CONG TY CO PHANCHUNG KHoANVNDIRECT

CQNG HOA xA HQI CHU NGHiA VI~T NAMDQcl~p - Tl! do - Hanh phuc

S6: .f-.t-/2020IBC- VNDIRECT Ha N(ji, ngay..(J2Jhang 01 nam 2020

BAo cAo TINH HINH QUAN TRJ CONG TY NIEM YET(Nam 2020)

Kinh gm: - Uy ban Chung khoan Nha mr6'c- S6'Giao djch Chung khoan Ha NQi- S6'Giao djch Chung khoan TP. HAChi Minh

Ten cong ty niem y~t: Cong ty C6 phan Chirng khoan VNDIRECT

Dia chi tru sa chinh: S6 1 Nguyen Thuong Hi~n, Nguyen Du, Hai Ba Trung, Ha Noi

Di~n thoai: 024 397245687 Fax: 024 39724600 Email: cbtl@vndirect.com.vn

V6n di~u l~: 2.204.301.690.000 VND

Ma clnrng khoan: VND

I. HO\ltdQng cua D\li hQidAng c6 dong (DHDCD)

Thong tin v~ cac cuoc hop va Nghi quyet/Quyet dinh cua DHDCD:

STT S6 Nghi quyet Ngay N<)idung

- Thong qua cac bao cao, to trinh cua HDQT, Ban T6ng Giamd6c va Ban kiem soat

- Thong qua Bao cao tai chinh nam 2018 da diroc kiem toan cuaCong ty.

- Thong qua viec hra chon t6 chirc kiem toano

- Thong qua viec chi tra thu lao cho HDQT va BKS.

- Thong qua chinh sach thuang va b6 sung luang kinh doanhcho Ban di~u hanh va can b<)chu ch6t nam 2019.

185/20191 - Thong qua vi~c phan ph6i IQ'i nhu~ nam 2018 cua Cong ty.1 18/4/2019NQ-DHDCD - PM chuAn vi~c Chu tich HDQT kiem nhi~m T6ng giam d6c.

- Thong qua vi~c chao ban c6 phi~u ra cong chUng.

- Thong qua vi~c phat hanh c6 phi~u thee chuang trinh h,rachQncho ngum lao d<)ng

- Thong qua vi~c phat hanh trai phi~u chuy6n d6i rieng Ie- Thong qua vi~c chao ban c6 phi~u rieng Ie- Thong qua vi~c chao ban chUng quy~n co bflOdam

- Thong qua vi~c mi~n nhi~m, b~u b6 sung thanh vien HDQT.

II. HQidAngQuan tri (HDQT)

1. Thong tin v~ thanh vien HDQT

, s,c: b A.Ngay bat o UOI Lydo

STT Thanh vien HDQT Chirc V\ld§u/khong hQp Ty l~ tham khongcon la TV HDQT dl}' hop thamHDQT tham dl}' dl}'

1. Pham Minh Huong Chu tich02/5/2012 04 100%HDQT

2. Vii Hi~n Thanh vien02/5/2012 04 100%

HDQT

3.Nguyen Hoang Thanh vien

02/5/2012 04 100%Giang HDQT

Christopher 29/5/2017 Bi4. Bertram Thanh vien

03 75% .:It

HDQT Mien nhiem mienBrinkebom Beselin 18/412019 nhiem

Pekka Mikael Thanh vien BAub6 sungBAu

5. 1 25% b6Nastamo HDQT til 18/4/2019

sung

6. Pham te Nh~t Thanh vien27/4/2016 04 100%

Quang HDQTI

2. Hoat dQnggiam sat cua HDQT d6i vOiBan di~u hanh

Nam 2019, HDQT VNDlRECT ti~p tuc nang eao hoat de>nggiam sat, huang din, chi dao d6ivoi Ban T6ng giam d6e nham bao dam trien khai dung va dAydu viec thuc hien cac Nghi quyet,quyet dinh cua DHDCD va HDQT. HDQT cfing dll danh nhieu thai gian trao d6i, thao luan voiBan T6ng giam d6e dS thuc dAyhoat de>ngkinh doanh cua Cong ty tren co sa thirc hien dungDi~u I~, Quy eh~ va cac quy dinh phap luat co lien quan.

3. Hoat dQngciia cac ti~u ban thuQc HDQT

Ban Kiem toan ne>ibe>:Danh gia me>teach de>eI~p v~ S\l phil hw va tuan thu cae ehinh saehphap lu~t, Di~u I~, cae quy~t dinh eua DHDCD, cae quy~t dinh/quy eh~ eua HDQT; kiSm tra,danh gia vi~e tuan thu eua ho~t de>ngkinh doanh d6i v6i cae ehinh saeh, quy eh~ va quy trinhne>ibe>;kiSm tra, danh gia vi~e tuan thu cae quy dinh phap lu~t, kiSm soat cae bi~n phap baodam an toan tai san; kiSm tra, xem xet va danh gia S\IdAydu, hi~u qua va hi~u l\Ic eua h~ thfmgkiSm soat ne>ibe>tr\le thue>eBan T6ng giam d6e; tham mUll thi~t I~p cae ehinh saeh va quy trinhne>ibe>;kiSm tra, danh gia quy trinh xae dinh, danh gia va quan Iy rui ro kinh doanh; kiSm tra,danh gia hi~u qua eua cae hoc;ttde>ng;danh gia vi~e tuan thu cae cam k~t trong hw d6ng; kiSmtra, di~u tra cae vi phc;tmtrong ne>ibe>eong ty; th\le hi~n cae eong vi~e khae lien quan d~n ki~msoat tuan thu, ki~m toan ne>ibe>cong ty (g6m ea eong ty con) thee quy dinh eua phap lu~t, Di~uI~ va Quy eh~ do HDQT ban hanh.

Be>ph~n Quan tri rui ro: Nghien eUu, phat tri~n, ban hanh ehi~n luge va ehinh saeh, quy eh~,quy trinh quan tri rui ro eua Cong ty thee tUng thai ky; Phe duy~t va ban hanh cae quy dinh,quy t~e, be>tieu chi, phan quy~n quan Iy va phe duy~t rui ro, cae tham s6 va mo hinh quan trirui ro eua cae san phb eua Cong ty; Xae dinh ehinh saeh th\Ie thi va mue de>eh~p nh~ rui ro

\9.

2

--_._- -

cua Cong ty; Xac dinh plnrong phap nhan dien va do hrong rui ro; Giam sat, ngan ngira, phathien va xu ly nii ro; Bao cao thuc thi quan tri rui ro cua Cong ty.

HQid6ng nhan sir: Tham muu cho HDQT v~ cac van d~ lien quan dSnhoat dQngquan tri nhansu cua Cong ty; Quyet dinh cac chien hroc nhan su trong tirng thai ky; phe duyet cac ehS dQchinh sach nhan sir, co chS luang thuong, phuc 19idanh cho can bQnhan vien cua Cong ty; Pheduyet cac chuang trinh nham phat trien nguon luc cua Cong ty; thay mat HDQT quyet dinh viectuyen dung, b6 nhiern, mien nhiem, ky luat cac can bQquan ly thuoc tham quyen cua HDQT vaho~cChu tich HDQT (cac can bQquy dinh tc;tiDi~u23 Quy chSQmintri Cong ty; thvc hi~n cacquy~nhc;tnva nhi~m V\l khac theo quy dinh t~i Di~u l~-vaNghi quYStlQuychS do HDQT banhanh.

HQid6ng dAutu: Phan tich tinh hinh Utichinh, m\lc tieu dAutu, tham muu cho HDQT v~ cacvan d~ lien quan dSnho~t dQngdAutu cua Cong ty; QuyStdinh phan b6 tai san dAutu cua congty trong ph~ vi thAmquy~n;Quan ly ban hanh chinh sach va phe duy~t h~nmuc dAutu, danhm\lc ehUngkhoan dAutu ngllnhc;tnvaJho~cdai hc;tncua Cong ty; QuySt dinh phuang an, khoandAutu khong nfuntrong kShoc;tchkinh doanh va ngan sach da dugc HDQT phe duy~t theo tUngtruang hgp; QuySt dinh vi~c gop v6n ho~e mua ban phAnv6n gop t~i cac doanh nghi~p, muaban chUngkhoan niem ySt (khong bao g6mhoc;ttdQngtv doanh ngllnhc;tn);Thvc hi~ncae khoanbao dam b6i thuang, nghi~p V\l bao lanh phat hanh; thvc hi~n cac quy~n hc;tnva nhi~mV\l khactheo quy dinh tc;tiDi~u l~ va Nghi quYStlQuychSdo HDQT ban hanh.

HQid6ng ALCO: Nghien CUuva d~ ra cae chiSn lugc d6i v6i cO'du Bang can d6i Tai san (canQiva ngo~i bang) nhfun d~tm\lc tieu 19inhu?n trong m6i tuang quan v6i nii ro (t6i da hoa 19inhu~n, t6i thi~u hoa nii ro); Phe duy~t eac chinh sach quan tri nii ro tren Bang can d6i Tai sanphu hgp v6i chiSn lugc kinh doanh va m\lc tieu 19inhu~n,dinh ky ki~m tra muc dQtuan thu cuacac h~n muc nii ro; Quan ly nii ro thanh khoan va cac yeu cAu luu chuy~n ti~n t~ cuaVNDlRECT mQt cach lien t\lC,co tinh dSn luu chuy~n tiSn t~ cQngd6n tir 19i nhu~n va luuchuy~nti~n t~ dv bao, phat sinh tir tang tru6ng ti~n gui, cho vay, cac ho~t dQngdAutu dv kiSn;Quan ly nii ro lai su~t cua VNDlRECT phat sinh do sv chenh l~ch giua Tai san Co va Tai sanNg co nh~y cam v6i Hlisu~t; Quan ly nii ro thi truang d6i v6i cac biSn dQngv~ gia c6 phiSu,trai phiSu, ty gia va lai suM;Chi d~ovi~cxay dvng, phe duy~tva tri~n khai eae chinh sach, dambao thuc dAyhi~u qua kinh doanh cho cac Dan vi, cai thi~nvi~c quan tri kha nang sinh lai theosan phfun, Kh6i Kinh doanh va Khach hang, xac dinh thai hc;tnva muc dQthay d6i lai su~t d6iv6i cac san phfun huy dQngva cho vay cua VNDlRECT; Ki~m tra, ki~m soat va giam sat vi~ctuan thu cac quy dinhl quy trinh lien quan t6i hoc;ttdQngkinh doanh cua Kh6i kinh doanh dambao an toan, hi~uqua t6i uu va tuan thu cac quy dinh cua VNDlRECT cling nhu cua UBCKNNva cac bQnganh co lien quan.

HQid6ng ky lu~t: Ki~m tra, diSutra, danh gia d6i v6i cac vi ph~ trong nQibQcong ty; Dua racac quyStdinh ap d\lllghinh thuc ky lu~t tuang Ungv6i tinh ch~t,muc dQcua hanh vi vi ph~m;Ban hanh quySt dinh xu ly vi ph~m ky lu~t d6i v6i nguai co hanh vi vi ph~; Thvc hi~n caccong vi~c cong vi~c khac lien quan dSnvi~cxac dinh vi ph~mva xu ly cac hanh vi vi ph~ cuacan bQnhan vien Cong ty.

4. Cae Nghi quy~t/Quy~t dinh eua HDQT

Trong nam 2019, HDQT, Chu tich HDQT cua Cong ty da ban hanh cae Nghi quySt,QuyStdinhsau day:

TT S6 van ban Ngay NQi dung

3

1. 63-2/20 19/QD-HDQT 101112018 Quyet dinh v~ viec bao mat thong tin va bao v~quyen sa hiiu tri tu~ tai VNDlRECT

2. 42-2/2019INQ-HDQT 22/1/2019 Thong qua cac hop d6ng dich vu cung ccipchoCong ty CP T~p dean Diu tir I.P.A

Thong qua viec thay d6i ten va dia di~m Phong3. 111120191NQ-HDQT 08/3/2019 giao dich Hoan Ki~m, t6 chirc DHDCD thirong

nien 2019

4. 138-2/2019INQ-HDQT 29/3/2019 Thong qua BC cua Ban TGD v~ k~t qua hoatdQng nam 2018 va k~ hoach nam 2019.

Thong qua viec phe duyet va giao mQt s6 cong5. 138-3/2019INQ-HDQT 29/3/2019 viec thuoc tham quyen cua HDQT cho Chu tich

HDQT.

6. 158/2019/QD-HDQT 0914/2019 Mi€n nhiem Giam d6c Di~u hanh v~ hanh

7.243120 19/QD- HDQT 28/5/2019

Tra c6 nrc cho c6 dong.253/20 19/QD-HDQT 0416/2019

8. 588-2/2019/QD-HDQT 25/10/2019Ban h~ quy ch~ t6 chirc va hoat dQng cua cacHQi dong, Ban thuoc HDQT cua Cong ty CPChirng khoan VNDlRECT

9. 84/20 19/QD-HDQT 28/10/2019 MiSn nhiem giam d6c Chi nhanh TP H6 ChiMinh.

10. 85/20 19/QD-HDQT 28/10/2019 B6 nhiem Quyen giam d6c chi nhanh H6 ChiMinh.

11. 608/2019/QD- 07/11/2019 Thanh I~p va chirc nang nhiem V\l cua BanVNDlRECT Giam sat tuan thu.

Thay d6i dia di~m PGD Vincom thanh PGD

12. 625/QD-HDQT 1811112019 SALA t~i 151 NguySn Co Tr~ch, PhuOng AnLQi Dong, Qu~ 2, TP HCM ( Theo GD s68811QD-UBCK ccipngay 16/10/2018).

13. 635/QD-HDQT 20111/2019 Thay d6i dia di~m chi nhanh Da Nfulg

14. 669INQ-HDQT 05112/2019 Phathanh rieng Ie trai phi~u cong ty Dgt 3-2019

15. 670INQ-HDQT 05112/2019 Phat hanh rieng Ie trai phi~u cong ty Dgt 4-2019

71112019/QD- Ky k~t cac Hgp d6ng, giao dich lien quan d~n16.

VNDlRECT 25/12/2019 vi~c mua ban tai san v6i Cong ty CP Ong Trunguang.

III. Ban Ki~m solit (BKS)

1. Thong tin v~ thimh vien BKS

4

Ngay bit S6 buAiTyl~

Lydodiu/khong hop lam khongSTT Thanh vien BKS Chirc vy tham d..,con la TV vi~c cua tham d..,

BKS BKShQp

hQp

1 Hoang Thuy Nga Truong 21/4/201309 100%BKS

2Huynh Thanh Binh

Thanh vien28/4/2012

09 100%Minh

3 Nguyen Thi Minh HI;Ulh Thanh vien 23/4/2015 09 100%

2. Hoat di}ng giam sat cua BKS d6i VOl HDQT, Ban TAng Glam d6c va cAdong

BKS thirc hien hoat dong giam sat, danh gia viec thirc hien k~ hoach kinh doanh ciing nhu sutuan thu cua Cong ty d6i voi quy dinh phap luat, Di~u 1~Cong ty va Nghi quyet cua DHDCD.Ngoai cac phien hop dinh ky cua BKS trong qua trinh tlnrc hien chirc nang cua minh, BKS condanh thai gian tham gia cac phien hQP cua HDQT, Ban di~u hanh cua Cong ty nham nang caohoat dong giam sat, d6ng thai, dong gop '1ki~n khi cAnthi€t.

3. S.., ph6i hop hoat di}ng giii'a BKS d6i VOl hoat di}ng cua HDQT, Ban TAng Giam d6c vacac can bi} quan If khac

Trong cac dot kiem tra, danh gia tf\lC ti~p clla BKS d6i vai tinh hinh trien khai k~ hO<;lchkinhdoanh clla Cong ty, BKS thuang xuyen ph6i hqp, dua ra cac yeu cAu cung d.p h6 sO',tai li~uho~c tf, chuc lam vi~c tr\lc ti~p vai Ban Tf,ng Giam d6c, cac can bo quan 1'1Cong ty nh~m codAydll thong tin, dfr li~u cAnthi~t de th\lC hi~n cong vi~c.

4. HO\lt di}ng khac clla BKS

BKS Cong ty ciing danh thai gian quan sat, danh gia cac hO<;ltdong khac clla Cong ty trong nam2019, d~c bi~t 1a cac chi~n dich kinh doanh, chuang trinh tim ki~m giai phap, d\l an phat trienclla Cong ty.

IV. Dao t\lo v~ quan trj cong ty

Vai chinh sach chu trQng tm hO<;ltdong quan tri Cong ty nh~ xay dvng va phat trien Cong tyngay cang vfrng ml;Ulh,thanh vien HDQT, thanh vien di~u hanh va cac can bo qufm 1'1khac cllaCong ty dugc khuy~n khich tham gia cac chuang trinh dao t<;lOv~ quan tri cong ty. Mot s6 thanhvien HDQT, BKS va can bo quan 1'1da dugc c~p ChUng chi dao t<;lOv~ qUlin tri cong ty doTrung tam Nghien CUuKhoa hQc va Uao t<;lOChUng khoan - Uy ban ChUng khoan Nha nuac(SRTC) tf, chuc nhu:

Ba Ph<;lffiMinh Huang - Chll tich HDQT

Ong Vii Hi~n - Thanh vien HDQT

Ba Hoang Thuy Nga - TruOng Ban kiem soat

Ba Nguy~n Thi Ha Ninh - K~ toan truOng

Ba Le Thi Huang Mai - Gifun d6c Nhan S\l

V. Danh sach v~ ngU'Oi co lien quan clla Cong ty theo quy djnh t\li khoan 34 Di~u 6 Lu~tChUng khoan va giao djeh ella ngU'Oico lien quan ella eong ty VOl ehinh Cong ty

5

1. Danh sach v~ nguoi co lien quan cua Cong ty: Phu luc I dinh kern Bao cao nay.2. Giao dich gitra Cong ty voi nguoi co lien quan cua Cong ty; hoac gitra cong ty voi c6 dong Ion,

ngiroi nQi bQ, ngiroi co lien quan cua ngiroi nQi bQ:Khong co.

3. Giao dich gifta ngiroi nQi bQCong ty, ngiroi co lien quan cua nguoi nQi bQvoi cong ty con, congty do Cong ty nirn quyen ki8rn soat: Khong co

4. Giao dich giiia cong ty voi cac d6i tirong khac4.1. Giao dich giua cong ty voi cong ty rna thanh vien HDQT, thanh vien Ban Kiern scat, T6ng

Giarn d6c di~u hanh dffva dang la thanh vien sang l~p hoac thanh vien HDQT, T6ng Giam d6cdi~u hanh trong thoi gian ba (03) nam tro lai day (tinh tai thai di8rn l~p bao cao):

Thang 112019, Cong ty ky k€t cac HQ'Pd6ng dich Vl) cung c~p c~o Cong ty c6 phfin T~p doanDau tu IPA (giao dich nay dff duQ'c thong qua thea Nghi quyet so 42-2/2019INQ-HDQT ngay22/1/2019). Thang 12/2019Cong ty dffco giao dich rnua ban tM san vai Cong ty CP Ong Trunglfong (giao dich nay dff duQ'c thong qua thea Quy€t dinh s6 71112019/QD-VNDIRECT ngay25/12/2019).

4.2. Giao dich giiia eong ty vai eong ty rna nguCrieo lien quan ella thanh vien HDQT, thanh vienBan Kiern soat, T6ng Giam d6e di~u hanh la thanh vien HDQT, T6ng Giarn d6c di~u hanh:Khong eo

4.3. Cac giao dieh khac ella eong ty (n€u co) eo the rnang l~i lqi ich v~t eh~t ho~c phi v~t ch~t d6iv6i thanh vien HDQT, thanh vien Ban Ki8rn soat, T6ng Giarn d6c di~u hanh: Khong co

VI. Giao djch c6 phi~u Clla ngu01 nqi bq va ngu01 lien quan Clla ngu01 nqi bq :

1. Danh sach nguCrinQi bQva nguCrieo lien quan ella nguCrinQi bQ: Ph\ll\le II kern Bao eao nay.

2. Giao dieh ella nguCrinQi bQva nguCrieo lien quan d6i v6i e6 phi€u ella eong ty niern y€t: Khongeo

VII. Cac v~n d~ cin ItrU y khac: Khong eo.,)

6

Phy luc I

Danh sach NgU'Oico lien quan ciia Cdng ty

Thoi di~m bit ThOi di~m

SIT Ten t6 chirc/ca nhanHi khoan giao dich Chirc vu tai se GiAyNSH*, ngay

Dia chi tru sa chinh/ Dia chi lien h~ d§u la nguoi khong con la Ly dochung khoan (neu co) cong ty (n€u co) dp,noidpco lien quan ngiroi co lien

quan

CM tich HDQT 001166000107,ngays6 4lT3 khu do thi Nam Thang

1 Pham Minh Hirong 021COO1706 T6ng Giam d6c Long, Xuan Dinh, Bic Til Liem, Ha03/0112013, Ha NQi

NQi

Vii Hi~n 030062000055,ngayse 41T3 khu do thi Nam Thang

2 021CI01962 TVHDQT Long, Xuan Dinh, Bic Til Liem, Ha1111112014,Ha NQi

NQi

3 Nguyen Hoang Giang 021C012484 TVHDQT 012348897,ngayPIAl, 198 Tay Son, Ha NQi

06/1/2000, Ha NQi

Christopher Bertram 90987415 cApngayB2.2602, City Garden, 59 Ngo TAt

4 TVHDQT T6, phuong 21, quan Binh Th~, 18/4/2019Brinkeborn Beselin 23/02/2016

Tp.HCM

5Pekka Mikael

TVHDQTPF6793759 dp ngay 207 River Valley Road # 02-66,

18/4/2019Nastamo 26/2/2016 238275 Singapore

B7030438, ngay218 Nguyen Dinh Chieu, F6, Q3, TP6 Pham Le Nh~t Quang 0101014441 TVHDQT 24/12/2012, C\lC

QLXNCHCM

7 Hoang Thuy Nga 021C101977 Tnrong Bk.S 100670867,ngay T6 11, Khu 2, Phuong Bai Chay, TP27/4/2010, Quang Ninh H~ Long, Quang Ninh

8Huynh Thanh Binh TVBKS 025571790,ngay 19/3112 Co Bic, PI, Q PM Nhuan,Minh 28/6/2012, TP HCM TPHCM

NguySn Thi Minh 090971527,ngayP305, khu ~p th~ vien y hoc c6

9 021C021549 TVBKS truyen qulin dQi, Dinh Cong, HoangH~ 25/8/2011, Thai NguyenMai, HaNQi

10 NguySn Thi Ha Ninh 021C007771 K€ toan truang 013272892, ngayP 811 CT4B, Bic Linh Dam, Ha NQi

12/3/2010, Ha NQi

7

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22 Pham Le Nh~t Quang 0101014441 TVH£>QT B7030438, ngay 24/12/2012, CI,lCQLXNC 218 Nguyen £>inh Chieu, F6, Q3, TP 0 0HCM

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53 Vii Nam Huong 021C009393 Giam doc 017388688, ngay 23/6/2012, Ha NQi P.822, nha R4, chung cu Royal City, 130.000 0,059Tai chinh 72A Nguyen Trai, Thugng Dlnh,

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58 ViiAnh Tu§n 142764152,cfrpngay 2115/2011, Hai Duong s6 5, ngach 41, ngo 107 ph6 Thuy 0 0Linh, plnrong Linh Nam, Hoang Mai,HaNQi

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