NGAN HANG TMCP PIIT(T TRITN TP.HCMHCMC DEYELOPMENT J, S COMMERCIAL BANK

s6, 5 K.]zozo t cV-HDBankV/v: C6ng b5 b6o c6o tinh hinh quin tri C6ng ty ndm

2019

Announcement of Corporate governance report forthe year of20l9

CQNG HOA XA HQI CHU NGHIA VIET NAMTHE SOCIALIST REPUBLIC OF VIETNAM

EQc lf p - Tr; do - Hgnh phric

Independence Freedom - Happiness

c6Nc s6 IHONG TrN TRtN cONG THONG TrN DrEN Tr,CUA OY BAN CHLNG KHoAN NHA NTI6C vA SGDCK TP.HCM

DISCLOSURE OF INFORMATION ON WEB PORTALS OFTHE STATE SECARITIES COMMISSION AND HO CHI MINH CITY STOCK EXCHANGE

Kinh gti: - Uy ban Chrimg khodn Nhir NudcTo State Se c urities C ommis s i on

- S& Giao dlch Chfng kho6n TP,HCMHo Chi Minh City Stock Exchange

T6n t6 chric : NGAN HANG TMCP pHAr rzuEN rp.ucrra (HDBANK)Name of organization : Ho Chi Minh City Development Joint Stock Commercial Bank

Mi chtrng kho6n : HDBSecurilies code : HDBDla chi t4r sd chinh : 25 bis Nguy6n Thi Minh Khai, P. Biin Ngh6, Q. l, Tp.HCMHead ofiice address :25 Bis Nguyen Thi Minh Khai, Ben Nghe Ward, Distict l, HCMC

DiQn thoqi : (028) 62915 916

Telephone : (028) 62 915 916

Nguoi ttugc ty quy6n c6ng br5 th6ng tin : Trin Hoii Nam, Ph6 T6ng Gi6m tttic

Aulhorised person to disclose the informalion: Tran Hoai Nam, Deputy CEO

Lopi th6ng tin c6ng bi5 : (X) 24h

Type ofdisclosed information : (fl 24hNGANI

Ufi6rtPHAT.]

THA}IT

Hd cHi

6(o+o

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:*

IP. I

lttl

Tp. H6 Chi l.lintt, ngityl.lQthitng I nim 2020

Ho Chi Minh City, tanuary \Q, zozo

NQi dung c6ng b6 th6ng tin:Conlenls of disclosed information :

Thgc hiQn nghia vu b6o c6o, c6ng b6 th6ng tin cta c6ng ty niCm y6t theo Th6ng tu s6 155/201sfft-BTC

ngdy 06/10/2015 cria BQ Tii chinh, Ng6n hing TMCP Ph6t tri6n TP.HCM (HDBank) c6ng b6 brio ctio

tinh hinh quin tri c6ng ty n[m 2019.

In compliance with the obligation of information disclosure by listed companies stipulated in Circular

No. 155/2015 / TT-BTC dated 06/10/2015 of the Ministry of Finance, Ho Chi Minh City Development

Joint Stock Commercial Bank discloses lhe corporate governance reportfor the year of 2019.

Th6ng tin niy dugc c6ng bi5 trCn trang th6ng tin tli€n tt cta HDBank tqi duong din:

This information will be published on HDBank's website at:

Duong din Tiilng ViQt: httos://www.hdbank.com.vn/vilinvestor/thong-tin-nha-dau-tu/ouan-he-co-

dong/cone-bo{hong{in-thong-tin-khac

thon s4 i n- t hon g- t i n - khac

HDBank tlinh kim Bilo c6o ndy vd cam k6t ciic th6ng tin c6ng b6 tr6n tl6y ld tltng sU thAt vd hodn todnchiu tnich nhiQm trudc ph6p luit v6 n6i dung c6c th6ng tin tl6 c6ng b6,.

HCMC Development Joint Stock Commercial Bank attaches herewith the Report and commits thal the

information stated above is tue and takes full responsibilities legally for the contents of the informationdisclosed.

Noi nhqn:Recipients:

- 0y ban Chimg khodn Nhd nudc- State Securities Commission- Sd Giao dlch Ching khodn Tp.HCM- Ho Chi Minh City Stock Exchange- Lru: Vdn thu- Filed: BOD's Secretary

NGAN HANG TMCP PHAT TRIT,N TP.HCMHCMC DEVELOPMENT J.S.COMMERCIAL BANK

PHo TONG GIAM D6CDEP EXECATIVE OFFICER

HOAI NAM

u

o

IrEhpH6

ot*

t ttl

PH/iTTREh

NGAN

liTHAII PHO

Hd cHi

mc0'

,li -*

HDBan;1wCom k€t lqi ich (oo nh6t

coNG HOAXAHQT CHUNGHiAvTE,r NAM

DQc lgp -Tgdo-Hgnh phric

s6: 08 2s2gl86-Hpq, Tp. Hi Chi Minh, ngay.!)thdng1Jndm 2020

sAo cAo riNn uiNH euAx rru c6Nc ry Nrtnr ytr(Giai tto4n tir 0ll0lt2lt9 din 3Ut2DOt9)

Kinh grli: - Uy ban Chring kho6n Nhd nu6c

- Sd Giao dich Chimg kho6n

T6n c6ng ty ni6m yi5t Ngan hang TMCP Ph6t tri6n TP.HCM

Dia chl t4r sd chfnh; 25 Bis Nguy6n Thi Minh Khai, p.B6n Nghd, e.t, TP.HCM

Ei6n tho{.' (08) 62 915 916 - Fax: (08) 62 915 900

Email: vanphonglanhdaohdbank@hdbank.com.vn

V6n diAu lQ: 9.809.999.790.000 d6ng

Mi chrmg kho6n:HDB

Ngdy cdp ph6p niom y6t: 25fi2t2017

Ngdy giao dich <lAu ti6n: 05/01/2018

I. Hogt ttQng cta D4i hQi it6ng c6 d6ng

Th6ng tin v6 u4c cuQc hgp vd Nghi quyiit/quy6t dlnh cta D4i hQi d6ng c6 d6ng thuong ni6n, cu

th6 nhu sau:

STTs5 xgnl quy6v

quy6t aintNgav NQi dung

0l0r/2019NQ-

DHDCD 23104t2019NQ DHDCD w th6ng qua 86o c6o ho4t clQng ctaHDQT HDBank n6m 2018

1

020212019NQ-

DHDCD 23t04/2019NQ Vv th6ng qua B6o.cio k6t qui hoat clQng kinh

doanh nim 2018 vd K6 hoach kinh doanh n[m 2019

03/20l9NQ-DHDCE 23/04t2019

NQ DHDCD w th6ng qua 86o c6o cria Ban ki6m so6t

nlm 2018 vd 86o crio Ki6m torfu:r dQc l4p ni6n d6 201 8

cta EY

0404/2019NQ-

DHDCD 23/04t2019NQ EHDCD w thdng qua Phunng 6n phan ph6i lqi

nhuQn n[m 2018

0505/2019/NQ-

DHDCD 23/04t2019NQ DHDCD w tdng V5n didu lQ ndm 2019 ctaHDBank

0623/04120'.t9

NQ DHDCD w thdng qua mrlc thi lao, phu c6p

chuyCn tr6ch cta HQi ttdng QuAn tri, Ban Ki6m so6t vir

Qu! ho4t ilQng cta HQi d6ng Quan tri n5m 2019

0707/20i9NQ-

DHDCD

23104120t9

NQ DHDCD w th6ng qua n6i dung giao vd [y quydn

cho HDQT sua ttQi, b6 sung nginh nghd kinh doanh t4iDi6u lQ, cQp nh$t uic thay <t6i cria quy tlinh ph6p lu{ttei Didu lc, Gi6y phdp, GiAy chung nh{n deng kf kinhdoanh crla HDBank vd sta d6i, b6 sung Didu lQ

0808i20l9NQ-DHDCD 2310412019

NQ DHDCD w th6ng qua nQi dung giao vA rly quydn

cho H?QT luv6t dinh c6c vdn dd ti6n quan d6n hoat

dQng diu tu cria Ngin hdng

0909/2019NQ-

DHDCD 23/04t2019

NQ DHDCD w thOng qua nQi dung giao vd iy quydncho HDQT quy6t tlinh c6c v6n tl6 li6n quan d6n C6ngty con, C6ng ty li6n k6t

10l0/2019NQ-

DHDCD 23104120t9

NQ DHDCD w.th6ng qua nQi dung giao vd iy quyilncho HDQT quy6t dinh cric vin dd lien quan d6n chi6nlugc phrit triOn cta HDBank

11l l/20l9NQ-EHECE 23104/2019

NQ DHDCD w th6ng qua nQi dung giao vd ty quydncho HDQT tham gia chuong trinh t5i co c6u

t2l212019NQ-

DHDCD 23/04120t9

NQ DHDCD w th6ng qua n$i dung giao vi ty quyiincho HDQT quy6t <linh c6c v6n dd lien quan d6n i6tgiao dlch v6i <liii t6c

l3120r9NQ-

DHDCD 23t04/2019NQ DHDCD w th6ng quaThanh viOn HDQT dgc l{p

mi6n nhiQm chfc danhtl6i voi 6ng Lf Vinh Quang

t4l4l20l9NQ-DHDCD 08/1012019

NQ DHDCD w th6ng qua phuong 6n mua l4i c6 phitiucta HDBank ldm c6 phi6u qu!

l5l5/20l9NQ-DHECD 08110t20t9

NQ DHDCD w th6ng qua viCc sua d6i, b6 sung DidulQ HDBank

2

03

06/2019NQ-

DHDCD

l3

t616/2019NQ-

EHDCE 08/1012019NQ DHDCD w rh6ng qua vi6c suad6i giriy phdp thanh lAp vd hoat dQn

1,1. ' ,i . '(oor, Do sung va capg cta HDBank

II. HQi ildng qunn tri (B6o c6o niim 2019):

1. Thdng tin vd thanh vi0n H6i ddng qudn tri (HDeT);

NIm 2019, HQi ddng Quan tr! HDBank cl6 t6 chric 09 cuQc hop, cu th6 nhu sau:

Thinh vi6n HDQT Chri'c vg Ngny bitiliu/kh6ng

cdn lh

thhnh vi6n

HDQT

s6 bu6i

hqp

HDQT

tham

du

rirctham

drf hSp

Ghi chf

1 Ba LC Thi Bdng TAm Chri

HDQT

tich sit dAu

22110t2010

09109 100%

2 Bd Nguyen Th! Phuong Thio Ph6 Cht tich

Thudng truc

HDQT

sit ddu

30/06/200s

09t09 100%

3 Ong Luu Dtc Kh6nh Ph6 Cht tich

HDQT

s6t eAu

0310712009

09t09 100%

4 Ong Nguy6n Thdnh E6 Ph6 Cht tich

HDQT

Thdnh viOn

HEQT tlOc

l0p

git aAu

211041201',r

08/09 88,89%

5 Thanh vi6n

HDQT ki6m

-it ong ulam

doc

Bit dAu

3v12120t0

09109 100%

Bi Nguy6n Thl T6m Thdnh vi6n

HEQT

Bat dAu

26/04t2013

09t09 r00%

7 Ong Lim Peng Khoon Thinh viOn 07/09 100%

I

J\

3

I

srr I

Ong Nguy6n Htu Dlng

6

sit dAu

STT Thirnh vi6n HDQT Chirc vg Ngny b6t

tliu/kh6ngcdn llr

thAnh viOn

HDQT

^r. i.so buol

hgp

HDQT

tham

dq

Ti IQ

tham

du hgp

Ghi chti

HDQT

8 Thinh vi6n

HDQT

sit dAu

25/0412014

06109 Ving m{t c6 ljdo. Uy quydn

cho PCT

Thuong trgc

HDQT thay mft

tham dg phiOn

hAp ngdy

22t04t2019

9 6ng Lj Vinh Quang Thinh

HEQT

l4p

vi€n

d0c

eit dAu

21t04t2017.

Kh6ng cdn

tir ngay

23t04/2019

0U07 t4,29% Ttr nhi0m li TV

HDQT k6 tir

ngdy 23104/20t9

2. Hoat <tOng gi6m s6t c0a HDQT d5i v6i Ban T6ng Gi6m d6c.'

Trong ndm 2019, HOi d6ng Quan tr! dd c6 09 cuQc hgp.

C6c cuQc hgp HDQT de t{p trung giei quy6t c6c v6n dd treng tam liOn quan tliin chi cl4o t6 chfc

DHDCD thuong ni6n ndm tAi chinh 2018; xAy dyng vd tri6n khai k6 hoach kinh doanh ndm 2019

vd chi6n lugc kinh doanh giai doqn 2017 -2021 theo ph6 duyet cia DHDCE; chi dpo s6t sao viQc

thgc hiQn k6 hoach kinh doanh, tridn khai c6c nhiQm W trgng tam tr6n toin hQ th6ng Ngdn hnng

vd thgc hiQn c6c Nghl quyiit cria DHDCD thudng ni6n ndm tii chinh 2018, gi6m s6t, chl ttgo vioc

thUc hign c6c cdng viQc liOn quan d6n viQc 6p dpng chuAn mgc BASEL II vio hoat clQng ngAn

hdng, c6c vAn dA tien quan d6n nhdn sg thuQc thAm quyAn quy6t Cinn cta HDQT... C6c ngh!

quy6t rlugc IIDQT thSng nh6t dua ra t4i c6c cuQc hqp ld nhtng dinh hudng quan trgng gifp Ban

DiAu hanh ti5 chric thlrc hiQn nhiQm vg kinh doanh mQt c6ch hiQu quA. Ngodi ra, trong c6c cu6c

hqp cta HDQT ctAu c6 sy tham gia cria Trudng BKS vdi vai trd b6o c6o gi6m s6t tinh hinh hoat

dQng cta HDBank trudc HDQT.

4

25/0412014

6ng Chu ViQt Cuong 66,670/o

3. Ho4t ttQng cta c6c Uy ban thuQc HQi tl6ng quAn tri:

rd ttr dAu nlm 2019, c6n ct rh6ng ru l3l2018 crja NHNN, HDer HDBank ttt ra euy6t dinh

thanh lip m6i c6c Uy ban chuy6n m6n thuQc HDeT. HiQn, HDBank c6 5 Uy ban tryc thuQc

HEQT bao gdm: Uy ban Nh6n sp, Uy ban Qudn lj nti ro, Uy ban Tin dung, Uy ban Chiiin luo.c

vi DAu tu, Uy ban C6ng nghQ NgAn hang. C6c riy ban duy tri hopt cl6ng rhudng xuy0n, ho4t

tlQng theo Quy chii t6 chrlc vi ho4t rlgng do HEQT ban hinh. C6c Uy ban t6 chric hqp dlnh k!vdi mpc tlich tu vAn vd <ld xu6t cho IIDQT c6c v6n dd thuQc thdm quydn, Ii6n quan c6ng rrlc

quin trl, <tidu hanh ngAn hAng.

Nem 2019, c6c Uy ban thuQc HQi d6ng Quan tri il6 hoat ctQng c9 thd nhu sau:

I . Uy ban Nhdn su:

Trong n6m 20l9,HDBank ti6p tuc dugc T6 chfc HR Asia lan *rt trai trao giii thudng ling6n hang co m6i trudng ldm viQc t6t nh6t chau A. Tuy nhi6n ban ldnh c14o HDBank kh6ng dimg

lai d viQc beng ldng v6i nhirng gi tlang c6 mi lu6n dua ra nhidu chinh s6ch t6t hon nta d6 tgo

m6i trudng lim vi6c v?r nhidu ctr6 d6 phric lqi ngny mQt t5t hor cho CBNV.

Trong n6m 2019 HDBank b8t dAu x6y dgng vd triiin khai Chuong trinh ddng hanh cing

don vi kinh doanh nhim ndng chAt lugng vi dich vg nhAn sg chuAn mlrc hon, chuydn nghigp

hon. QuAn lj c6p Phdng vlr Ban gi6m d6c rcr6i Nhdn su thuong xuy€n tryc ti6p di tdi m6i don

vi, tim hi6u vA ghi nhin tinh hinh nhAn sg cria don vi d6 kip th<ri ph6i hqp ctng don vi xrl l;i cic

cdng viQc li6n quan tt tuy6n dgng, ch6 itQ chinh s6ch, luong thudng....Ndm 2019 Ban gi6m d6c

Kh5i da tdi vi lim viQc trgc ti6p voi 60 Chi nh6nh/Phdng giao dich trong cd nudc. T6ng s6 tuy6n

dung dugc thanh c6ng ld 1.2143 (tinh dtin cu5i th6ng 11). Thang 10/2019 wa qua, Kh5i NhAn sg

ph6i hqp v6i Phdng PR Marketing l6n diu ti6n tii chrlc Chucrng trinh CEO' Speakout - N6i

thing n6i thflt vdi T6ng gi6m d5c. Chuong trinh tl6 nhfn dugc sU quan tam, d6n nhQn nhiet tinh

tu c6n b0 nhAn vi0n vi ghi nhfln ttugc nhidu j ki6n d6ng g6p hay, thi6t thyc.

HDBank cfrng <15 vd dang hoan thiQn ch6 d9 luong, thuong nhim thu htt va git chAn ngu6n nh6n

sg chAt luong cao gan b6 wi HDBank, huong tdi mgc tiOu "tlem l3i lgi ich cao nh6t" cho m6i

CBNV vi ph6n d6u trd thdnh mQt trong nhtng ng6n hang thuQc Top d6n dAu trd luong cao nh6t

trong hQ th6ng c6c ng6n hang tai ViQt Nam. Cu th6, tinh d6n thang 11/2019 todn hang co 1.715

CBNV <lugc nAng luong dya trOn nhtng d6ng g6p vd thinh tich xu6t sic trong c6ng viQc vdi tjtO ndng luong trung binh ld 15%. Dya tr6n k6t quA hoat tlQng kinh doanh, Kh6i Nhan sg cfing tli

trinh Ban l6nh rl4o ph6 duyQt chi thuong 06 th6ng dau n5m cho m5i CBNV nua thring luong.

NgoAi ra ndm 2019 c6c CBNV c6 thdi gian giin uo voi t{gan hing tri 5 n[m tro [6n ben cph bio

5

hi6m b6t buQc cdn duo. c mua th6m bdo hi6m stc kh6e vd bAo hi6m tai nan 2417. Kh6i Nh6n su

ctng dang tich cgc Xdy dpng co ch6 lu<rng mdi theo hu6ng luong gin vdi hiQu quA c6ng viQc vi

ki5t qu6 kinh doanh, dU ki6n sE tri6n khai 6p dpng vio Quj IV2020.

COng tic ttdo t4o crla HDBank cflng lu6n dugc quan tdm vd chti trong, b6n canh vi6c thuong

xuy6n t6 chtc c6c kh6a ddo tgo tt co bAn diSn ndng cao, ti6p tpc duy tri c6c Chuong trinh ddo tao

lon nhu "C6n bQ ngudn", xAy dpng Khung tldo t4o cho Chuong trinh "Hpt gi5ng l6nh dao", ndm

2019 HDBank cdn bit dAu xdy dpg c6c chuong trinh ddo t?o tryc tuyisn, thi ontine, ..... nh6m

girip CBNV tham gia tlugc nhiAu chuong trinh dio tao, hoc tip ph6t tri6n bAn thAn mQt c6ch

thu6n lgi nh6t nhung khdng inh huong ttiin thdi gian ldm viQc hay nghi ngoi.

6nl rul

Trong ndm 2019,Oy ban QLRR (<lugc thinh ldp mdi vi ho4t ttQng theo Th6ng tu 13 cria

NHNN de ti6n hdnh hgp lang quf, vdi sU tham dU c0a thanh vi6n HQi ddng qudn tri chuy€n

tr6ch QLRR (Cht tich Uy ban QLRR), Ph6 cht tich HDQT, thdnh vi6n HDQT, Ph6 TGD phs

tr6ch QLRR, P.Gi6m d6c Kh6i QLRR ve mot s5 lanh cl4o cria c6c Phdng ban li6n ban (n6u trdn).

3. Uy ban Tin duns:

- Khrich hAng Doanh nghi6p: Trong nlm 2019, UBTD da cri nhAn sg tham gia gi6m srlt vA thgc

hi6n cs ch6 gi6m s6t/ th6ng qua 179 c6c h6 so c6p tin dgng, thay d6i didu kien c6p tin dung

KHDN vd ttinh ch6 tdi chinh trong pham vi thAm quy6n.

- Kh6chhdngC6nhAn:Trongndm20lg,UBTDdSt6chric3g2phi6nhgpph6duyQthdsoc6p

tin dung diii vcyi kh6ch hing c6 nhAn trong pham vi thAm quy6n;

4. Uv ban Chi6n luoc vd DAu tu

Trong nim 2019, Uy ban Chit5n luoc vi Edu tu dd t6 chric 04 cu6c hop voi su tham

gia dAy chi cta c6c thdnh vi6n trong uy Ban d6 thao ludn nhfng v6n dd licn quan d6n vi6c thuc

hi6n chi6n lu-o. c phrit tri6n vi ddu tu cria HDBank trong n[m 2019 vd giai doVn20t7- 2021).

U ban C6n n

Trong n5m 2}19,,ity ban Cdng ngh6 dd t6 chtc c6c cuQc hop dinh k! m6i euf vdi sgtham gia cta Ban lanh rl4o Kh6i CNTT&NHET cing c6c thinh vi6n HEer d6 dlntr huong,tham v6n, cip nhit tinh hinh c5c du rin, chi6n luo. c trgng ttidm li6n quan d6n c6ng ngh6 ctaHDBank cfing nhu dudi g6c dQ Tdp donn nhu: E-wallet/ Loyalty, Mobile Banking, website,Paperless, Vietjet Sky Club, hQ th6ng Th6, hQ th6ng Core Banking cho HDSaison... . D6ng thoiUBCN cing tham v6n, hoach tlinh chi6n luo. c c6c myc ti6u c6ng ngh6 cho HDBank vi rfp rlodntrong n6m 2020 vd giai doan 2020 - 2021 .

6

4. CAc Nghi quy6tlquy6t ainn cria HQi d6ng qudn tri (nim 2Ot9): phu luc I ilinh kem

IIL Bau ki6m soit

1. Th6ng tin vd thanh vi6n Ban Ki6m so6t (BKS):

STT Thinh vi6n BKSChrlc

vt1 Position

Ngey b8t

dAu/kh6ng cdn

ld thdnh vi6n

BKS

^t, i.so buor

hgp BKS

tham dy

Ti l9 tham

dU h-op

Lj do

kh6ng tham

du hsp

1

Ong Dio Duy

Tuonglr,o-rr*lKi6m

sorit03/t2t2010 4/4 t00%

2Bi Nguy6n Thi

PhUng

lrn*n u,un ""n

Iti6m soat23/07/2008 314

3Bd Nguy6n Thi

Tich

lrh*n r,un u*lri6m

soet26t04t2013 100%

2. Ho4t <lQng gi6m s5t cria BKS d6i v6i HDQT, Ban T6ng Gi6m tt6c vi c6 ddng:

- Gi6m s6t ho4t dQng c6ng b6 th6ng tin vi quan hO c6 d6ng cria c6ng ty.

- NhAm bno ve lqi ich cho c6c c6 d6ng, trong n6m, BKS dai diQn cho Eai hQi ddng c6 d6ng

HDBank (EIIECE) thUc hiQn gi6m s6t c6ng t6c qu6n tri dieu hdnh cria HOi ddng quan tri

GDQT) vd Ban didu henh @EH) nhim <lqt clugc nhiing msc ti6u hdnh <lQng duqc DHECE

th6ng qua tt dAu nim. Ddng thdi, BKS trgc ti6p cht ttlo Kii5m to6n nQi bQ (KTNB) thgc hiQn

ki6m tra gi6m s6t tinh tuan thri cria HDBank d5i vOi nghi quy6t "ta

EHDCE, quy dinh crla

ph6p lu{t, didu lQ ng6n hang, chir trgng gi6m s6t c6c chi s6 an toan hoat dQng vd c6ng t6c xr}

lf ng xAu toan hdng; Thgc hiQn thAm tra b6o c6o tdi chinh, cl6nh gi6 tinh hqp tj, hqp ph6p,

trung thgc, vd mfc dQ cAn trgng trong c6ng t6c k6 to6n, th6ng k0, lQp b6o c6o tdi chinh. Cin

cti k6t qud ki6m tra gi6m s6t, hQ th6ng kidm so6t nQi bQ ngan hang duqc danh gi6 nh|n dinh

toin diQn, tir d6 BKS ki6n nghi Ban diAu hdnh c6 c6c diAu chinh b6 sung phtt hqp nhim ndng

cao an toen ho4t dQng todn hQ th5ng

- Tri6n L'trai c6ng tac ki6m to6n nQi b0 theo kt5 hoach. K6t qud ki6m toan tlu. c th6ng tin d6n BKS

thudng xuy6n th6ng qua clc b6o c6o ki6m toan theo doan, b6o c6o ki6m tra tlQt xu6t, b6o c6o

t6ng hoo t6t qria ki6m toAn hang quj, b6o ctio n5m. TU d6 BKS da kip thoi chi d4o, clinh

huong, h6 trq kip thoi cho KTNB girip c6ng t6c KTNB ndm 2019 <lu-o. c hoan thanh theo k6

hoach dd ra. BKS ttd chi tlao KTNB thi6t hp b6 sung, didu chinh b6o c6o quan tri, b6o c6o dinh

7

100%

4/4

ki, thuong xuyOn, ddm bdo c6c ph6t hiQn trgng yiiu cria KTNB lu6n tlugc BKS n6m bit, trao

d6i kip thdi d6n Ban di6u hanh, HQi ddng quAn tr! tai cec cuQc hgp nham co nhtng giAi ph6p

diAu chinh, cAi ti6n ndng cao hiQu quA ho4t ilQng toan hdng.

- Trong ndm 2019, HDBank tl6 rd so6t l4i bQ m6y hoqt dQng cfing nhu qui dinh hiQn hanh' tu d6

c6 nhtng co cAu l4i bQ m6y, hoan thiQn ban hinh b6 sung, ban hanh m6i nhtng qui dinh ti6n

quan nhim tt6p tmg theo y6u cAu hQ th6ng ki6m sorit n6i b6 tai Th6ng tu 13/2018/TT-NHNN

(TTl3). BKS il6 chl clqo KTNB thulng xuy6n gi6m s6t c6ng tac chuAn bi tri6n khai hQ th6ng

ki6m so6t n$i b0 theo TTl3 cfrng nhu tri6n khai Baselt II. Ddng thdi BKS t6 chric bQ mdy

KTNB, b6 sung ngu6n luc, teng cu&ng c6ng t6c <lio tpo nhim thuc hiQn c6ng t6c KTNB theo

dring y€u cAu cria TT13. Bdn c4nh d6, KTNB cfrng dd hoi,n t6t 86o c6o gui NHI.IN vtl d6nh

gi6 ho4t <t$ng tj le an toen v5n theo TT41 trudc khi HDBank dugc NHNN chAp thufln thr?c 6p

dpng chinh thirc.

- C6c c6ng t6c ki6m tra gi6m s6t kh6c theo quy <tinh cta NgAn hdng Nhi nudc.

3. Sy phSi hqp ho4t dQng gita BKS d5i v6i ho4t <t6ng cta HDQT, Ban T6ng Girim d6c di6u

hanh vd c6c Can bQ Quan lj kh6c:

- FDQT, Ban di6u hanh da ph6i hqp t6t v6i BKS, h6 trq t4o didu kiQn cho BKS hoin thanh

t5t nhiQm 4r ki6m tra girirn s6t ho4t tlQng ng6n hang theo dtng quy dlnh ph6p luit, DiAu lQ ng6n

hang vi quy ch6 hoat dQngBKS. BKS thudng xuy6n tham gia c6c cudc hgp cria HDQT, qua tl6

nim Uit klp th&i tinh hlnh ho4t dQng, dinh huong chi6n lugc, tlnh hinh tii chinh, an toan hoat

dQng cta ngdn hing. Tgi c6c cuQc hgp, c6c ki6n ngh! crla BKS dAu ttugc HDQT, Ban didu hinh

ti6p thu vi chi dp d6n c6c phdng ban li6n quan nghidm tric thyc hiQn, phin hdi kip thdi d6n BKS

th6ng qua KTNB.

4. Hoat d6ng kh6c cria BKS: kh6ng cd

IV. Dio tgo vd qu6n tri c6ng ty..

C6c kh6a deo tao vd quan tri c6ng ty md c6c thanh vi6n HDQT, thenh vi6n BKS, Gi6m d6c

[6ng Gi6m d6c) didu hAnh, c6c c6n bQ qu6n lf kh6c vi Thu kj c6ng ty da tham gia theo quy

dlnh vA quan tri c6ng ty: Kh6ng c6

V. Danh sfch vd ngudi c6 ii6n quan cfra c6ng ty ni6m y5t theo quy rtinh tgi khoin 34 Didu 6

LuQt Chftng khodn @6o c6o 6 thing/nlm) vir giao dich cta nguoi c6 li6n quan cria c6ng tyvdi chinh C6ng ty

1. Danh s6ch vA ngudi c6 li6n quan cria c6ng ty: Phu lgc 2 tlinh kdm

8

2. Giao dich giira c6ng ty voi nguoi c6 li6n quan cta c6ng ty; holc giira c6ng ty voi c6 d6ng

lon, ngudi nQi bQ, ngudi c6 li6n quan cria ngudi nQi bQ: phg luc 2 dinh kdm

3. Giao dich gifta ngudi n6i b6 cdng ty nidm yiSt, ngudi c6 liOn quan cta ngudi nQi bQ v6i c6ng

ty con, c6ng ty do cOng ty niOm y6t nim quydn ki6m so6t: phg luc 2 dinh kdm

4. Giao dlch giira c6ng ty v6i c6c d6i tuong kh6c

4.1. Giao dich gita c6ng ty voi c6ng ty md thanh viOn HDQT, thanh vi6n Ban Ki6m so6t, Girim

d6c (T6ng cirim d5c) di6u hanh ild vd ttang ld thinh vi6n sang l6p hoac thdnh vi6n HDQT, Gi6m

diic Q6ng Gi6m d5c) diAu hanh trong thdi gian ba (03) ndm trO lqi rtAy (tinh tai thdi di6m lap

b6o c6o): Kh6ng cd

4.2. Giao dlch gita c6ng ty voi c6ng ty mi ngudi c6 li6n quan cria thdnh vi6n HDQT, thanh

vi6n Ban Kiiim so6t, Gi6m <t6c g6ng Gi6m d6c) didu hdnh ld thinh vi6n HDQT, Gi6m tl6c,-i r. ' ..1 '( r ong ufam ooc) oleu nanni Khong co

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c6

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thing/nim)

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4 33/2019/QD-HDQT 27/02/20t9 QD w thay d6i dla tli6m PGD Y6n Phs

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7 4sl2019/QD-}DQT QD vv phSt hinh 5000 tj.ddng trAi phiiiu - l6n 2 - ndm 2019 tl6 huy cl6ng viln

8 48/2019/QD-IDQT QD vv thay d6i tcn, dia diiim PGD Minh Khai

9 4912019/QD-IDQT 03104/2019 QD w thay d6i ttia di6m PGD Chiu Phri

l0 s0/2019/QD-[{DQT 03/04/2019 QD w thay d5i ten, tlla di6m PGD Hang Budm

_i1

PHU LUC T: CAC NGHI QUYET, QTIYET DINH COA HOI EONG QUAN TRI NAM 2019

(Dinh kim 86o c6o Tinh hinh Quin td c6ng ty s5 .O$..tzozOnC-HDQT ngiyJo. t2lt2020)

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6

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t2 52l2019/QD-rDQT 03/04/2019 QD w thay d6i ten ggi, ttia tti6m PGD Hoang Hoa Th6m

t3 t8/04t2019 QD vv thay d6i tCn, itia cliiim PGD Kham Thien (CN Hd Guom)

t4 75l2019/QD-rDQT 08/05/20t9 QD w ph6t hanh 2000 tj tl6ng tr6i phi6u - lAn 02 - ndm 2019 tlii huy ttQng v6n

91/2019/QD-[rDQT 28/0512019

16 92120r9IQD-IDQT 28/05/2019 QD w thay d6i dfa di6m PGD Thri Etc (CN HiQp Phir)

t7 104/2019/QD-rDQT t8/06/2019 QD w mua l4i trSi phii5u HDBank do Ngin hnng TMCP Ph6t tri6n TP.HCM ph6t hdnh

l8 107/2019/QD-HDQr 24/0612019 QD w thay d6i dia di6m PGD Long Bi6n (CN Hodn Ki6m)

l9 108/201g/QD-TIDQT 24/06/2019 QD vv thay tltii tlia di6m PGD Phudc Long (CN HiQp Ph[)

20 109/2019/QD-IDQT 24/06D019 QD w thay d6i dia tliiim CN Ki6n Giang

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22 132l2019/QD-[rDQT t7/0712019 QD Vv thay d6i dia tti6m Phdng Giao dich Thrl Duc

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24 134/201g/QD-ITDQT 23/07/2019 QD vv thay d6i dia di6m PGD Thanh Binh - CN Ddng Nai

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21 14sl2019/QD-rDQT t2/08/2019 QD Vv thay tt6i t6n, tlia di6m PGD Sd Sao

28 14612019/QD-IDQT t2/08/2019 QD Vv thay d6i dia di6m PGD Thio Di6n

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35 2711201g/QE-HDQT 30/Lv2019 QD w trii b6 nhiem Ph6 T6ng Gi6m d6c - Nguy6n Doan Duy Ai

13

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