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36: OLl20l7llvBS/I{DQT-BC HdNQi,ngayLJthdng 0lndm2017

BAo cAo rixs siNH euAN rRI cONG ry NrEM rrtr(Nnm 2016)

Kinh gui: - Uy ban Chung klroin Nhd nudc- Sd Giao dich Chtrng kho6n TP. Hd Chi Minh- Sd Giao dlch Chtrng kho6n Hn NQi

- Trung Tdm Luu ky Chung ktro6n ViQt Nam- Uy Ban Girim s6t Tii chinh Qu5c Gia.

- T6n c6ng ty ni6m y6t: COng ty C6 phin Chung kho6n MB

- Dia chi tru sd chinh: Tdng M-3-7 Tda nhn MB, 55 3 Li6u Giai, Ba Dinh, Hn NQi

- Di0n thoai; +84 43726 2600 Fax: +84 4 37262601 Email:

- V5n didu l0: 1.221.242.800.000 ddng

- Ml chung ldoan.' MBS

L [{ogt itQng cria D4i hQi d6ng c6 il6ng

Th6ng tin vA c6c cuQc hqp vn Nghi quyiiUQuyiit ainn cta Dpi hQi d6ng c6 tl6ng (bao gdm ci c6c Nghi quy6t

cria D3i hQi ddng c6 d6ng ttuqc th6ng qua du6i hinh thtc Hy j ki6n bing vnn bnn)

II. HQi ddng quin tri (86o c6o nim 2016)..

L Th6ng tin vi thinh vi6n HQi tt6ng quin tri (HDQT):

stt s6 xg4 quy6v

Quy6t dinhNgnv NQi dung

0l0l/20r6a,IBS/DrDCE-NQ

t5/04/2016

- Th6ng qua b6o crio hoAt dOng ntrm 2015 cna HQi ddng quin ti vib6o c6o tinh hinh quAn ti C6ng ty nlm 20 I 5 ;

- Th6ng qua b6o crio hqt ttQng nlm 2015 cria Ban ki6m so6!

- Th6ng qua b6o c6o tli chinh nim 2015 ttn tlugc ki6m to6n;

- Th6ng qua b6o c6o k6t qun hopt ttQng nem 2015, kd ho4ch kinhdoanh nim 2016

- Th6ng qua phuong 6n phen ph6i lqi nhufln nem 2015

- Th6ng qua vifu riy quyAn cho IDQT IUa chgn mQt c6ng ty ki6mtoin

- Th6ng qua vipc sua d6i DiAu lO va riy quyAn/giao nhiQm vu cho HQi

ddng quin ti thrrc hiQn r.i so6! sria tt6i, M sung Didu lQ

- Th6ng qua vift miSn nhiQm cic thAnh vi6n HDQ! BKS ttuongnhiQm vd th6ng qua kCt qui biu ct thay d6i th}nh vi6n [DQT, BKSC6ng ty C6 phAn Chung kho6n MB nhi6m kj 2013-2017.

Stt Thdnh vi€n IIDQT Chtic w

NgAy bitdAu/kh6ng cdn

ld thAnh vi€n

HDQT

si5 bu6ihqp HDQT

tham dU

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tham dgh9p

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I Bd Cao Thl Thriy Nga Chi tich t5l04D0r6 5 l00o/oTir nhiem HDQT nr

t5l04D0t6

2 Ong Hodng Minh TuAn Ph6 Cht tich t5/04r2016 5 l00YoTir nhiQm IDQT ttr

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3 Bd DoAn Kim Dung Thinh vi€n 15t04D016 I 20%Di c6ng t6c; Tir nhi{mI{DQT tir 15t04t2016

4 Ong rrln Uai Ur Thdnh vi€n 28/04t2014 5 t00%

5 Bn D{ng Thriy Dung Thinh vi€n 28/04t2014 5 100%

Tir ngly 15/0412016 ddn ryty 311121016

6 6ng L€ Qu6c Minh Chrl tich t5/04t2016 4 100%86 nhiem vao HDQT tt

15104D016

7 6ng V[ Thtnh Trung Ph6 ChU tich r5l04D0t6 4 100%B6 nliem vao HDQT tt

t5t04a0t6

8 Ong Pham ThC anl Thinh vi€n 15/04t2016 J 7 5o/o86 nhiem vao HDQT tir15/04D016;Di cbngtAc

9 Ong rran Ua ra Thinh vi€n 28/04/2014 4 100%

l0 BA Dlng Thrly Dung Thdnh vi€n 28/04D014 4 l0jYo

2. HoSt tlQng girfun s{t cria HDQT d5i vdi Ban T6ng girim d6c: J. i' '

- c6ng tric gi6m &et tuan tht cric chi tlao cta IDQT tong nem 2016 ti6p tuc ttuqc chi trgng thgc hiQnm?nh m6, quy& tqg aem bio tAt cA c6c Nghi quy6g euy6t dinh, chi ttso cria IDeT, Chri tch IDeTtlugc gi6m slt thgc hiQn chit chE, thucmg xuyen ve 16 f6ch nhiem.

- IDQT th chi tlgo vl theo set Ban T6ng gi6m <t5c tong vipc t6 chric hgp DIDCE thuong ni€n ndm2016 tlring theo quy dinh cua phip luft hiQn hlnh vio ngdy 15t0412016.

- Tai aic phi6n hgp dinh ki, IDQT c6ng ty dau tiiin hanh th6ng qua bdo eio k6t qui ho4 tlOng kinhdoanh cia quf vi ban k6 hoph giai ttoan sau do Ban T6ng girim d6c trinh biy. c6c cuQc hqp ddutluo. c thio lufn din chri, c6ng khai vi c6 trdch nhi6m cao.

- Ban T6ng gi6m d6c tte tri6n khai ho3t tlQng kinh doanh theo tlinh hu6rng chi6n luqc dei hao cta MBS,d6ng th&i n6ng cao c6ng tdc quin l!, quan tri rui ro vl ki6m so6t rui ro.

- viQc b6 nhiem, miSn nhiQm crc chric danh cdn bQ quen lf cria c6ng ty theo ding trinh qr vi.ffingquy tllnh cria Dilu lQ.

- C6ng tdc quAn ti c6ng ty cria IDQT tlugc duy tri, cring c6 vl lu6n d6i m6i nhim Cep ung y6u cluc6ng viQc vi thuc tiEn kinh doanh. Nhin chung, hopt tlQng gitim sit tlugc ti6n hAnh chnt ch6 theo tftingquy ctinh cria Phip luft vi Eidu lO C6ng ty.

Theo d6nh gi6 cna HDQT, t6t ca c6c thdnh vi€n Ban TGD de c5 ging hoin thanh t5t chric tr6ch criaminh. Ban TGD vd c6c crin bQ quin lj chri ch5t dd thuc hi€n hi6u qui vn hqp lj c6c quyrit dinh criaIDQT.

3. Ho4t dQng crla c6c tiiiu ban thuQc H6i ddng quin tri:

- HiQn t4i, MBS c6 03 ti6u ban thuQc HQi ddng quan tri g6m: Ban kitim to6n nOi b0, Ban nh6n su vdluong thudng, Uy ban quin lj rui ro. C6c tiiiu ban hoat tlQng theo Quy ch6 t6 chfc vi ho4t dQng criatung ti6u ban do HDQT ban hanh vd h6 trg cho HDQT trong cdc ming ho4t dQng dugc ph6n c6ng.

4. C6c Nghi quy6Uquyiit ainn cria H6i ddng qudn tri (nim 2016):

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I 012016/L{BS/HDQT-QD t3/0U20r6 Khen thuOng tdp thi5 cd nhdn ndm 2015

2 0220l6a,rBS/HDQT-QD 2101D01686 nhiem Ong Chu Hdi C6ng li kii to6n trudng taic6c Chi nhinh cta MBS

3 0320164,18S/HDQr-QD 2U01Dlt6Ciao 6ng trAn Uai Hi tluqc k! chrl tii khoan d6ivdi tai lfioan dtng t€n cdc chi nh6nh cta MBS taicAc ngan hang

4 042016/MBS/HDQT-QD 2l/0v2016 Crt Ong TrAn Hai Hd di c6ng t6c Campuchia

5 05/20l6a,rBS/HDQT-QD 2v0tD016 Ban hanh Chinh s6ch quan tri rui ro

6 062016a4BS/HDQT-QD 23/01r20rc 86 nhiem Ph6 cE Vdn phOng KVPN

'7 07l20 t 6,/t\4BS^{DQT-QD 26t0tD0t6 Chi tsa Thi lao cho Thu hi Cong ty nIm 20 I 5

8 08/20l6a,rBS/HEQT-QD 29102/2016Ph6t hnnh Tnii phiiiu MBS kh6ng chuyon a6i quy I-II nnm 2016

9 0920l6a,rBS/HDQT-QD 7/3120t6 Quy dinh ch6 dO b6o c6o d6i vdi HDeT, Ban ki6msoAt

l0 r 020l6a4BS/HDQT-QDNS 2813120t6 86 nhiem chAnh VP HDQT IvtBS

ll l l20l6a4BS/HEQT-QDNS 3t/03D016 86 nhiem gi6m d6c khiii SSc

t2 1220 l 6a,rBS/r{DQr-QDNS 3U03D016 86 nhiem pho gi6m d6c kh5i SSG

l3 l420l6r\48S/IIDQT-QD 3VBn016 Srta d6i quy ch6 t6 chtc ho4t dQng cta ID chinhs6ch

t4 l520l6a,rBs {DQT-QE 08104/2016PhAt hAnh tr6i phi6u MBS khOng chuy6n d6i nem20t6

l5 l612016/MBS^{DQT-QD o7/04D0t6 Thinh l6p Ban du rin ldm viQc vdi BCG

l6 172016,^48S/IIDQT-QD tt/04t2016 Thdnh ldp b6 phan QTRR KVPN

t7 182016,&18S/I{DQT-QD t5104/2016 86 nhiem Chri tich HDQT

t8 192016/MBSiIiDQT-QE 15104/2016 86 nhiem ph6 chn tich HDQT

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l9 2012016/,I\48S/HDQT-QD 13t04D0t6 Phuong 6n truydn th6ng thuong hiQu MB S

20 21l2016A,18S/HDQT-QD 28104D016 Thtr lao HDQT BKS ndm 2016

2t 25l2016/]\48S^rDQT-QD 26104n016 Thay d6i thefi vicn Hgi ddng diu tu 2016

22 262016&18S/HDQT-QD 26t04D016 Nhan su Thulng truc HDQT

ll 27t20 I 6A4B S/HDQT-QD 2610512016Diu tu neng cdp h0 th6ng m6y chrl vA hS th6ng luutrl chuy€n dgng

3020l6a,rBS/HDQT-QD 16106/2016 Ph6 duyQt dAu tu mua Ph6n mdm Quan l! nhdn srr

25 32120l6A,18S^rDQT-QD 1610612016 Thanh ly 0 t0 cU, mua 6 t0 mdi

26 33120l6A,18S/HEQT-QD 14107t2016 Khen thuong tdp th6 cd nhin

27 3412016448S/HDQT-QD 2810712016Thay d6i Ngu&i dai diQn quan lj phln v6n g6p cuaMBS tai Quy ddu tu Japan Asia MBCapital

28 35/20l6A48S/HDQT-QD 28/07 t20t6 Thay d6i Nguli dAi di€n quan l! phdn viin g6p crlaMBS .?i

Quy dau tu gi6 ri MBCapital

29 3 6/20l6A4BS/HDQT-QD 28/07D0t6 Thay d6i Ngudi dai diQn qunn lf ph6n v6n g6p criaMBS tAi CTCP May Nam Dinh

30 372016A48S/HDQT-QD 28/07120t6Thay diii Ngudi dai diQn quin lj phAn vtin g6p criaMBS .qi

CTCP ICD T6n Cang Long Btnh

3l 382016/1\48S/r{DQT-QD 28/07 D0t6Thay d6i Ngudi d?i diQn qu6n l! phan v5n g6p criaMBS tqi CTCP Giao nhin kho vin Ngoai thuongHii Phdng

J.1 392016/.I\4BS^DQT-QD 28/0'7 D0t6 Thay d6i Ngu&i dai diQn quan I! phin viin g6p criaMBS tai CTCP M6y tni6t Ui aAu kht

402016/1\,18S/HDQT-QD 28t07 t2016 Tho6i v5n qu! dlu tu gi6 ti MB Capital

34 4120l6A,18S/IrDQT-QE 28/07t2016 Tho6i viin qu! dAu tu Japan Asia MB Capitat

35 4220 l 6/148S^IEQT-QDNS t8/0812016 Quy6t dinh b6 nhiem Ph6 TGD Chu Hni C6ng

36 4320 l 6AdBS/r{DQT-QDNS t8/08/20t6 Quylit tlinh giao nhiem vu ngudi phu h6ch k6 todn

37 44120 l 6A{BS^IEQT-QDNS 18/08/2016MiSn nhi€m chrlc danh k6 toan trudng cria dng ChuHii C6ng

38 4320l6A,18S,t{EQT-QD 9/8t2016 Thay d6i dia di6m CN Hni phOng

39 45l20l6A48S^rDQT-QD 15/8t2016 Thay d6i dia dii m CN Bic sAi gdn

40 46120 I 6A,IBSiTIIIDQT-QD 22108D01686 td van phdng t4i s6 3 Li6u ciai ve tAng 6 - 98ANNKT

4l 47 Ano | 6 tMBStTf IrDQT-QD 241t0t2016 Thay d6i dia diiSm Chi nhinh Sii gdn

42 4820l6A,rBS/HDQr-QD 30t09t20t6 Quy tlinh phdn c6ng nhiQm qr c6c thdnh vi€n HDQT

43 4912016/MBS/IDQT-QD 30t09D0t6 Thay d6i thanh vi€n hQi ttdng triu tu

44 50201644BS/HEQT-QD 30109120t6 Thay d6i ten va thanh phin riy ban quan l, rui ro

45 5l20l6a,[BS/HDQT-QD 30t09Dl't6 Thay d6i ftanh vien ban nhdn sq luong thudng

46 5320l6A,18S/CTHDQT-QDNS

t4^v20t6 Giao nhiQm vU Truong ban xri l! ng

47 542016/MBS/HDQT-QD t7lll12016 Thgc hiQn vay v(in tir Ngen hang TMCP Ti€n Phong

48 55z0l6A4BSrrIHDQT-QD 22/t1D0t6Ban hinh quy ch6 t6 chrlc ho4t tlQng cria ty banquAn lf nli ro MBS

49 56t20 I 6A,IBS/TTITDQT-QD lt2D0t6 Thanh Bp kh6i Dich vs chrlng khodn Kh6ch hnng t6chrlc

50 572ol6A{8Srnr{DQT-QD 1^2t2016Thnnh l{p Phdng Dich vp chfng kho6n Kh6ch hnngt6 chtc Ha noi 0l

5l 582016/]\48S/TTHDQT-QD vnr20t6 Thanh Fp kh6i Dich vu chtng khoSn KMch hing tdchrlc HCM 01

52 5920l6A,18S/HDQT-QD 30n2D016 VA viQc cdng t6c crla Ong Chu Hii Cdng

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l. Th6ng tin vd thanh vi€n Ban Ki6m soAt (BKS):

2. Hogt dQng gir{m sat cta BKS d5i v6i }DQT, Ban T6ng gi6m tt6c ve cil d6ng.'

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- ci6m sit HQi d6ng quan tri fiDQT), Ban T6ng giim d5c trong vi6c thuc hiQn nghi quy6t cria D4i hQid6ng c6 d6ng @HCD) vi trong viQc quin lj, didu hinh c6ng ty.

- Gi6m s6t vi ki6n nghi viQc tudn thri cdc quy tlinh cta UBCK Nhi nu6c vd c6c quy dinh cia ph6p lu6t.Hang th6ng lip vn gui IDQT, Ban T6ng gi6m d5c b6o c6o gi:im sit cria BKS vA viQc tu6n thrl c6c chitieu an toen Ai chinh vi gi6i han iliu tu.

- Giam sat k6t que hoat dQng kinh doanh, kip thoi ki6n nghi lDe! Ban T6ng girim d6c dua ra c6c chinhs6ch, giii phrip n6ng cao ning lgc quan tri, diAu hanh vi hiQu qui hoat dQng kinh doanh.

- Tham gia dAy ttri c6c cuQc hgp cria IDQT, Thucmg tryc HDer voi vai trd d0c lgp, tlua ra cric f ki6nkh6ch quan g6p phAn ginm thi6u rui ro trong hopt ttQng kinh doanh cta c6ng ty.

- Tham gia tt6ng g6p ! ki6n trong vi6c ban hanh c6c quy tlinh nQi bQ cria c6ng ty, rtim bio tu6n thi c6cquy tlinh cria phrip ludt vd han ch6 rui ro.

- Thuc hiQn chuong trinh thAm dinh brlo c6o tAi chinh nim 2015 cria c6ng ty.

- ThUc hign thAm dinh b6o c6o tii chinh 6 th6ng nnm 2016.

- Thgc hi€n ki6m tra hopt rtQng vin phdng khu vgc phia Nam.

- ThUc hign ki6m to6n toan diQn hopt tlQng m6i gioi vi dlch qr tii chinh MBS.

3. sv ph6i hqp hoat dQng giiia BKs d6i voi holt ttQng crla rDer, Ban T6ng gilfu d6c vd crlc crtn bQ quinlj khic:

Trong nim 2016 co ch6 phi5i hqp hoat dQng giEa IDer, BKS vn Ban T6ng giam d6c dn ttuqc cu th6 h6atrong quy ch6 Quan tri c6ng ty vi duo. c thuc hiQn t6t:

- IEQT, Ban T6ng girim tt6c d6 tao diAu kiQn thufn lqi cho BKS hoSt rtQng theo ttring chtc nlng nhiQmvu.

- Hang th:ing, qny BKS dAu c6 b6o c6o girim s6t vi tl6nh gil ho4t tlQng cria c6ng ty grii HDer, Ban T6nggi6m tliic.

- BKS tham du tlAy tti c6c cuQc hqp cta IDQT d6 kip thoi dua ra c6c f ki6n d6ng g6p dQc lip, kh6chquan.

- cdc y ki6n, ki6n nghi cta BKS tluo. c HDQT, Ban T6ng girim d5c ghi nhan, b6 sung vi chinh sria hoanthiQn kip thoi, tlim bdo an toAn trong hoat tlQng kinh doanh.

fV, Diro t4o v6 quin t4 c6ng ty:

c6c kh6a tlio tao vd quin tri c6ng ty ma cric thanh vi6n tDer, thanh vi6n BKS, T6ng Girim tt5c, c6c crin bQquan l! kh6c vi Thu lcy c6ng ty de tham gia theo quy rlinh vA quan tri c6ng ty:

c6c thanh vi6n HDQT, thanh vi6n BKS, Ban t6ng girim d6c, cric c6n bQ qurin lj lJric vi rhu kj c6ng ty tlntham gia kh6a ddo t4o "Quan tri C6ng ty'' do Ily Ban Chrmg khorin t6 chr?c.

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3. Giao dfch gifia nguoi nQi bQ c6ngty ni6m y5! nguoi co li6n quan cua nguoi nQi bg v6i c6ng ty con, c6ngty do c6ng ty ni6m y6t nim quydn kii6m soit: Kh6ng c6

4. Giao dich giaa c6ng ty vdi oic di6i tugng kh6c: Kh6ng c6

4.1. Giao dich giEa c6ng ty v6i c6ng ty ma thanh viOn lDer, thinh vi6n Ban KiiSm so6t, T6ng ciem d6cdiAu htnh tld vi <tang la thanh vi6n s6ng lip honc thinh vi6n IDer, Gi{m d6c g6ng Gi6m a&j aidu m*rtrong thoi gian ba (03) ntm tr& lai dny Gnh t?i thoi di6m lip b6o aio): Kh6ng co

4.2. Giao dlch giiia c6ng ty voi c6ng ty mi nguoi c6 li6n quan c0a thrinh vi6n IDQ! thanh vi6n Ban Ki6mso6! T6ng Gi6m d6c ttidu hiah h thanh vi6n IDe! Girim d6c (T6ng Gi6m d5c) ditu henh: Kh6ng o5

4.3. Circ giao dlch khdc cria c6ng ty (n6u a5) c6 th6 mang lai lqi ich vflt chit hoflc phi vit ch6t ddi v6i thenhvi6n IDQ! thenh vi6n Ban Ki6m so6t, T6ng Gi{m d6c di6u hinh: Kh6ng c6

vr. Giao dich c6 phiSu cria ng'ui nQi bQ vir ngudri li6n quan cria nguli nQi bQ @:f,o oio nnm 201e

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