOAN THANH PHO HO CHI MINI
Can di Luat Chung khoan só 70/2006/QH11 ngay 29 thang 06 nam 2006 dm Quoc hOi va Luat sfra di be sung met so dieu cña Luat Chung khoan so 62/2010/QH12 ngay 24 thong 11 nam 2010;
Can cir N4hi dinh só 58/2012/ND-CP ngay 20 thang 07 nam 2012 dm Chinh phU quy dinh chi tiet va huank clan thi hanh mOt s6 dieu cña Luat Chirng khoitn va Luat sera doi, b8 sung mOt so dieu cM Luat Chung khoan va Nghi dinh so 60/2015/ND-CP ngay 26 thang 06 nam 2015 sira dOi, b6 sung mOt so dieu cüa Nghi dinh 58/2012/ND-CP;
Can dr Thong tu s6 107/2016/TT-BTC ngay 29 thang 06 nam 2016 cila BO truOrng BO Tai chinh htrung clan chao ban va giao dich chimg quyen c6 bao dam;
Can ell Quyet dinh sO 2399/QD-BTC ngay 21 thang 11 nam 2017 cna BO truong BO Tai chinh ban hanh Dieu le to chirc va hoat dong elm Sâ Giao dich Chung khoan Thanh phis.) HO Chi Minh;
Can dr Quyet dinh se) 69/QD-SGDHCM ngay 02 thang 03 nam 2018 dm TOng Giam doe Sa Giao dich Chirng khoan Thanh pho H6 Chi Minh ye viec ban hanh Quy the niem yet va ding b6 thong tin doi veri chi:mg quyen c6 bao dam tai So. Giao dich Ching khoan Thanh pho HO Chi Minh;
Can dr hó su (tang k9 niem yet Ching quyen c6 bao dam cita Cong ty CO phan Ch(mg khoan KIS Viet Nam;
Theo de nghi ctia Giam doe Phong Quan 1 va Tham dinh Niem yet,
QUYET DINH:
Din 1. Chap thuari clang IcY niem yet chung quyen c6 bao dam do Cong ty CO plan Chung khoan KIS Viet Nam ph& hanh:
Ten ta chitc Oat hanh: Cong ty a phan Chfrug khoan MS Viet Nam
Ten vik eat: Kis
Gib phep thanh lap va hot dOng c8ng ty chimg khoan se: 56/UBCK-GPHDKD do Uy bap .ChUng khoan NM nuec cap ngay 05 thang 7 nam 2007
Von dieu 14s: 1.897.011.000.000 &Ong (Mat nghin tam tram chin ?meat bay t) khong tram mufti mat trieu clang)
HOSE_BM-7.31/1-BH1-04/2018 Trang 1/2
Dia chi try sOr chinh: Tang 3, 180-192 Nguyen &Ong TrU, Phtrang Nguyen Thai Binh, Quan 1, Thanh pha Ha Chi Minh
Dien.thoni: (84-28) 3914 8585 Fax: (84-28) 3821 6898 Dieu 2. Chting quyen c6 bdo dam do Cong ty Ca phan Cluing khoan KIS Viet
Nam pith hanh duct niem yet ti S& Giao dich ChUng khoin Thanh ph6 Ha Chi Minh theo cac noi dung sau:
Loai chimg lchoan: Chieng quyen c6 ban dam Ten chting quyin: Chüng quyen.HPG.KIS.M.CA.T.07 Md. chimg quyen: CHPG2010 MA ISIN: VNOCHPG20105
MA chimg khoan ca s6: HPG
Ten t6 chlic phat hanh chimg khoan ca sa: CTCP Tap Doan Hoa Phat Loai chtitng quyen: Mua Kieu chung quyan: Chau Au Phucmg thirc thyc hien quyen: Bang tin Thai haw 10 thing Ngdy dao han: 05/04/2021 TS, le chuyen dai: 4:1 Gia. thyc hien: 33.100 dang S6 Wong chfrng quyen them yet: 2.000.000 chling quyen (Hai trieu chzing
quyen)
Ngdy chinh dine giao dich: 26/6/2020 Dieu 3. C6ng ty Ca ,pham Chung khoan MS Viet Nam phai tub nth phap luth
Viet Nam, cac quy dinh ye chUng khoin va thj throng Ching khoin, dc quy dinh caa Quyet dinh nay.
Dieu 4. Quyet dinh nay c6 hieu lyc ke tir ngay k.
Dieu 5. Gram 46c Phong Quanl±vd Tham dinh Niem yet, Giam dc Phong Quan 1)? ThAnh vien, Githn dac PhOng Giam sat Giao dich, Gam d6c Phi:mg Thong tin TM truang vã C6ng ty CO phan Chlrng khoan KIS Viet Nam c6 trach nhiem thi hanh Quyet dinh
No'i nhn: NG GIAM DOC - NhIr diet' 5; DOC PRIV TRACI' - UBCKNN; - TTLKCKVN; - Ltru: VT, NY (08) 10./
yen VII Quang Trung
HOSE_BM-7.31/1-BH1-04/2018 Trang 2/2
.16KIH CHING K THA PHos
H6 CHt MIN
BO TAI CHNTH CONG HOA XA HOT CHU NGETIA VItT NAM SO GIAO NCH CHUNG KHOAN TP.HCM Dc 14p - Tkr do - Hanh phfic
SO: .34 /QD-SGDHCM Thanh pho HO Chi Minh, ngay 24 %hang 6 na'm 2020
QUYET DINH Chap thuan niem yet chiing quyen co bao dam
TONG GUM DOC SO GIAO BICH CHUNG KHOAN THANH P110 HO CHI MINH
Can cir Lug Chang khoan so` 70/2006/QH11 ngdy 29 thing 06 narn 2006 Gila Quoc hoi va Luat saa deti be') sung met so di'eu dm Lust Chang khoan so 62/2010/QH12 ngay 24 thang 11 nam 2010;
Can dr Nghi dinh só 58/2012/ND-CP ngay, 20 thing 07 nam 2012 dm Chinh pha quy dinh chi tiet va huerng &an thi hanh met so dieu elm Lug Chang khoan va Lust sin d6i, b6 sung met so dieu cUa Lug Chung khoan va Nghi dinh s6 60/2015/ND-CP ngay 26 thang 06 nam 2015 sara dot i, b6 sung met so diau cüa Nghi dinh 58/2012/ND-CP;
Can ca ThOng tir sO 107/2016/TT-BTC ngay 29 thang 06 nam 2016 cila BO truerng BO Tai chinh huong den chao ban va giao dich chimg quyen ce, bao dam;
Can dr Quyet dinh só 2399/QD-BTC ngay 21 thang 11 nam 2017 dm BO throng BO Tai chinh ban hanh Dieu la tO chac va hog dOng cUa S6 Giao dich Ching khoan Thanh ph6 H6 Chi Minh;
Can dr Quyet dinh se; 69/QD-SGDHCM ngay 02 thang 03 nam 2018 dm Tang Giam doc So Giao dich Chung khoan Thanh pho. HO Chi Minh ye vice ban ha.nh Quy che niem yet va c6ng b6 thong tin dot i vai chimg quyen c6 bao dam tai SO Giao dich Chang khoan Thanh ph6 HO Chi Minh;
Can dr h6 scr tang ky niam yat chang quyen c6 bao dam dm Cong ty a phen Chung khoan KIS Viat Nam;
Theo cm nghi caa Giam dc PhOng Quan 1 va Them dinh Niem yect,
QUYET DINH:
Dieu 1. Chap thuan dang k niem yett chang quyen c6 bao dam do COng ty CO phen Ching khoan KIS Viat Nam phat hanh:
Ten t6 chire phat hanh: fling ty a phan Chiing khoin MS Viet Nam
Ten viet tat: I(1S
Giey phép thanh lap va hog dOng ding ty chi:mg khoan s6: 56/UBCK-GPHDKD do fly ban Chung khoan Nha nu6c cap ngay 05 thang 7 nam 2007
Von dieu le: 1.897.011.000.000 &Ong (MOt nghin tam tram chin muvi bay 1)Y khong tram Inzedri mOt trieu cljng)
HOSE_BM-7.31/1-B1-11-04/2018 Trang 1/2
so NIA0 CHI:ING OAN THANH PH6
H6 CHI MIN
I
Dia chi try see chinh: Tang 3, 180-192 Nguygn C8ng Tris, Phtrang Nguyen Thai Binh, Quan 1, Thanh pho H6 Chi Minh
Di'en thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898 Dieu 2. Cluing quyen co bao dam do Cong ty C6 phan Ching khoan KIS Viet
Nam phat hanh duce niem yet tai Ser Giao dich Chnng khoin Thanh pho H6 CM Minh theo cac nOi dung sau:
Loai chimg khoan: Cluing quyen c6 ban dam Ten chi:mg quyen: Chting quyen.STB.KIS.M.CA.T.05 ma chimg quy'en: CSTB2005 MA ISIN: 'VNOCSTB20055 MA chung khoan cry se: STB
Ten t6 chirc phat hanh chimg khoan ca so: Ngfin hang TMCP Sli Gan Thircrng Tin
Loai chnng quyen: Mua
Kieu chirng quyen: Chau Au
Phuang thirc thgc hien quyen: Bing tin Thai han: 05 thfing Ngay dao han: 03/11/2020 TS, le chuy'en 2:1 Gia thuc hien: 11.811 &long
S6 Mang chirng quyen them yet: 2.000.000 cluing quyen (Hai trieu chting quyen)
Ngay chinh thnc giao dich: 26/6/2020 Dieu 3. Cong ty C6 ,phan Chung khoan KIS Viet Nam phai tuan thu phap luat
Viet Nam, cac quy dinh ye chUng ichoin ya thi inn:mg chnng khoan, cac quy dinh cna Quyet dinh nay.
Dieu 4. Quyat dinh nay cO hieu luc k tü ngay
Dieu 5. Giam doe Phong Quan 15, ya Tham dinh Niem yet, Giam cl6c Phong Quart 157 Thanh vien, Giam thic PhOng Giam sat Giao dich, Giam doe Pheng ThOng tin Thi truang va Cong ty C6 plik Chung khoan MS Viet Nam có trach nhiem thi hanh Quyet dinh
Noi nh(en: ONG GIA1V1 DOC - Nhtr dieu 5; DOC PlIV TRACH - UBCICNN; - TTLKCKVN; - Ltru: VT, NY (08) itti
uang Trung
HOSE_BM-7.31/1-BH1-04/2018 Trang 2/2
.
BO TAI CHINH CQNG HOA XA. HOI CHU NGHiA VIET NAM ser GIAO INCH CHUNG 1CHOAN TP.HCM DSc 14p - Tv do - Hanh phtic
SO: .30 /QD-SGDHCM Thanh pile Ha Chi Minh, ngay 24 thing 6 nom 2020
QUYIET DINH ChAp thtfan niem yet cluing quyen Co bao dam
TONG GIAm DOC stf CIAO INCH CHUNG 'MOAN THANH PII0 HO CHI MINH
Can dr Lust Chung khoan se 70/2006/QH11 ngly 29 thang 06 nam 2006 caa Quo° hOi va Lug sira dai be sung mOt so dieu ena Luat Chung khoan s6 02/2010/QH12 ngay 24 thang 11 nam 2010;
Can cit Nghi dinh se; 58/2012/ND-CP ngay 20 thang 07 nam 2012 Gila Chinh phü quy dinh chi tiet va hurling clan thi hanh mot so dieu dm Lust Chang khoan va Lug sira dOi, b6 sung mot s8 dieu cüa Luat Chang khoan va Nghi dinh so 60/2015/ND-CP ngly 26 thang 06 nam 2015 gra d6i, b6 sung mOt so dieu cüa Nghi dinh 58/2012/ND-CP;
Can dr Thong tu só 107/2016/TT-BTC ngay 29 thang 06 narn 2016 dm BO trueng BO Tai chinh huerng clan chao ban va giao dich chirng quyen c6 bao dam;
Can cir Quyet dinh sot 2399/QD-BTC ngay 21 thang 11 Warn 2017 dm BO tnrang BO Tãi chinh ban hanh Dieu leto chirc va hog dOng cüa Ser Giao dich Chang khoan Thanh pha HO Chi Minh;
Can dr Quyet dinh s6 69/QD-SGDHCM ngay 02 thang 03 nam 2018 Gila TOng Giarn dOe ser Giao dich Ch'ing khoan Thanh pho HO Chi Minh ve viec ban hanh Quy eh& niem yet va cOng b6 thong tin doi voi chi:mg quyen cO bao darn tai SO Giao dich Chung khoan Thanh phi; HO chi Minh;
Can dr hO scr dang 1<9 niem yet clung quyen c6 bao dam Gila Cong ty CO phan Chung khoan KIS Viet Nam;
Theo a nghi cüa Giam dc Phong Quan 19 va Tham dinh Niem yet,
QUYET INNH:
Dieu 1. Chap thuan dang lcy niem yet chi:mg quyen cc') bdo darn do Ceng ty CO phan Chirng khoan MS Viet Nam phat hanh:
Ten to chire phat hanb: Cling ty phan Cht'eng khoan MS Viet Nam
Ten viet tat: MS
Gidy phep thanh lap va hog deng cOng ty chimg khoan so: 56/UBCK-GPHDKD do Uy ban Chung khoan NM nuere cap ngay 05 thang 7 nate 2007
V6n dieu 1:897.011.000.000 diang (Mat nghin tam triim chin mucri My tf) khong tram 'meth mat trieu clang)
HOSE_BM-7.31/1-BH1-04/2018 Trang 1/2
SO GIAO I.
CHO' KHO .
TWANH PH
H6 CHI
Quang Trung
Dia chi tin sac chinh: Tang 3, 180-192 Nguyen Clang TrU, Phuang Nguyen Thai Binh, Quan 1, Thanh ph6 HA Chi Minh
Dien thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898 Dieu 2. Chang quy'en co bao dam do C8ng ty CA phen Chang khoan MS Vi'et
Nam phat hanh dirge niem yet tai Sat Giao dich Ch'ing khoin Thanh pho H6 CM Minh theo cac nOi dung sau:
Loai chting khodn: Chfrng quyen co bao dim Ten chUng quyen: Chung quyen.STB.KIS.M.CA.T.06 ma chimg quyen: CSTB2006 Ma ISIN: VNOCSTB20063 Ma clning khoan co sat: STB
Ten tã chic phat hanh chung khoan co so.: Ngfin hang TMCP Ski Gon Thtrotg Tin
Loai chi/mg quyen: Mua Men chUng quyen: Chau Au Phuong thirc thgc Men quyen: Bing tien Thad hp: 10 thing Ngay dao han: 05/04/2021 TY le chuyen d6i: 2:1 Gia dux hien: 12.888 (long
,S6 lug/1g eh:mg quyen niem yet: 2.000.000 chtmg quyen (Hai trieu chthrig quyen)
Ngay chinh tilde giao dich: 26/6/2020 Dieu 3. Cling ty CA phan Chfing khoan KIS Viet Nam phai tuan dui phap luat
Viet Nam, ck quy dinh ye chUng khoin va thi truong chi:mg khoin, the quy dinh cüa Quyet dinh nay.
Dieu 4. Quyet dinh nay có hieu lye ke hi ngay kY. Dieu 5. Giam d'Ac Phong Quan 1 va Them dinh Niem yet, Giam doe Phong Quan
Thanh vien, Gram dee Phong Giam sat Giao dich, Giam &Se PhOng Th8ng tin Thi trueng va Cong ty CO phan Chtmg khoan KIS Viet Nam cat trach nhiem thi hanh Quyet dinh
Ni nhipn ONG GUM DOC - Nhtr diu 5; DOC PHIJ TRACH UBCKNN;
TTLKCKVN; Lau: VT, NY (08)k
HOSE_BM-7.31/1-BH1-04/2018 Trang 2/2
BO TAI CHiNH CONG HOA XA HQI CHU NGHTA VIET NAM SO GIAO NCH CHI:TING KHOAN TP.HCM Dc lap - Tv do - Hanh pink
SO: 34.2 /QD-SGDHCM Thimh pha Ha Chi Minh, ngcly 24 thcing 6 nam 2020
QUYET DINH Chap thuan niem yet chilling quyen có bao dam
TONG GIAM DOC SO GIAO DICH CHUNG KHOAN TH .ANH PHO HO CHI MINI
, Can dr Luat Chiing khoan se 70/2006/QH11 ngay 29 thing 06 nam 2006 dm Qu6c hOi va Luat sita doi bO sung mot s6 dieu cUa Luat Cluing khoan so 62/2010/QH12 ngay 24 thang 11 nam 2010;
Can dr N4hi dinh sO 58/2012/ND-CP ngay 20 thang 07 nam 2012 dm Chinh ph* quy dinh chi tiet va huOng din thi hanh mOt so dieu coa Luat Chung khoan va Luat sfra dOi, bO sung met s6 dieu càa Luat Chung khoan va Nghi dinh so 60/2015/ND-CP ngay 26 thang 06 nam 2015 sfra di, b6 sung met s6 dieu cna Nghi dinh 58/2012/ND-CP;
Can dr ThOng tu s6 107/2016/TT-BTC ngay 29 thang 06 nam 2016 dm BO truong BO Tai chinh huang clan chao ban va giao dich chimg quyen at) bao dam;
Can cir Quyet dinh s6 2399/QD-BTC ngay 21 thang 11 nam 2017 dm BO truang BO Tai chinh ban hanh Dieu le to cline và boat dOng elm Sâ Giao dich Chung khoan Thanh phe HO Chi Minh;
Can dr Quyet dinh s6 69/QD-SGDHCM ngay 02 thang 03 nam 2018 dm TOng Giam dific So Giao dich Chung khoan Thanh phO HO Chi Minh ye viec ban hanh Quy the niem yet va cong b6 thong tin doi yeti cluing quyen c6 bao dam tai S& Giao dich Ching khoan Thanh pho HO Chi Minh;
Can dr hO so dang k niem y4t chimg quyen c6 bao dam dm Cang ty CO phan Chung Idioan MS Viet Nam;
Theo de nghi cüa Giam doe Phong Qua'nbi va Tham dinh Niem yet,
QUYET DINH:
Dieu 1. Chdp thuan tang 10'7 niem yet chUng quyen cod bao dam do Ging ty CO phan Chimg khoan MS Viet Nam phat hanh:
Ten t6 ch*c phat banh: Cling ty a phan Chong khoan MS Viet Nam
Ten viet tat: MS
Gidy phep thanh lap va hoat dOng Gong ty chi:mg khoan se: 56/UBCK-GPHDKD do Oy ban Chung khoan NM nuot cap ngay 05 thang 7 nam 2007
V6n dieu le: 1.897011.000.000 ding (Mat nghin tam tram chin muvi bay tf) khong tram mirth mat trieu clang)
HOSE_BM-7.31/1-BH1-04/2018 Trang 1/2
ITO CHtING KH THAN H6
H6 CHI MINH
ONG GIA1W DOC DOç PHI) TRACE
en VO Quang Trung
Dia chi tru so. chinh: Tang 3, 180-192 Nguyen Cong Tilt, Phuang Nguyen Thai Binh, Quian 1, Thanh pho H6 Chi Minh
Dien thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898 Dieu 2. Chung guyen c6 bao dam do Cong ty C6 phAn Chung khoan MS Viet
Nam phat hanh ducyc niem yet tai ser Giao dich Chimg khoin Thanh pho HO Chi Minh theo cac nal dung sau:
1. Loai chimg khoan:
Ten chimg quyen:
Ma °hung guyen:
ma ISIN:
MA chimg khoan co set: VHM
Ten tO clam phat hanh chImg khoan co sO: CTCP Vinhomes Loai chfrng guyen: Mua
Kieu cluing guyen: Chau Au
Phuong tithe thuc hien guyen: Bang tin Thai han: 04 thing Ngay dao han: 05/10/2020 TSrI chuyen dai: 10:1
Gia thuc hien: 86.868 deng
Só luang chting quyen them yet: 1.500.000 chiirng guy& (Mat trieu nam tram nghin chung quyen)
Ngay chinh thac giao dich: 26/6/2020 Dieu 3. Citing ty Ci phan ChUng khoan MS Viet Nam phai tuan thñ phip lua
Via Nam, cac guy dinh ye chUng khoan \fa thi truong chang Moan, cac guy dinh cua Quyet dinh nay.
Dieu 4. Quyet dinh nay co hieu luc ke tü ngay k.
Dieu 5. Giam doe Phang Quart 157 ya Tham dinh Niem yet, Clam dOc PhOng Quin 157 Thanh viên, edam doe Phong Giam sat Giao dich, Giam doc Phong Thong tin Thi truang va Cong ty CO phAn Chimg khoan MS Viet Nam co trach nhiem thi hanh Quyet dinh nay./. -154
Chtimg quyen c6 bao dam
Chthig quyen.VIIM.KIS.M.CA.T.03
CVHM2004
VNOCVHM20044
Noi nheuz: - Nhu diet) 5; - UBCKNN; - TTLKCKVN;
pitz
- Ltru: VT, NY (08)
HOSE BM-7.31/1-BH1-04/2018 Trang 2/2
BO TAI CHINH SO GIAO NCH CHUNG KHOAN TP.HCM
So: ,346 /QD-SGDHCM
CONG HOA XA MN CHU NORIA VItT NAM DOc 1p - Tv do - 11#nh ph&
Thanh pha Ila Chi Minh, nery 24 Sing 6 niim 2020
QUYET DINH ChAp thuh niem yet chting quyen co ban dam
TONG GiAm DOC SO GIAO DICH CHUNG ICHOAN THANH PHO HO CHI MINH
Ca'n ca Luat Chang khoin só 70/2006/QH11 ngay 29 thang 06 nam 2006 dm Quoc hOi va Luat sira dai b6 sung mot s6 dieu dm Lust Chung khoan so 62/2010/QH12 ngay 24 thang 11 nam 2010;
Can ca N41-4 climh s6 58/2012/ND-CP ngay, 20 than 07 Warn 2012 dm Chinh phü quy clinh chi tiet va &rang dan thi hanh met so dieu elm LuSt Chang khoán va Luat sira doi, bo sung mOt so diet'. cüa Luat Cluing khoan va Ngh1 dinh só 60/2015/ND-CP ngay 26 thang 06 nam 2015 sin dai, 136 sung mOt so dieu cfm. Nghi dinh 58/2012/ND-CP;
Can cir Thong ttr sO 107/2016/11-BTC ngay 29 thang 06 tram 2016 dm BO truang BO Tai chinh huang clan chao ban va giao dich chimg quyen c6 bao dam;
Can cir Quyet dinh só 2399/QD-BTC ngay 21 thang 11 nam 2017 elm BO true:mg BO Tai chinh ban hanh Dieu 1 t6 chirc va hog dOng elm Sec Giao dich Ching khoan Thanh phO HO Chi Minh;
Can ca Quyet dinh so 69/QD-SGDHCM ngay 02 thang 03 narn 2018 elm Tang (11am doe Sec Giao dich Chang khoan Thanh pho H6 Chi Minh ye viec ban hanh Quy che niem yet va tong 136 th8ng tin dai yeti -chung quyen c6 ban dam tai Sec Giao dich Chang khoan Thanh phot HO Chi Minh;
Can dr ho so cling 1c), niem y6t chtIng quyen c6 bao dam cUa Citing ty CO phan Chang khoan MS Viet Nam;
Theo de nghi cua Giam doc Phong Quan 13, vA Tham dinh Niem yet,
QUYET DINH:
Dieu 1. Chip thuan dang niem yet chang quyen c6 bao dam do Cong ty CO phan Chung khoin MS Viet Nam phat hanh:
Ten t6 chirc phat hanh: Cong ty CA phAn Ch'ing khoan MS Viet Nam
Ten vitt tat: MS
Giay phep thanh 13p va hog dOng cling ty chang khoan sO: 56/UBCK-GPHDKD do Oy ban Chang khoan Nha mac cap ngay 05 thang 7 nam 2007
VOn dieu 1e: 1.897.011.000.000 clang (Mat nghin tam tram chin meat My tY khong tram mweri mat trieu clang)
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GC/ CIAO DICH CHUNG AN TWA H PH6
116 CHI MI
NG GIAI" VI DOC OM D C PHI; TRACH
-s-\
Yu Quang Trung
Dia chi try s6 clilnir TAng 3, 180-192 Nguyen C6ng Trü, Phutmg Nguyen Thai Binh, Quan 1, Thanh ph6 Ho Chi Minh
Dien thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898
Dieu 2. Ching quyen c6 bao dam do Cong ty C6 phan Chung khoan KIS Viet Nam phat hanh dugc niem yet tai SO (Mao dich Chimg khoin Thanh phot HO Chi Minh theo cac nOi dung sau:
Loai chung khoan: Chting quyen có bao dam
Ten chi:mg quyen: Chtitg quyen.VIC.KIS.M.CA.T.05
MA chi:mg quyen: CV1C2003
MA ISIN: VNOCVIC20035
MA chirng khoan ca sg: VIC
Tenth eh& phat hanh chung khoan Ca sir: Tap Doan Vingroup - CTCP
Loai chfrng quyen:
Kieu chirng quye'n:
Phucmg thfrc thgc hien quyen:
Thai han:
Ngay dao han:
T9 le chuyen dei:
Gia. thgc hien:
Mua
Chau Au
Bing tien
04 thing
05/10/2020
10:1
103.050 dang
S6 lugng chling ctuyen niem yet: 1.500.000 chting quyen (Mat trieu neim tram nghin chang quyen)
Ngay chinh thOc giao dich: 26/6/2020
Dieu 3. Cong ty ct,‘pha'n Ching khoan MS Viet Nam phai tuan thit phap luat Viet Nam, cac quy dinh ye chirng khoin va thi trugng chirng khoin, cac quy dinh cüa Quyet dinh nay.
Dieu 4. Quyat dinh nay ce, hieu lyc Ice tit ngay k9.
Dieu 5. Giant doe Phong Quan 1 va ThAm dinh Niem yet, Giarn dee Pheng Quan Thanh vien, Giam doe Phong than' sat Giao dich, Giam doe Phong Th8ng tin Thi
trugng vi Cong ty Co phAn Chung khoan MS Via Nam c6 trach nhiem thi hanh Quyet dinh nay./:-b-c
Noi nhfun - Nhu dieu 5; - UBCKNN; - TTLKCKVN; _ - Lim: VT, NY (08)W
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BO TAI CHNH ONG HOA xA HQI CHU NGHIA VIVT NAM SO GIAO BICH CHUNG KHOAN TP.HCM DSc lap - Ti; do - Hanh phtic
56: 340 /QD-SGDHCM Thiznh pho Ha Chi Minh, ngety 24 thcing 6 ncirn 2020
QUYET DINH Chap thu4n niem yet chiing quyen en bao dam
TONG GIANI DOC SO GIAO NCH CHING ICHOAN THANH PHO HO CID MINH
Can dr Lust Chirng khoan s6 70/2006/QH11 ngay 29 thang 06 nam 2006 dm. Quoc hoi va Lug sira dai b6 sung mot so dieu cria Luat Ching khoan sO 62/2010/QH12 ngay 24 thang 11 nam 2010;
Can dr Nghi dinh so' 58/2012/ND-CP ngay 20 thang 07 nam 2012 dm Chinh phil quy dinh chi tiet va huorig dan thi hanh mOt so dieu eUa Luat Chung khoan va. Luat stia d6i, b6 sung mot so dieu cüa Luat Chong khoan va Nghi dinh so 60/2015/ND-CP ngay 26 thang 06 nam 2015 sua doi, b6 sung mOt s6 dieu ctia. Nghi dinh 58/2012/ND-CP;
Can cir Thong tu s6 107/2016/TT-BTC ngay 29 thang 06 na'm 2016 ctia BO truemg BO Tai chinh Sang clan chao ban va giao dich chirng quyen c6 bao dam;
Can dr Quyet dinh sO 2399/QD-BTC ngay 21 thang 11 nam 2017 dm BO throng BO Tai chinh ban hanh Dieu le t6 chirp va hog dOng eft' a So Giao dich Chlmg lchoan Thanh phO H6 Chi Minh;
Can dr Quyet dinh s6 69/QD-SGDHCM ngay 02 thang 03 nam 2018 oh T6ng Giam doe Sâ Giao dich Chung khoan Thanh phot H6 Chi Minh ve via ban hanh Quy the them yet vã cOng b6 thong tin dai ved chung quyen c6 bao dam tai So Giao dich Chimg khoan Thanh phi) H6 Chi Minh;
Can ci h6 so dang ky them yet chimg quyen c6 bao dam dm Cong ty C6 phan Chung khoan KIS Via Nam;
Theo de nghi cua Giam doe PhOng Quan 1 va Tharn dinh Niem yet,
QUYET DINH:
Dieu 1. Chap thuan dang kyi them yet chung quyen c6 bao dam do C8ng ty C6 phan Ching khoan KlaViet Nam phat hanh:
Ten tO chirc phat hanh: Cling ty C6 phan Chtimg khofin KIS Viet Nam
Ten viet tat: KIS
Giay phep thanh lap va host dOng cong ty eluting khoan s6: 56/UBCK-GPHDICD do tiy ban Cluing khoan Nha nu6c cap ngay 05 thang 7 nam 2007
Win dieu le: 1.897.011.000.000 ding (Mat nghin tam tram chin man bay 0) khong tram muoi mat trieu clang)
HOSE_BM-7.31/1-8111-04/2018 Trang 1/2
NG GIAM DOC DOC PHIJ TFtACH
n Vii Quang Trung
Dia chi fru s& chinh: Tang 3, 180-192 Nguyetn C6ng Trir, Hwang Nguygn Thai Binh, Quan 1, Thanh pho H6 Chi Minh
Dien thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898
Dieu 2. Chung quyen c6 bao dam do Cong ty C6 phAn Chung khok KIS Via Nam phat hanh duce them yet tai S6 Giao dich Chfrng khoin Thanh phe H6 Chi Minh theo ck nOi dung sau:
Loai chi:mg khodn: Ch'ing quy'en c6 bao dam
Ten chimg quyen: Ch'ing quyen.VJC.KIS.M.CA.T.03
MA chimg quyen: CVJC2003
MA ISIN: VNOCVJC20033
Ma chUng khoan ca so% VJC
Ten te chIrc pilot hanh chirng khodn ca kr: CTCP Hang không Vietjet
Loai chimg quyen: Mua
.Kitu chimg quyen: Chau Au
Phuang thirc thuc hien quyen: Bing tien
Thai ham 04 thang
Ngay dao han: 05/10/2020
TY le chuyen del: 10:1
Gia thuc hien: 123.456 ding
Se ltrang chung ciuyen them yet: 1.500.000 chlrng quyen (Mat trieu nam tram nghin cluing quyen)
Ngay chinh thirc giao dich: 26/6/2020
Dieu 3. Cling ty CO phan Chung khok KIS Via Nam phai than this' pháp Via Nam, cac quy dinh ye chirng khoan ya thi trueng chimg Ichoin, ck quy dinh cüa Quyet dinh nay.
Thu 4. Quyet dinh nay c6 hien luc ke th ngay kY.
Dieu 5. Giant Me PhOng Quan 1 va Tha'm dinh Niem yet, Giarn doe PhOng Quin 1Y Thanh vien, Giarn, d6c Phong Giam sat Giao dich, Giam doe PhOng Thong tin TM trireng va Cong ty CO phan Ching khoan KIS Viet Nam có traeh nhiem thi hanh Quyet dinh nay./fl(
Noinhin: - Nhu diet' 5;
UBCKNN; TTLKCKVN;
- Lutz: VT, NY (08) pi
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BO fed CHINH sO GIAO DICH cHirNG iffloAN TP.HCM
Só: 339 /QD-SGDHCM
CONG HOA XA ROI CHt NGHIA VIET NAM Dc lap - Tv do - Ilsnh pink
Thanh pito Ha Chi Minh, ngay 24 thang 6 nam 2020
QUYET DINH % Chap thuh niem yet chting quyen ca halo dam
TONG GIAM DOC SO GIAO DICH CHUNG KHOAN THANK PRO HO CHI MINE
Can ca Luat Chung khoan sat 70/2006/QH11 ngay 29 thang 06 nam 2006 ctia Quoc hoi va Luat siia doi b6 sung mOt so dieu cüa Luat Chung khoan so 62/2010/QH12 ngay 24 thang 11 nam 2010;
Can cii Nghi dinh sot 58/2012/ND-CP ngay 20 thang 07 nava 2012 dm Chinh pha quy dinh chi tiet va haang dan thi hanh mot so dieu cüa Luat Chang 1(hr:ran va Lust sira d6i, b6 sung mOt so dieu cUa Luat Chang khoan va. Nghi dinh so 60/2015/ND-CP ngay 26 thing 06 nam 2015 sin d6i, b6 sung mOt so dieu cüa Nghi dinh 58/2012/ND-CP;
Can ca Thang tu só 107/2016/TT-BTC ngay 29 thing 06 nam 2016 oh BO truang BO Tâi chinh huang clan chao ban va giao dich chi:mg quyen có bao dam;
Can ca Quyet dinh s6 2399/QD-BIC ngay 21 thang 11 nam 2017 dm BO tnrang BO Tai chinh ban hanh Dieu le to chirc va hoat dong dm SO Giao dich Chang khoan Thanh pho HO Chi Mirth;
Can dr Quyet dinh só 69/QD-SGDHCM nsay 02 thang 03 nam 2018 caa Tong than doe SO Giao dich Ching khoan Thanh pith HO Chi Minh ve viec ban hanh Quy che niem yet va cong ho thong tin dal vai chang quy'en c6 bao dam tai SO Giao dich Chung khoan Thanh phO HO Chi Mirth;
Can dr h6 sor (tang 1(5/ niem yet chang quyen c6 bao dam dm °Ong ty C6 phan Clamg khoan KIS Viet Nam;
Theo a nghi cüa Giam dOc Phong Quart 1 va ThAm dinh Niem yet,
QUYET DINH:
Dieu 1. Chap thuan 'Tang lcy niem yet chimg quyen co bao dam do Cong ty C6 phan Ching Ichoan KIS Viet Nam phat hanh:
Ten th chat phat hanh: Cone ty C phin Chtitg khofin MS Vi@ Nam
Ten viet tat: MS
Giay phdp thanh lap va hoat deng c6ng ty chang khoan 56/UBCK-GPHDKD do ty ban Chung khoan Nha nuac cap ngay 05 thang 7 nam 2007
VO'n diEu le: 1.897.011.000.000 dOng (Met nghin tam tram chin meat bay ty khong tram myth mat trieu dang)
HOSE_BM-7.31/1-B H1-04/2018 Trang 1/2
7 n Vii Quang Trung
Dia chi try so. chinh: Tang 3, 180-192 Nguien Cong Tris, PhuOng Nguygn Thai Binh, Quan 1, Thanh ph6 He Chi Minh
Diên thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898
Dieu 2. Chung quyen c6 bao dam do COng ty CO phan Ching khoan MS Via Nam phat hanh dugc niem yet tai Sa Giao dich Chung khoin Thanh ph6 HO Chi Minh theo cue nOi dung sau:
Loai chirng khoan: Ch'ing quyen c6 bao dam
Ten chung quy8n: Chierng quyen.VNIVI.MS.M.CA.T.04
ma chi:mg quyen: C'VNM2006
MA ISIN: VNOCVNM20067
Ma chUng khoan co sec: VISTM
Ton tã chile phat hanh chimg khoan co s6: CTCP Sin Via Nam
Loai chimg quyen: Mua
Kieu chting quyen: Chau An
Phuang tithe thgc hien quyen: Bing tin
Thai han: 04 thing
Ngay dao han: 05/10/2020
TS, chuyen doi: 10:1
Gia thgc hien: 131.313 dong
Se lucmg chi:mg quyen niem yet: 2.000.000 chiing quyen (Hai trieu chirng quygn)
Ngay chiral thitc giao dich: 26/6/2020
Dieu 3. C6ng ty C6 phan Ch'ing khaki KIS Viet Nam phai tuan thu phip luat Via Nam, cac guy dinh ye Ching khoin va thi truOng chUng khoin, cac quy dinh eüa Quyet dinh nay.
Dieu 4. Quyet dinh nay ca hieu 1ixe ke tg ngay kY.
Dieu 5. Giam doe Phong Quan1y va Than dinh Niem yett, Giam dee PhOng Quail 19 math vien, Giam doe Phong Giam sat Giao dich, Giam doe Phong Thong tin Thi truemg va Cong ty CO phan Cluing khoan MS Via Nam c6 trach nhiem thi hanh Quyet dinh nay./.1y_
Nei nhijn: rKWXONG GIAM DOC Nhu dieu 5;
- UBCKNN; TTLKCKVN; Lin: VT, NY (08)
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BO TAI CHfNH 0:WO HOA XA HQ' CHU NGH1A VICT NAM SC1 CIAO BICH CHITNG KHOAN TP.HCM DOc 10p - Tu. do - Ranh phiic
Sa: 345 /QD-SGDHCM
Thanh pho Ha Chi Minh, ngay 24 thcing 6 nam 2020
QUYET DrNH Chip thOn them yet chiing quyen có ha° dam
TONG GIAM DOC SO GIAO DICH CHUNG ICHOAN THANH PHO HO CHI MINH
Can dr Luat Chtrng khoan sa 70/2006/QH11 ngay 29 thang 06 nam 2006 cila Quoc hei va Lust saa dei be sung met so dieu cUa Ludt Chung khan se 62/2010/QH12 ngay 24 thang II nam 2010;
Can cü Nghi dinh sa 58/2012/ND-CP ngay 20 thang 07 nal-a 2012 cfm. Chinh pith quy dinh chi tiet va huang, dan thi hanh mot s8 dieu cUa Luat Chting khan va Luat sira d6i, be; sung mOt so dieu cfm Luat Chtimg lchoan va Nghi dinh sO 60/2015/ND-CP ngay 26 thang 06 Wain 2015 slim doi, ba sung mot so dieu cUa Nghi dinh 58/2012/ND-CP;
Can di Thong tn. sa 107/2016/TT-BTC ngay 29 thang 06 nam 2016 cila BO truang BO Tai chinh huong dan chao ban va giao dich chirng quyen c6 bao dam;
Can cir Quyet dinh so 2399/QD-BTC ngay 21 thang 11 nam 2017 dm BO tnrong BO Tài chinh ban hanh Dieu le to aide va hoat dong cüa Ser Giao dich ChUng khan Thanh ph6 He Chi Minh;
Can dr Quyet dinh s6 69/QD-SGDHCM ngay 02 thang 03 nam 2018 am Tang Giam dac So' Giao clich Chung khoan Thanh pha HO Chi Mirth ye viec ban Milli Quy che niem yet va citing bot thong tin doi vOi chtmg quyen c6 bao dam tai Set Giao dich Chung lchoan Thanh pho He Chi Minh;
Can cir ha so dang ky niem yet chimg quyen c6 bao dam cila Cling ty Co phan Chimg khoan MS Viet Nam;
Theo a nghi cua Giam &tic Phong Quan 19 va Tham dinh Niem yet,
QUYET DINH:
Dieu 1. Chap thu'an (tang ky niem yet clung quyen c6 bao dam do C6ng ty CO plan Ch(ng khoan MS Viet. Nam ph& hanh:
Ten tot chirc phat hanh: Cling ty a phen Chting khoan MS Viet Nam Ten viet tat: MS
Giddy phep thanh lap va hoat deng ding ty chirng khan se: 564MCK-GPHDICD do fly ban .Chirng khoan Nba nuec cap ngay 05 thang 7 nam 2007
Van dieu le: 1.897.011.000.000 ding (Mat nghin tam tram chin mtrai bay tf, khong train mu-&i mat trieu clang)
HOSE J3M-7.31 /1-BH1-04/2018 Trang 1/2
KT. TONG GUM DOC M DOC PHU TRACH
so GIA
CHUN KHOA. THANK PH6
H6 CHI. MI
u a ng Trung
Dia chi trp so. chinh: Tang 3, 180-192 Nguyen Cong Tr*, PhuOng Nguyen Thai Binh, QuEn 1, Thanh phe H6 Chi Minh
Dien thoai: (84-28) 3914 8585 Fax: (84-28) 3821 6898 Dieu 2. Chung quyen c6 bao dam do Ging ty CO phAn Chung khoan KIS Viet
Nam phat hanh duce niem yet tai SO. Giao dich Chimg khoin Thanh phi) HO Chi Minh theo cac noi dung sau:
Loai chnng khodn: Chthig quyen ci bio dim Ten chi:mg quyen: Chltng quyen.VRE.ICIS.M.CA.T.06 MA chimg quyen: CVRE2007 MA ISIN: VNOCVRE20073 MA chtimg khoart ca so: VRE Ten t6 chile phat hanh chtimg khoan ca sac CTCP Vincom Retail Loai chtimg quyen: Mua Kieu chi:mg quyen: Chau Au Phucmg thtirc thpc hien quyen: Bing teen Thai hp: 10 thing Ngay dao han: 05/04/2021 TS, chuyen doti: 5:1 Gia thpc hien: 33.333 deng S6 lugng chung quyen niem yet: 2.000.000 chting quyen (Hai trieu chung
quyJn)
Ngay chinh that giao dich: 26/6/2020 Dieu 3. Cong ty c6 phin Chung khoan KIS Viet Nam phal than thti phip luot
Viet Nam, cac quy dinh ve chUng khoan va thi truang chimg khoin, ck quy dinh cita Quyet dinh nay.
Dieu 4. Quyet dinh nay c6 hieu hie ke t& ngay !qr. Dieu 5. Giam doe Phong Quan 1317 va Th6 dinh Niem yet, Giam Mc Ph6ng Quart
157 Thanh vien, Giam doe Phong Giam sat Giao dich, Giam d6c Phong Thong tin Thi truOng va Cong ty C phan Chung khoan KIS Viet Nam ce, trach nhiem thi hanh Quyat dinh
No'inhân: - Nhu dieu 5; - UBCKNN; - TTLKCK'VN; - Ltru: VT, NY (08)/fig
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