Maybank Kim Eng

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Thanh ph6 H6 Chi Minh, ngay AS thang (c, nam 2018

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MI.JC LUC CAN CO PHAP L)? 4 Chuang I 4 QUY DINH CHUNG 4 Dieu 1. Giai thich thuat ngfr 4 Dieu 2. Ten, hinh thirc phap 13i, till sec mang ltroi boat d6ng va thoi han hog Ong dm COng ty 5 Dieu 3. Ngueri dai dien theo phap luat 6 Dieu 4. Phan vi hoat Ong kinh doanh 6 Dieu 4A.Phat hanh chang quyen c6 bao dam 7 Dieu 5. Mgc tieu hoat deng 7 Dieu 6. Nguyen tac hoat d6ng 7 Dieu 7. Quyen cua Cong ty 8 Dieu 8. Nghia vu dm Cong ty 8 Dieu 9. Cac quy dinh ye cam va han ch6 10 Chuang II 12 VON DIEU LE, CHU sO Hail 12 Aid 1: VON DIEU LE 12 Dieu 10. V6n dieu le 12 Dieu 11. Chuyen nhugng phAn von g6p 12 Dieu 12. Cach thac tang, giam von dieu le 12 Mkic 2: CHU SO HfrU, QUYEN VA NGHIA VI) CUA CHU SO HGU 13 Dieu 13. Th6ng tin ve Chil so. htru 13 Dieu 14. Quyen cua Chit sO hail 13 Dieu 15. Nghia vg dia. Chi' so. hitu 14 Chuang III 14 QUAN TRI, DIEU HANH CONG TY 14 Dieu 16. B6 may quan tri dieu hanh cua Cong ty 14 I. H6i d6ng thanh vien 14 Dieu 17. Quyen va nghia vu dm H6i dong thanh vien 14 Dieu 18. Cu6c hop H6i d6ng thanh vien 15 Dieu 19. Dieu kien h9p va the thirc tien hanh h9p H6i dong thanh vien 16 Dieu 20. Thong qua quy6t dinh cua H6i &Ong thanh vien 16 Dieu 21. Bien ban h9p H6i dong thanh vien 17 Dieu 22. Chu tich H6i dOng thanh vien, Pho Chu tich H6i d6ng thanh vien 17 Dieu 23. B6 phan Kiem town n6i b6 va Quan tri rtii ro cua H6i dong thanh vien 18 II. Ban Tong, Giam Too 19 Dieu 24. Thanh phan, nghia vu va quyen han cua Ban T6ng Giarn d6c 19 Dieu 25. Tieu chuan va dieu kien lam Tong Giarn doe 20 Dieu 26. Mien nhiem, bai nhiem Tong Giarn doe 21 Dieu 27. B6 phan Kiem soat n6i b6 va Quan tri rui ro trkrc thu6c Ban T6ng Giarn d6c 21 III. Ban Kiem soat 22 Dieu 28. SO luvng thanh vien, thanh phan va nhiem Ici cua Ban Kiem soat 22 Dieu 29. Quyen va nghia vu cua Ban Kiem soat 22 Dieu 30. Cach thirc hoat dOng va cu(ic h9p cua Ban Kiem soar 23 Dieu 31. Tieu chuAn va dieu kien lam thanh vien Ban Ki6m soat 24

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Dieu 32. Mign nhiem, bai nhiem thanh vien Ban Kiem soat 24 Chuang IV 24 XIJ LY MOI QUAN HE VOI CAC DOI TAC LIEN QUAN 24 Dieu 33. Cac tranh chap c6 the xay ra 24 Dieu 34. Cach xir ly, giai quyet tranh chap , 25 Dieu 35. Cac Sing, giao dich phai duvc chap thuan 25 Dieu 36. Che d6 bao cao va cong b6 th6ng tin 26 Chuang V 26 QUAN LY TAI CHINH, KE TOAN 26 Dieu 37. Nam tai chinh 26 Dieu 38. fle,th6ng ke toan 27 Dieu 39. Kiem toan 27 Dieu 40. Nguyen tac phan ph6i lqi nhulan 27 Dieu 41. Xir 1Y/18 trong kinh doanh 28 Dieu 42. Trich lap cac quy theo quy dinh 28 Chuang VI 28 TO CflfiC LAI, GIAI THE VA PHA SAN CONG TY 28 Dieu 43. T6 chirc lai C6ng ty 28 Dieu 44. Gial the 28 Dieu 45. Pha san 28 Chuang VII 29 SIIIA DOI VA BO SUNG DIEU LE 29 Dieu 46. B6 sung va Sira d6i Dieu le 29 Chuang VIII 29 HIEU LIX CUA DIEU LE 29 Dieu 47. Ngay hieu lkrc 29

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CAN CU PHAP L1:7 Can cu.:

LuSt Doanh nghiep s6 68/2014/QH13 &rot Qu6c hOi ntrOc C6ng hda xa hOi Chu nghia Viet Nam khoa XIII, kS7 hop thir 8 th6ng qua ngay 26 thang 11 nam 2014 va cac van ban Inning clan thi hanh LuSt Doanh nghiep; LuSt Chung khoan s6 70/2006/QH11 &rot Qu6c h6i mac C6ng Ma. XS h6i Chu nghia Viet Nam khoa XI, kY hop alit 9 thong qua ngay 29 thang 06 nam 2006, LuSt sira dOi, 136 sung mOt s6 dieu cua LuSt Chung khoan s6 62/2010/QH12 dtrgc Qu6c hOi mac C6ng hoa xa hOi Chu nghia Viet Nam khoa. XII, kS/ hop thir 8 thong qua ngay 24 thing 11 ram 2010 va cac van ban htr6ng dAn thi hanh LuSt Chirng khodn. Quyet dinh cua HOi dOng thanh vien Cong ty TNHH MTV Chung khoan Maybank Kim Eng tai Quyet dinh s6A 506 /18/QD-HDTV ngay A 5 thang G nam 2018.

Chuang I

QUY DINH CHUNG

Dieu 1. Giai thich thuSt ngfr

1. Trong Dieu le nay, cac thuSt ngix dtrai day duov hieu nhtr sau: a. "Cong ty" la Cong ty Trach nhiem Hire han M6t thanh vien (TNHH MTV)

Chang khoan Maybank Kim Eng; b. "Van dieu le" la tong gia tri s6 von do Chu so• hau dä gop va dirge ghi vao

Dieu le Cong ty; c. "Ludt Chang khodn" la LuSt Chirng khoan so 70/2006/QH11 &pc Qu6c h6i

mr6c COng h6a Xa hOi Chfi nghia Viet Nam khoa XI, kS, hop thir 9 thong qua ngay 29 thang 06 ram 2006, LuSt sera d6i, b6 sung mOt s6 dieu cua LuSt Chang khoan s6 62/2010/QH12 dirge Qu'Oc h'6i ntrac C6ng him xa hoi Chu nghia. Viet Nam kh6a XII, ky hop thir 8 th6ng qua ngay 24 thang 11 nam 2010;

d. "Lust Doanh nghiep" la LuSt Doanh nghiep s6 68/2014/QH13 &rye Qu6c hOi mac COng hoa Xa hOi Chit nghia Viet Nam khoa XIII, kj, hop till'. 8 thong qua ngay 26 thang 11 nam 2014;

e. "Ngtr&i quan 1 Si tong ty" bao gem thanh vien H6i &Ong thanh vien, thanh vien Ban T6ng Giant d6c, Giam doc chi nhanh va cac ca nhan gill chic danh quan 15/ khac co thAm quyen nhan danh COng ty 1(3', ket giao dich cua Cong ty theo quy dinh tai Dieu le nay;

f. "Ngtrai c6 lien quan" la ca nhan hoc to chat c6 quan he \fad nhau theo quy dinh ctia LuSt Chung khoan va LuSt Doanh nghiep;

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g. "Viet Nam" la nuot COng hoa Xa hOi Chu nghia Viet Nam; h. "UBCK" la Uy ban Chirng khoan Nha mot.

2. Trong Dieu le nay, viac tham chiL toi mot hoac mot s6 quy dinh hoac van ban khac bao g6m ca nhang van ban sira d6i hoac thay th6 cua diau khoan hoac van ban do.

3. Cac tieu de (Chuang, Myc, Dieu cOa Dieu 10 dugc dua vao de thuan tin cho viac theo doi va khong anh huang toi y nghia, not dung dm Diau

4. Cac tir hoac thuat nga da dugc dinh nghia trong Luat Doanh nghiap, Luat Chung khoan se c6 nghia tuang ty. trong Dieu la nay nL khong mau than voi chi' the hoac ngit canh.

Dieu 2. Ten, hinh there phap 157, try mang hoyt dOng va thoi hyn hoat dOng ciia Cong ty

1. Ten Ong ty: a. Ten day du bang tiang Viet: Cling ty Trach nhiem Han han MOt thanh

vien Chung khofin Maybank Kim Eng b. Ten Ting Anh: Maybank Kim Eng Securities Limited c. Ten giao dich v* tat: MBKE

2. Hinh thirc phap 1Si cira Cong ty: Cling ty trach nhiam httu han mot thanh vien có to cach phap nhan dugc cap giAy phep thanh lap va hoat dOng theo quy dinh cOa Luat Chung khoan va phap lust hian hanh cua Viet Nam.

3. Try so COng ty: a. Dia chi try sac chinh: TAng 4A- 15+16 Vincom Center Deng Khoi, 72 Le

Thanh Ton, Phuirng Ben Nghe, Qu'On 1, Thinh phe HO Chi Minh b. Dian thosi:+84 28 44 555 888 Fax: +84 28 38 271 030 c. Dia chi trang web: https://www.maybank-kimeng.com.vn

4. Mang luai hoat dOng: a. Cong ty có the c6 chi nhanh, phong giao dich va van phong dai din da thuc

hian cac myc tieu host dOng cua Cong ty, phu hop A/6i quy6t dinh cua Chu so hire, HOi ding thanh vien trong pham vi phap lust cho phep;

b. Chi nhanh, phong giao dich, van ph6ng dai din la nhang dan vi thuOc Cong ty va Cong ty phai chiu trach nhiam hoan toan ve hog &gig dm chi nhanh, ph6ng giao dich, van phong dai din cua minh;

c. Cong ty chi hoat dOng kinh doanh chirng khoan, cung cap dich vy chung khoan tai cac dia diem dat try so chinh, chi nhanh va phong giao dich da dugc UBCK chap thuan;

d. Ten chi nhanh, phong giao dich, van phong dai din phai mang ten Cong ty kern theo cum tir chi nhanh, phong giao dich, van phong dai din va ten rieng de phan biat.

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5. Thai Ilan hog deng: Thai Ilan hog deng cua COng ty se bat dAu tir ngay thanh ISp va la vo thai han, trir twang h9p chAm dirt hog &Ong trtrac thai han theo khoan 1 Dieu 44 va Dieu 45 cila Dieu le nay.

Dieu 3. NgirO'i dai dien theo phap lust

1. Ngtrai dai dien theo phap lust dm Cong ty la ca nhan dai dien cho Cong ty thuc hien cac quyen va nghia vu phat sinh tir giao dich cua COng ty, dai dien cho Cong ty vori tu each nguyen dcm, bi don, nguai c6 quyen 19i, nghia vu lien quan tnrac Trong tai, TOa an va cac quyen va nghia vu khac theo quy dinh cua phap luSt.

2. Ngtrai dai dien theo phap luSt cita Cong ty la Tong Giam dee C8ng ty. 3. Twang h9p nguai dai dien theo phap luSt xuAt canh khOi Viet Nam thi phai uy

quyen bang van ban cho nguai khac thuc hien quyen va nhiem vu cua nguai dai dien theo phap luSt. Trong twang h9p nay, nguai dai dien theo phap luSt van phai chiu trach nhiem v'e viec thtrc hien quyen va nhiem vu da uy quyen.

4. Twang h9p het thai han uy quyen theo khoan 3 Dieu nay ma nguai dai dien theo phap lust dm Cong ty chtra, tra lai Viet Nam va khong c6 uy quyen khac thi nguai ducc quyen Van tip tyc thip hien cac quyen va nhiem vu cua nguai dai dien theo phap lust cua COng ty trong pham vi da duce uy quyen cho den khi nguai dai dien theo phap 1114 cua Cong ty tra lai lam vi'ec tai COng ty hoac cho den khi Hei deng thanh vien (dupe sir chip thulan cua Chu so him) guy& dinh cir nguai khac lam nguai dai dien theo phap lust cua Cong ty.

5. Twang hop nguai dai dien theo phap luSt yang mat tai Viet Nam qua 30 ngay ma kh8ng fly quyen cho nguai khac thuc hien cac quyen va nhiem vu cua nguai dai dien theo phap luSt hoc bi chet, mat tich, tam giam, ket an tu, bi han the hoc mat nang ltrc hanh vi dan sty thi Hei deng thanh vien (dirge su chAp thulan dm Chu hiru) cir nguai khac lam dai dien theo phap luat cua Cong ty.

6. Trong met se truang h9p dac biet nguai dai dien theo phap lust do TOa an c6 thAm quyen chi dinh trong qua trinh t6 tung tai TOa an.

Dieu 4. Pham vi hoat dung kinh doanh

1. Nghiep vu kinh doanh cua C8ng ty la: a. Moi gioi chung khoin; b. Tu doanh chirng khodn; c. Bao lanh phat hanh chirng khoan; d. Tu vAn du to chirng khoan.

2. Ngoai cac nghilep vu kinh doanh chang khoin quy dinh tai khoan 1 DiLi nay,

Cong ty &rye cung cap dich vu km ky chirng khodn, tu vAn tai chinh, nhian uy

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tilde quan ly tai khoan giao dich chirng khoan cua nha dau to va cac dich vu tai chinh khac theo quy dinh dm BO Tai chink. Cong ty c6 the tien hanh host Ong kinh doanh trong cac linh vue khae dirge phap lust cho phep va dugc I-10i Ong thanh vien chap thuan.

3. C8ng ty CO the 136 sung, rut bat mot hoac mot s6 nghiep vu kinh doanh neu tsi khoan 1 Dieu nay sau khi dugc UBCK chap thuan.

Dieu 4A. Phat hanh chirng quyen co bat) dam

1. Chung quyen c6 bao dam la chirng khoin c6 tai san bao dam do Cong ty phat hanh, cho phep ngtrai sa hitu dugc quyen mua (chung quyen mua) hoac dirge quyen ban (chung quyen ban) chirng khoan co sa cho Cling ty theo mot mire gia da dugc xac dinh truac, tsi hoac trtrac mot thai diem da dugc an dinh, hoac nhan khoan tien chenh lech giira gia thus hien va gia chung khoan ca so tsi thai diem thuc hien.

2. Can cu quy dinh cua phap lust va su chap thuan cua UBCK, Cong ty se ph& hanh chimg quyen c6 bao dam va thuc hien tact ca cac nghiep vu lien quan den chimg quyen c6 bao dam. Ben csnh do, Cong ty se thuc hien tat ca cac quyen va nghia vu caa to chi:re phat hanh d6i vai ngueri sa him chirng quyen theo quy dinh cua phap lust.

3. Ngtrai sa hi u chimg quyen la nha dau to sa hire chung quyen, d6ng thai la chn ng c6 bao dam mot phan cua Cong ty va khong phai la to chirc phat hanh chimg quyen. Ben csnh do, ngtrai sa huu chirng quyen c6 the quyen va nghia vu theo quy dinh cua phap lust va theo not dung ban cao bsch cua Cong ty khi chao ban chung quyen.

Dieu 5. Mne tieu host Ong

Mgc tieu hog Ong dm Cong ty la sir dung v6n hieu qua nham gia tang lgi nhuan, phat trien Cong ty ngay cang Ian manh, 'Jong gop cho Ngan sach Nha mak va cac host Ong cong Ong nham htrang den mnc tieu chung phat trien xa hOi ben yang va thinh vugng.

Dieu 6. Nguyen tie host Ong

1. Tuan thir phap luSt ve chung khoan va thi twang chirng khoan va phap lust c6 lien quan;

2. Thuc hien hog Ong kinh doanh mot each cong bang, trung thuc; 3. Ban hanh quy trinh nghiep vu, quy trinh kiern sok not bo va quart tri raj ro, quy

tac dao dire hanh nghe phu h9p vai nghiep vu kinh doanh cua Ong ty; 4. Dam bao nguem luc ve con ngtrai, v6n va co sa vat chat can thiet de phuc vu cho

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hog Ong kinh doanh chirng khoin, tuan thu quy dinh cfia phap lug; 5. Tach biet ve van phong lam viec, nhan sty, he th6ng du lieu, bao cao giira cac b0

phan nghiep v, a dam bao tranh xung dOt lgi ich giva C8ng ty vOi khach hang, gift khach hang \fed nhau. Ong ty phai ding b6 cho khach hang biet truck ve nhang xung dot lgi ich c6 the Oat sinh giira COng ty, ngtroi hanh nghe va khach hang;

6. 136 tri ngtroi hanh nghe chirng khoan phi.' hop vai nghiep vu hoat Ong kinh doanh. Ngtreyi hanh nghe chirng khoan thuc hien nghiep vu to doanh chirng khoan khong dugc ding tiled thuc hien nghiep vu moi giai chirng khodn;

7. Du bao gia hoac khuyen nghi giao dich lien quan den mot loci chimg khoan cu the tren cac phucmg tien truyen thong phai ghi ro co so phan tich va nguen trich dart thong tin.

Dieu 7. Quyen cfia Cong ty

1. Co tat ca cac quyen theo quy dinh cfia Lug Doanh nghiep neu cac quyen do khong mau than Alai quy dinh cira Lug Chung khodn;

2. Cung eh) dich vu ve chung khoan va cac dich vu tai chinh trong pham vi phap lug cho phep;

3. Thuc hien thu phi, le phi phi) hop v6i quy dinh dm BO Tai chinh; 4. Thuc hien cac hog Ong can thiet khac trong khuon kh6 phap lug khong cam

nham dat ducc mac tieu C8ng ty da de ra.

Dieu 8. Nghia vu cfia Cling ty

1. Nguyen tac chung: a. Thuc hien day du cac nghia vu theo quy dinh cua Lug Doanh nghiep; b. Thiet lap he th6ng kiem toan nOi b0, kiem soat nOi b0, quan tri rui ro va giam

sat, ngan ngira nhang xung dOt lgi ich trong nOi b0 C8ng ty va trong giao dich voi ngtroi c6 lien quan;

c. Tuan thir cac nguyen tac ve quan tri cong ty theo quy dinh cua phap 1114 va Dieu le COng ty;

d. Tuan thu cac quy dinh ve an toan tai chinh theo quy dinh dia. BO Tai chinh; e. Mua bao hiem trach nhiem nghe nghiep (neu co) cho nghiep vu kinh doanh

chfing khoan tai Cong ty hoac trich lap quy bao ve nha dau to de bei thtremg thiet hai cho nha dau to do su c6 kS", thug ho4c so sat cua nhan vien;

f. Luna giir day du cac chung tir va tai khoin phan anh chi tiet, chinh xac cac giao dich cfia khach hang va cua Ong ty;

g. Thuc hien viec ban hoac cho khach hang ban chirng khoan khi khong so hau chirng khoan va cho khach hang vay chirng khoan de ban theo quy dinh cua BO Tai chinh;

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h. Tuan thu cac quy djnh cila BO Tai chinh va UBCK ve thkrc hien nghiep vu kinh doanh chUng khoin;

i. Thkrc hien the d6 ke toan, kiem toan, th6ng ke, nghia vu tai chinh theo quy dinh cua phap lust c6 lien quan;

j. Thkrc hien cong 1)6 thong tin, bao cao NIA km trir theo quy dinh ctla Luat Doanh nghi'ep, Lust Chung khoan va cac van ban twang dan thi hanh;

k. Dong gop quy 116 trg thanh toan theo quy dinh;. 1. Bao dam quyen va lgi ich cua ngu6i lao d6ng theo quy dinh cua Luat Lao

d'Ong, ton trgng quyen to chirc Cong doan theo quy djnh cua phap lust. 2. Nghia vu de3i v6i Thanh vien:

a. Phan dinh ra trach nhiem gift H6i deng thanh vien v6i Chu tich HOi ang thanh vien, Ban kiem soat de quan 1$, phu hgp v6i quy dinh cua phap lust;

b. Thiet lap N th6ng thong tin lien IN v6i thanh vien de dam bao cung cap thong tin day du va doi xir cong bang giira cac thanh vien, dam bao cac quyen va Igi ich h9p phap cua thanh vien;

c. Khong dugc thirc hien cac hanh vi sau: Cam ket ve thu nhap, lgi nhuan cho cac thanh vien; Nam gilt bat hgp phap cac lgi itch, thu nhap cua cac thanh vien; Cung cap tai chinh hoc bao lanh cho cac thanh vien mot cach trkrc tip hoac gian tiep; cho vay duoi m9i hinh thirc d6i v6i Chu so him, thanh vien Ban Kim soat, thanh vien H6i d6ng thanh vien, thanh vial Ban T6ng Giam d6c, Ke toan truong, cac chIrc danh quan 1St khac do H6i d6ng thanh vien b6 nhiem va ngueyi c6 lien quan cua nhirng d6i tugng nay; Xam pham den cac quyen cua thanh vien nhu: quyen so huu, quyen giao dich cong bang, quyen dugc cung cap th6ng tin, cac quyen va lgi ich hgp phap khac.

3. Nghia vu doi voi khach hang: a. Luon gift char tin v6i khach hang, killing xam pham tai san, quyen va lgi ich

hop phap khac cua khach hang; b. Quan LS, tach bach tien va chirng khoan cua tirng khach hang, quan 1$, tach

bach tien va clang khoan cua khach hang v6i tien va chirng khoan cua Cong ty. Mgi giao dich bang tien cua khach hang phai dugc Ging ty thkrc hien qua ngan hang. Kh6ng lam dung cac tai san do khach hang tay thac cho Cong ty quail 15, va tien thanh toan giao dich cUa khach hang, chUng khoan cua khach hang km lc)", tai Cong ty;

c. KS, hgp d6ng bang van ban vai khach hang khi cung cap dich vu cho khach hang; cung cap day du, trung thkrc thong tin cho khach hang khi thirc hien dich vu ma minh cung cap;

d. Chi dua ra 16i to van phii h9p voi khach hang tren co so no lac thu thlap

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thong tin ve khach hang: thu thep, tim hieu thong tin ye tinh hinh tai chinh, myc tieu dau ttr, kha Wang chap nhen rui ro, kS, v9ng lqi nhuen cua khach hang va cep nhet thong tin theo quy dinh cua phap luet. Bao dam cac khuyan nghi, to van du to cua Cong ty cho khach hang phai phis h9p vai timg khach hang;

e. Chiu trach nhiem ve dO tin cay cua nhang thong tin cong 1)6 cho khach hang. Dam bao rang khach hang dua ra cac quyet dinh dau to teen ca set dA dugc cung cap thong tin dAy du, bao g6m ca not dung va rui ro cua san pham, dich vu cung cap. Nghiem cam m9i hanh vi gian d6i va cong b6 thong tin sai sg that;

f. Then trong, kh6ng tao ra xung d6t 10 ich v6i khach hang. Trong tru6ng h9p khong the tranh dugc, Ong ty phai thong bao tar& cho khach hang va ap dyng cac bien phap can thiet de dam bao doi xir cong bang vai khach hang;

g. U'u tien thgc hien lenh cua khach hang truere lenh cua Ging ty; h. Thiet lap mot b6 phen chuyen trach, chiu trach nhiem thong tin lien lac voi

khach hang va giai guy& cac thac mac, khieu nal cua khach hang; i. Hoan thanh nghia vu cua minh v6i khach hang mot each tot nhat; j. Bao met thong tin ciia khach hang:

Cong ty c6 trach nhiem bao met cac thOng tin lien quan den s6 h ru chirng khoan va tien cda khach hang, tir chi viec dieu tra, phong toa, cAm gift, trich chuyen tai san cua khach hang ma khong co sty dtmg y cua khach hang; Quy dinh tai diem nay khong ap dung trong cac trtr6ng h9p sau day: • Kiem toan vien thyc hien kiem toan bao cao tai chinh cua Cong ty; • Cung cap thong tin theo yeu eau cua co quan Nha nude c6 tham

quyen.

Dieu 9. Cac quy dinh ve cAm va h#n the

1. Quy dinh d6i vai Cong ty: a. Killing dugc dim ra nhen dinh hoc bao dam v6i khach hang ye mire thu nhep

hoec 10 nhuen dat dugc tren khoan dAu to cua minh hoec bao dam khach hang khong bi thua 16, ngoai trir dau to vao chirng khoan c6 thu nhep co dinh;

b. KhOng dugc thoa thuen hoc dua ra ldi suit cu th6 hoec chia se 10 nhuan/thua to vai khach hang de loi keo khach hang tham gia giao dich;

c. Khong dugc trite tiep hoc gian tiep thiet lap cac dia diem ngoai cac dia diem giao dich dä dugc UBCK chap thuan de 14 herp d6ng, nhen lenh, thtrc hien lenh giao dich chirng khoan hoc thanh toan giao dich chirng khoan vai khach hang;

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d. Khong nhan lenh, thanh toan giao dich voi ngtreyi khac khong phai la ngtred &mg ten tai khoan giao dich ma khong c6 ay quyen cua khach hang bang van ban;

e. Kh6ng sir dyng ten hoac tai khoan caa khach hang de dang 14, giao dich chirng khodn;

f. Khong chiem dung chirng khodn, tien hoac tam giir chang khoan cita khach hang theo hinh thirc km 14 duo•i ten Cong ty;

g. Khong dugc ti& 16 thong tin ve khach hang trir khi dugc khach hang d6ng hoac theo yeu cau cua co quan quan ly nha nu& c6 thAm quyen;

h. Khong dugc thkrc hien nhang hanh vi lam cho khach hang va nha dL to hieu nhAm ve gia chi:mg khodn;

i. H9p ding mo• tai khoan giao dich chang khoan khong dugc china dung nhang thod thuan nham tr6n tranh nghia vg phap ly cua Cong ty; han the pham vi bed throng cua Cong ty hoac chuyen raj ro tir Cong ty sang khach hang; buOc khach hang thuc hien nghia vu b6i thuong mot each khong cong bang va cac thoa thuan gay bAt lgi mot each kh8ng cong bang cho khach hang.

2. Quy dinh di v6i ngtroi hanh nghe chang khodn: a. Trir twang hop dugc cir la nguari dai dien cho phAn von g6p hoac dugc cu

vao Ban quan ly cong ty cua to chirc soy him Ong ty hoac to chat ma C6ng ty du tu, ngtred hanh nghe chang khoan khong dugc: - D6ng thai lam viec cho to chirc khac c6 quan he so• hiru vai Cong ty;

Wong thai lam viec cho cong ty chang khoan, cong ty quail 13'7 quy khac; Wong tiled lam Giam dee (T6ng Giam d6c) cua mot to chirc chao ban chang khoan ra cong chang hoac to chine niem yet;

b. Chi dugc ma tai khoan giao dich chCrng khoan cho minh (neu co) tai Cong ty. Quy dinh nay khong ap dung doi vori truong hgp khi Cong ty khong phai la thanh vien caa So. giao dich chang khodn;

c. Khi thtrc hien cac nghiep vu cua Cong ty, ngtroi hanh nghe chang khoan la ngtroi thay mat cho Ging ty de thtrc hien cac giao dich voi khach hang va Cong ty phai chit' trach nhiem ve m9i hoat d6ng cua ngued hanh nghe chi:mg khoan trong pham vi cong viec dugc giao. Khong dugc sir dung tien, chang khoan tren tai khoan caa khach hang khi khong dugc Cong ty uy quyen theo skr ay thac caa khach hang cho C6ng ty bang van ban;

d. Tuan thit cac quy dinh ve dao dire nghe nghiep, cac chinh sach, quy dinh not b6 cua Cong ty ciing nhtr cac yeu cAu, quy dinh caa phap luat hien hanh.

3. Quy dinh doc i voi thanh vien H6i d6ng thanh vien, Truong Ban Kiem soat, thanh vien Ban T6ng Giam d6c: a. Thanh vien H6i ang thanh vien caa Ong ty khong dugc d6ng thai la thanh

vien H6i d6ng quan tri, thanh vien H6i d6ng thanh vien, Giam dec (T6ng

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DIEU LB CONG TY TNBH MTV CHUNG KHOAN MAYBANK KIM ENG

Giam d6c) cua cong ty chirng khoan khac; b. Trtrong Ban Kiem soat khOng dugc dOng th6i la thanh vien Ban Kiem soat,

ngtr6i quail VT ctia cong ty chirng khoan khac; c. TOng Giam doe, Pho TOng Giam dOc khong dugc dOng th6i lam viec cho

cong ty chi ng khoan, cong ty quan ly quy hoac doanh nghiep khac. TOng Giam &Se khong dugc la thanh vien I-10i dOng quan tri, thanh vien I-10i dOng thanh vien cua ding ty chi ng khoan khac.

Chuang II

VON DIEU Lt, CHU SO IIITU

Muc 1: VON DIEU LE

Ditu 10. Viin di'tu le

VOn dieu le dm Cong ty la 1.056.110.000.000 dOng (mOt nghin, khong tram nam muoi sat' ty, mOt tram mtraci trieu dong).

Dieu 11. Chuy& nhinyng phan von Op

1. Cong ty có the chuyen nhuvng mOt phAn hoac toan bo von dieu le cua minh sau ba (03) nam ice tir ngay duvc,cap GiAy thanh lAp va hog d'Ong.

2. Giao dich lam thay dOi quyen sex him phAn von gop chiem tir mtr6i phAn tram (10%) tror len vein dieu le da gOp ctia COng ty phai dirge UBCK chap thuAn, trir truamg hop chuyen nhircmg theo guy& dinh cita T6a an.

Dieu 12. Cach thin tang, giam yen dieu le

1. Sau khi chinh thirc di vao hog dOng, C8ng ty co the tang, giam yen dieu le theo guy& dinh cita Chu so htiu neu dap ung quy dinh cua phap luAt hien hanh.

2. Cach thirc tang von dieu le ctla C6ng ty: Tang von gop caa Chu so• hat; Tiep nhAn von gop cua thanh vien mot Ket chuyen lgi nhuAn de 14i, cac nguOn vein h9p le khac theo quy dinh cua phap luAt; Chuyen ng thanh von gOp theo thoa thulan giCra Cong ty va chit ng.

3. Viec giam von dieu le do Chu so hCru guy& dinh nhung van phai dam bao dieu kien ve von phap dinh sau khi giam von theo quy dinh hien hanh.

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Muc 2: CHU S6 H1711, QUYEN VA NGHIA VU CUA CHU SO IFICU

Dieu 13. Thong tin ye Chu hint

Ten chn so. him: MAYBANK KIM ENG HOLDINGS LIMITED Qu6c tich: Singapore GiAy phep thanh lap: 198900204D Dia chi trki se( chinh: 50 North Canal Road #03-01 Singapore 059304

Dieu 14. Quyen ciia Chu so' hint

1. Quydt dinh nOi dung Dieu ld Cong ty, sira doi, b6 sung Didu le Cong ty; 2. Quydt dinh chitin luvc phat tridn va kd hosch kinh doanh hang nam cua Ong ty; 3. Quyk dinh ca cau to chile quail 13'7 Cong ty, b6 nhidm, mien nhidm, bai nhi:01

nguo•i quail 13'7 Cong ty; 4. Quydt dinh cac dg an dau to phat tridn c6 gia tri bang hoc 16n han nam muai

phan tram (50%) tong gia tri tai san dugc ghi trong bao cao tai chinh gan nhAt cna Cong ty;

5. Thong qua hgp dOng vay, cho vay c6 gia tri bang hoc 16n han nam muai phan tram (50%) tong gia tri tai san dugc ghi trong bao coo tai chinh gan nhAt cua Cong ty;

6. Thong qua cac h9p d6ng c6 gia tri bang hoc 16n han nam muai phan tram (50%) tong gia tri tai san dugc ghi trong bao cao tai chinh gan nhAt cna Ong ty;

7. Quydt dinh ban tai san c6 gia tri bang hoc Ian han nam muai phan tram (50%) tong gia tri tai san dugc ghi trong bao cao tai chinh gan nhAt cua Cong ty;

8. Quydt dinh tang, giam von didu le cna Cong ty; chuydn nhugng mot phan hoc toan bo von didu le cua Cong ty cho to chirc, ca nhan khac;

9. Quydt dinh thanh 1Sp/dong cfra ding ty con, chi nhanh, van phong dsi dien, phong giao dich, gop von vao ding ty khac;

10. T6 chnc giam sat va danh gia hog dong kinh doanh cua Cong ty; 11. Quydt dinh vide sir citing Igi nhuan sau khi da hoan thanh nghia vu thud va cac

nghia vu tai chinh khac eh's. Cong ty; 12. Quydt dinh to chirc Isi, giai thd va yeti can pha san Cong ty; 13. Thu h6i toan 130 gia tri tai san cua Cong ty sau khi Cong ty hoan thanh giai the

hoc pha san; 14. Cac quydt dinh khac c6 lien quan ddn vidc quan ly, didu hanh cong ty va khong

trai v6i cac quy dinh phap lust hien hanh.

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Dieu 15. Nghia vy ctia Chit s6 hfru

1. Gop von day du va dung han von Dieu le Cong ty; 2. Tuan thit Dieu le Cong ty va cac quy dinh cua phap luat; 3. Phai xac dinh va tach biet tai san cua Chit sof hiru Cong ty va tai san cua Cong ty; 4. Tuan thu quy dinh cua phap luat ve hop dOng va phap luat c6 lien quan trong

viec mua, ban, vay, cho vay, thue, cho thue va cac giao dich khac giira Chit s6 hiru va Cong ty;

5. Chit so'. Kau Cong ty chi dirge quyen rut von bang each chuyen nhirgng mot phAn hoac toan 130 so von dieu le cho to chirc hoac ca nhan khac; twang h9p rut mot phAn hoac toan 130 On da gop ra khoi Cong ty dtr6i hinh thirc khac thi Chu so hire va ca nhan, to chine c6 lien quan phai lien doi chiu trach nhiem ve cac khoan ng va nghia vy tai san khac cua Cong ty;

6. Chit' so hiru Cong ty khong duvc rut lgi nhuan khi Ong ty khong thanh toan du cac khoan ng va nghia vy tai san khac den han.

7. Thyc hien cac nghia vy khac theo quy dinh cua Luat Doanh nghiep va Dieu le Cong ty.

Chtrung III

QUAN TRI, DIEU HANH CONG TY

Dieu 16. BO may quan tri diL hanh cua Cong ty

1. HOi d'ong thanh vien. 2. Ban TOng Giam &Sc. 3. Ban Kim soat.

I. HOi dOng thanh vier)

Di&I 17. Quytn va nghia vy ctia Hoi diing thanh vien

1. HOi Sing thanh vien gom tir ba (03) an nam (05) thanh vien do cm so hilu Cong tybO nhiem voi nhiem kY ba (03) nam. Chit se( hire Cong ty c6 quyen thay doi thanh vien bdt cir khi nao can thiet. HOi &Ong thanh vien c6 the chive Chil so hiru bo nhiem lai v6i so nhiem kSI khong han ch6. HOi &mg thanh vien nhan danh Chit so. hiru Cong ty thyc hien cac quyen va nghia vy cua Chu sa hiru C8ng ty, trir cac trirong hgp phap luat va Dieu le COng ty quy dinh phai c6 duvc Chu s6 hiru C8ng ty chap thuan; nhan danh Cong ty thirc hien cac quyen va nghia vy cua Cong ty, trir cac quyen va nghia vu cita TOng Giant d6c; chiu trach nhiem try& phap 1114 va Chit sa hau COng ty ye viec thyc hien cac quyen va nhiem vy

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dugc giao theo quy dinh cua phap luat. 2. Quyesn va nghia vu cua H6i dong thanh vien:

a. Thik lap mot quy trinh chuan ves triki tap h9p va biehu guy& tai cuOc h9p HOi Sing thanh vien; phoi h9p hog d6ng giira HOi d6ng thanh vien voi Ban Kim soat va Ban T6ng Giam d6c.

b. Thik lap cac bi) phan hoac cir ngueri thuc hi6n nhi6m vu ki6m toan not bo va quan tri rui ro nham quy dinh chinh sach chitin lugc quan 15, rui ro trong hog d6ng cua Cong ty va ki6m tra, danh gia v6 sir phis hgp, hi6u qua dm he th6ng quan tri rui ro da dirge thik lap trong Ging ty.

3. Trong qua trinh thuc thi nhi6m vu cua minh, H6i Sing thanh vien dugc twang thu lao va Igi ich khac ding nhu phai thus hilen cac trach nhi6m cua minh theo cac quy dinh tai Luat Doanh nghi6p.

Dieu 18. Cu6c hop HOi dimg thanh vier'

1. S6 lugng, theri gian, dia diem h9p: a. H6i d6ng thanh vien to eh& h9p toi thiL b6n (04) Ian trong mot nam; b. CuOc h9p cua H6i Sing thanh vien dirge to chirc tai try so chinh cua Cong ty

hoac tai cac dia di6m khac trong hoac ngoai pham vi lanh the) Vi6t Nam. 2. Tri6u tap h9p H6i d6ng thanh vien:

a. H6i Sing thanh vien dirge tri6u tap hop theo yeu cAu cua Chu tich H6i ding thanh vien. Chu tich H6i dong thanh vien chuAn bi chuang trinh, not dung tai li6u h9p va tri6u tap hop HOi ding thanh vien. Thanh vien c6 quyesn kin nghi b6 sung not dung chucmg trinh hop khi can thi& voi 15/ do cu the va giri kin nghi cho Chu tich H6i dong thanh vien bang van ban hoac qua cac phuang tin din tir cham nhAt mot (01) ngay lam vi6c truot ngay h9p. Kin nghi phai c6 cac not dung chi' y6u theo quy dinh cua phap luat. Trong truang hop kin nghi dirge de trinh ngay truck khi h9p thi kin nghi dugc chAp thuan n6u da s6 cac thanh vien du h9p tan thanh;

b. Thong bao mei h9p H6i d6ng thanh vien co th6 bang giAy mei, din thoai, fax hoac cac phuang tin din tir khac va dirge giri true tip cho thanh vien. N6i dung thong bao mai h9p phai xac dinh 1.6 thai gian, dia di6m va chuang trinh h9p. Tai HO sir dung trong cuOc hop lien quan d6n guy& dinh ye sira d6i, b6 sung Dieu le C6ng ty, thong qua phuang huong pith tri6n Ong ty, thong qua bao can tai chinh hang nam, to chic lai hoac giai the Cong ty phai dirge giri den cac thanh vien cham nhAt bay (07) ngay lam vi6c ft-11.6c ngay h9p. Thai han giri cac tai lieu khac la hai (02) ngay lam vice twat ngay h9p;

c. Twang hgp thanh vien yeu cAu hop H6i d6ng thanh vien thi yeu eau triesu tap h9p va 1S, do hop phai bang van ban hoac dirge giri qua cac phuang tin din tir khac cho Chu tich HOi dong thanh vien. Chu tich H6i dong thanh vien phai tri6u tap hop trong thoi han muoi lam (15) ngay, k6 tir ngay nhan dirge yeu

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cL. Truing hop Chit tich HOi ding thanh vien khong trieu tap hop HOi ding thanh vien theo quy dinh thi phai chiu trach nhiem ca nhan trtr6c phap luat ve thiOt hai xay ra d6i vbi Cong ty va cac thanh vien co lien quan. Twang hop nay, thanh vien A' you cL trieu tap hop flOi ding thanh vien c6 quyen trieu tap hop HOi ding thanh vien va dugc Cong ty hoar' lai chi phi hop ly cho viOc trieu tap hop nay.

Dieu 19. Dieu MO hop va the thtic tien hanh hop 111)11 dong thanh vien

CuOc h9p cua HOi Sing thanh vien dugc tin hanh khi co it nhat hai phan ba (2/3) ding s6 thanh vien dtr h9p. Moi thanh vien co mot phieu bieu guy& c6 gia tri nhix nhau. Cac thanh vien c6 the den tham dtr hop hoac tham dtr thong qua diOn thoai hOi nghi theo sty htrong dan cna C8ng ty.

Dieu 20. Thong qua guy& dinh ciia 110i cling thanh vien

1. HOi ding thanh vien thong qua cac quyet dinh thuOc tham quyen bang hinh thirc bieu guy& tai cuOc h9p hoac lay y kien bang van ban hoac thong qua cac phtrang tin diOn tir. Cac van de sau day phai dugc th8ng qua bang hinh thirc bieu guy& tai cuOc hop HOi ding thanh vien: a. Sim doi, b6 sung Dieu le Cong ty; b. Quyet dinh phtrang htrang phat trien Cong ty; c. Bau, mien nhiem, bai nhiem Ring Giam d6c, Pho -Ring Giam d6c, Giam d6c

chi nhanh, Giam d6c Tai chinh Ke toan; thong qua de xuat b6 nhiem, mien nhiOm, bai nhiem Truing phOng Kiem toan not b0;

d. Thong qua bao cao tai chinh hang nam; e. Thong qua de xuat mo tai khoan tai cac ngan hang; f. Quyet dinh thanh lap/dung cira cong ty con, chi nhanh, van phong dai dien,

phong giao dich; g. T6 chirc lai hoac giai the Cong ty.

2. Quyet dinh cua HOi ding thanh vien dugc thong qua khi co hon mot nfra s6 thanh vien dtr hop tan thanh. Viec stira doi, bi sung Dieu lO Cong ty, to chirc lai Cong ty phai dugc it nhat ba phan to (3/4) s6 thanh vien dtr h9p chip thuan.

3. Thanh vien dugc coi la tham dtr va bieu guy& tai cuOc h9p HOi ding thanh vien trong truing hop sau day: a. Tham dtr va Neu quyet trtrc tiep tai cuOc hop; b. Tham dtr NIA bieu guy& thOng qua dien thoai hOi. nghi.

4. Quyet dinh cua flOi &Ong thanh vien c6 hiL lire ke tir ngay dugc thOng qua hoac tir ngay co hiL lire dugc ghi r8 trong Quyet

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Dieu 21. Bien ban hop HOi ding thanh vien

1. Cac cuec h9p cua Hoi ding thanh vien phai &roc ghi bien ban va c6 the ghi am hoac ghi va luu tru• duoi cac hinh thirc dien tir khac.

2. Bien ban hop lap bang tieng Viet va c6 the lap them bang tieng nuo.c ngoai. Bien ban lap bang tieng Viet va tieng nu& ngoai co hieu luc ngang nhau. Trubmg hop c6 su khac nhau ve nOi dung thi nei dung trong bien ban tieng Viet c6 hieu luc ap dung.

3. Bien ban hop Hoi ding thanh vien phai lam xong va thong qua ngay truck khi ket thfic cuOc hop. Bien ban phai c6 cac nei dung chn yeti sau day: a. Thai gian va dia diem hop; moc dich, chuang trinh hop; b. HO, ten dia thanh vien du hop; 119 va ten dm thanh vien khong du hop; c. Van de duorc thao luau va bieu quye't; tom tat St kien phat bieu cua thanh vien

ve timg van de thao Juan; d. Tong se) phieu Neu guy& tan thanh, khong tan thanh, khong coy kien d6i vii

tong van de bieu quyet; e. Cac guy& dinh duot thong qua; f. HQ, ten, chir lcSt cua cac thanh vien hoac chn toa cuec hop va thu ky cuec

hop. 4. Thu 14 cuOc hop va chn toa cuOc hop chit) trach nhiem lien dol ve tinh chinh xac

va trung thuc cua nOi dung bien ban hop HO dung thanh vien.

Dieu 22. Chii tich Hoi ding thanh vien, Pho Chii tich Hoi cling thanh vien

1. Chu tich Hoi ding thanh vien do Chu sa hal Cong ty bi nhiem. Trong throng hop xet thay can thiet, Chu sOr hitt' se be nhiem Pho Chu tich Hoi ding thanh vien.

2. CHI tich HOi ding thanh vien co the kiem Tong Giam d'6c Cong ty. 3. Nhiem kSt cua Chu tich Wei ding thanh vien la ba (03) nam. Chu tich HOi ding

thanh vien c6 the &roc bi nhiem Iai vii so nhiem kSt khong han 4. Quyen va nghlta vu cua Chu tich HOi ding thanh vien:

a. ChuAn bi chuong trinh, ke hoach hoat Ong cna flOi ding thanh vien; b. Chuan bi chuang trinh, nOi dung, tai lieu hop HOi ding thanh vien hoac de

lay St kien cac thanh vien; c. Trieu tap va chi" tri cuOc hop Hoi ding thanh vien hoac to chat viec lay 'y

kien cac thanh vien; d. Giam sat hoac to chirc giam sat viec thuc hi'en cac guy& dinh cua Hoi dung

thanh vien; e. Thay mat HOi dung thanh vien ky cac quyet dinh cua Hoi ding thanh vier),

bien ban ket qua lay. St kien HOi ding thanh vien va cac giay to khac thuc tharn quyen va theo quy dinh phap luat.

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f. Thkrc hien cac nhiem vu theo yeu cau cua Chil sey 5. True:mg hyp Chu tich 1-10i Ong thanh vien yang mat hoac khong du nang lire de

thtrc hien cac quyen va nhiem vu cua minh thi Chu tich 140i (long thanh vien uy quyen bang van ban cho met thanh vien khac thus hien cac quyen va nhiem vu dm Chit tich HOi Ong thanh vien. Trtremg hop khong c6 thanh vien dtryt uy quyen thi Ph6 Chit' tich Hei Ong thanh vien (neu co) hoac met thanh vien trong so cac thanh vien con lai dupe flei Ong thanh vien chap thuan theo nguyen tac da s6 se tam alai thtrc hien quyen va nghia vu cua Chit tich Hoi d'eng thanh vien cho den khi c6 cac guy& dinh chinh thirc cua Chu sot hat.

6. Chit tich HOi deng thanh vien phai thkrc hien trash nhiem cua Chu tich HOi Ong thanh vien theo quy dinh tai Dieu 71 Lug Doanh

7. Ph6 Chu tich Hei Ong thanh vien tlykrc hien quyen va nghia vu theo quy dinh tai Dieu 17 Dieu le nay Ong thai thtrc hien cac cong viec, nhiem vu theo sir phan cong ho4c fly quyen cua Chu tich HOi Ong thanh vien.

Dieu 23. BO phan Kiem toan nOi b9 va Quail tri riii ro cua HOi deng thanh vier)

1. B9 phan Mem toan nei be thkrc hien shire nang cua minh tren nguyen tac dos lap, trung thtre, khach quan va bao mat. Cac shire nang, nhiem vu cu the cua 130 phan Kiem toan nei be nhtr sau: a. Danh gia met each dee lap ve sir phu h9p va tuan thu cac chinh sach phap

lug, Dieu le, cac quyat dinh cua Chu so. hilu, HOi ding thanh vien; b. Kiem tra, xem xet va danh gia sir day dfi, hieu qua va hieu ltrc cua he thong

kiem sok nOi 130 true thu9c Ban Tong Giam dec nham hoan thien he thong nay;

c. Danh gia viec tuan thu cua hog deng kinh doanh d6i voi cac chinh sach va quy trinh nei 139;

d. Tham muu thiet lap cac chinh sach va quy trinh nei b0; e. Danh gia viec tuan thu cac quy dinh phap lug, kiem sok cac bin phap dam

bao an toan tai san; f. Danh gia kiern toan nOi be thong qua thong tin tai chinh va qua trinh kinh

doanh; g. Danh gia quy trinh xac dinh, danh gia va quan1)"7rili ro kinh doanh; h. Danh gia hieu qua cua cac hog deng; i. Danh gia viec tuan thu cac cam ket trong h9p deng; j. Thuc hien kiem soat he thong cong nghe thong tin; k. Dieu tra cac vi pham trong nei 139 Cong ty; 1. Thtrc hien kiem toan not be Cong ty.

2. Chirc nang va nguyen tac hog Ong dm BO phan Quin tri rui ro: a. Quy dinh chinh sach, chien ltrgc quan ly rui ro; cac fiat' chan danh gia rui

ro; mire de rai ro tong the dm Cong ty va tirng be phan trong COng ty;

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b. Danh gia mat cach dac lap va su phit hop va tuan thit cac chinh sach, quy trinh rui ro cid dugc thiat lap trong Cong ty;

c. Kim tra, xem xet va danh gia su dAy du, hiau qua va hiau Luc oh he thong quan tri rui ro truc thu6c Ban Tang Giam dac nham hoan thin he thong nay.

3. Yeu cAu ve nhan su cua B6 phan Kim toan nOi a. 'Clang phai la ngtroi da tang bi xa phat tir mac phat tin treY len dtii voi cac

hanh vi vi pham trong linh vue chang khoan, ngan hang, bao him trong \Tong nam (5) nam gAn that tinh tori nam dugc ba nhiam;

b. Throng BO phan Kim toan not 136 phai la ngtreyi co trinh d6 chuyen mon va lust, ka toan, kiam tan; Co du kinh nghiam, uy tin, tham quyan de thuc thi c6 hiau qua nhiam vu dugc giao;

c. Khong phai la ngtroi c6 lien quan den cac twang b6 phan chuyen mon, ngtr6i thtrc hian nghiap vv, Tang Giam dac, Ph6 Tang Giant dac, Giam dac chi nhanh trong Ong ty;

d. Co Chang chi Nhang van de ca ban va chang khan va thi truerng chang khan va Chang chi Phap lust v'a chang khan va thi true:mg chang khan hoac Chang chi hanh ngha chang khan;

e. Khong kiem nhi'em cac ding viac khac trong C6ng ty.

II. Ban T6ng Giam d6c

Dieu 24. Thanh phAn, nghia vu va quyen han ciia Ban T6ng Giam d6c

1. Ban Tang Giam dac gam co Tang Giam dac, (cac) Pho Tang Giam dac, Gam dac Tai chinh Ka tan va (cac) Giam dac Khai.

2. Thanh vien Ban Tang Giam dac do flOi clang thanh vien ba nhiam hoc thue theo hop clang lao Ong v6i Cong ty.

3. Ban Tang Giam dac phai thiat lap va duy tri he that-1g thtrc thi quan tri rui ro nham dam bao ngan ngira cac rui ro c6 the anh huang tai lgi ich cua Cong ty va khach hang; thiat lap va duy tri he thong kiam soat nOi 136 bao gam ca cAu to chic, nhan su dac lap va chuyen trach, cac quy trinh, quy dinh not bo ap dung d6i veii tat ca cac vi tri, dun vi, 130 phan va host clang cita Ong ty nham bao dam mvc tieu theo quy dinh cua pita') lust.

4. Ban Tang Giam dac phai xay dung cac quy dinh lam viac de HOi (tang thanh vien thong qua, quy dinh lam viac tai thiau phai c6 cac not dung ca ban sau day:

Trach nhiam, nhiam \11,1 cu the dia tang thanh vien Ban Tang Giam dac; Quy dinh trinh tu, thu tvc to chic va tham gia cac cu6c hop;

- Trach nhiam bao cao dm Ban Tang Giam dac dai viii Hai cl6ng thanh Ban Kim sok.

5. Tang Giam dac la ngtral diau hanh moi hoat d'6ng kinh doanh hang ngay cua Cong ty, chiu sty giam sat dm Hai clang thanh vien va chiu trach nhiam tru6c Hai

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Sing thanh vien, truck phap lust ve viec thuc hien cac quyen va nhiem vu dirge giao. 'Ring Giam d6c c6 cac quyen va nghia vu sau: a. T6 chirc thuc hien cac quy& dinh cua I-10i Sing thanh vien; b. Quyet dinh cac van de lien quan den ding viec kinh doanh hang ngay cua

Cong ty theo thArn quyen phe duyet phan cap cua Cong ty; c. T6 chirc thuc hien Ice hoach kinh doanh va phtrang an dAu to cua Cong ty; d. Kien nghi phucmg an ca cAu to chirc, kien nghi hoac ban hanh quy the quan

ly no i b0 Cong ty; e. B6 nhiem, mien nhiem, bai nhiem cac chirc danh quan ly trong Cong ty, trir

cac chirc danh phai dugc HOi ding thanh vien phe duyet theo quy dinh tai Dieu 20 Dieu le nay;

f. Ky ket hgp dong nhan danh Cong ty, trir truerng hop cac h9p ding thuOc thAm quyen cua HOi ang thanh vien;

g. Trinh bao cao tai chinh hang nam len 1-10i ding thanh vien va Ban Kim soat; h. Kien nghi phtiang an sir dung lgi nhuan hoac xir lY16 trong kinh doanh; i. Tuyen dung lao ding; j. Quyet dinh tier' luang va cac lgi ich khac cua ngisori lao &Ong trong Cong ty; k. Cac quyen va nhiem vu khac dugc quy dinh tai h9p citing lao Ong ma Ttmg

Giam d6c ky von COng ty hoac theo yeu cAu/quyet dinh cua HOi (Ring thanh vien.

6. Quyen Igi va tract' nhiem cua thanh vien Ban Tong Giam d6c: a. Quyen lgi cua cac thanh vien Ban T6ng Giam doc:

Thanh vien Ban T6ng Giam d6c dugc quyen nhan tien luang can dr tren hop ding lao ding da ky kti v6i COng ty. Cac khoan thuong va quyen lgi khac theo quy dinh dm Tap doan. Tien luang cua cac thanh vien Ban T6ng Giam d6c dixac tinh vao chi phi kinh doanh cua Cong ty theo quy dinh cua phap lust va dugc the hien tren bao cao tai chinh cua Cling ty theo cac quy dinh hien hanh c6 lien quan.

b. Trach nhiem cua thanh vien Ban T6ng Giam d6c: - Thuc hien trach nhiem cua ngtrei quan 1Y, Cong ty theo dung quy dinh cua

phap lust va Dieu le COng ty.

Dieu 25. Tien chuan va dieu kien lam Tong Giam d6c

1. Co nang luc hanh vi dan su dAy du, khong thuc d6i ttrgng khong dugc quan ly doanh nghiep theo quy dinh cua Luat Doanh nghiep;

2. Co trinh dO chuyen mon, kinh nghiem thuc to trong quan tri kinh doanh hoac trong nganh, nghe kinh doanh cua Cong ty;

3. .Khong dugc Sing thai lam thanh vien HOi ding quan tri, thanh vien HOi ding thanh vien cho tong ty chirng khoan khac; khong ding tiled lam viec cho doanh nghiep khac;

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4. Dap Ung cac di'eu kien quy dinh T6ng Giam d6c cong ty chimg khoan theo quy dinh tai cac vAn ban phap luAt hu6ng &An ve to chirc va hog dOng ding ty chirng khoan.

Dieu 26. Mien nhiem, bAi nhiem Tong Giim d6c

`fling Giam d6c Cong ty bi mien nhiem, bdi nhiem trong cac truOng hgp sau: 1. Khong con du ti'eu chu'An va dieu kien lam Tling Giam de")c theo quy dinh tai

Dieu 25 Dieu le nay; 2. Co don xin tir chirc; 3. Theo guy& dinh cua Chii so. hiru hoc HOi diing thanh vien.

Dieu 27. BO phin Klein soat not bi) vi Quin tri rui ro trtrc thuc Ban TOng Giant d6c

1. BO phAn Kim soat not bc) c6 nhiem vu kiem soat tuan thil nhang not dung sau: a. Kim tra, giam sat viec tuan thu cac quy dinh phap luAt, Dieu le Cong ty,

guy& dinh cua Chu so, huu, guy& dinh cua Hoi &mg thanh vien, cac quy che, quy trinh nghiep vu, quy trinh quan tri rui ro cua Cong ty, cua cac 1)0 phAn c6 lien quan va cua ngueri hanh nghe chirng khoan trong COng ty;

b. Giam sat thuc thi cac quy dinh not bc), cac hog dOng tiem An xung dOt lqi ich trong not 13'0 Cong ty, dAc biet d6i vOi cac hog dOng kinh doanh cua ban than Cong ty va cac giao dich ca nhan cua nhan vien Cong ty; giam sat viec thuc thi trach nhiem cua can b0, nhan vien trong C8ng ty, thuc thi trach nhiem cua doi tac d6i voi cac hog dOng da uy quyen;

c. Kim tra not dung va giam sat viec thuc hien cac quy tac ve dAo dire nghe nghiep;

d. Giam sat viec tinh toan va tuan thu the quy dinh dam bao an toan tai chinh; e. Tach biet tai san cua khach hang; f. Bao quan, luu giix tai san cua khach hang; g. Kim soat viec tuan thii quy dinh cua phap luAt ve phong, chtmg rira tien; h. Nhang nhiem vu khac theo yeu cAu cua T6ng Giam dec.

2. Yeu cAu ye nhan su cua BO phAn Kiem soat not b0: a. Twang be2 phAn Kim soat not b0 phai la nguati c6 trinh do chuyen mon ve

luAt, ke toan, kiem toan; c6 du kinh nghiem, uy tin, thAm quyen de thuc thi co hieu qua nhiem vu dugc giao;

b. Khong phai la ngueri co lien quan den cac trix6ng bo phAn chuyen mon, ngirOi thuc hien nghiep vu, T6ng Giam dec, Pho T6ng Giam dec, Giam dec chi nhanh trong Cong ty;

c. Co Chung chi hanh nghe chirng khoan hoc Chang chi nhang vAn de co ban ve chirng khoan va thi truong chirng khoan; Chung chi phap luAt ve chirng khoan va thi truOng chirng khoan;

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d. Khong kiem nhitm cac ding vitc khac trong Cong ty. 3. Nhitm vu cilaht thOng thgc thi quan tri rui ro:

a. Xac dinh chinh sach thgc thi va mdc dO chip nhan rui ro cua Cong ty; b. Xac dinh rui ro cua Cong ty; c. Do ltrong rui ro; d. Giam sat, ngan ngira, ph& hitn va xir 1S, rui ro.

III. Ban Kim soat

Dieu 28. SO lugng thanh vien, thanh phAn va nhiem kj7 dm Ban Kiem soat

1. Ban Kim Soat g6m tir hai (02) d6n nam (05) thanh vien. Thanh vien Ban Kim soar va Trtrang Ban Kim soat do Chu soy hiru Ong ty b6 nhitm.

2. Nhitm kS7 dm Ban Kim soat la ba (03) nam. Ban Kim soat c6 the dtrgc 136 nhitm lsi vai s6 nhitm kSt khOng hsn cht. Trong trtreng hgp vao th6i ditm ktt thitc nhitm kST ma Ban Kim soat nhitm kS, m6i chua duvc b6 nhitm thi Ban Mtn' soat da htt nhitm kS, van tip tvc thgc hitn quytn va nhitm vu cho den khi Ban Kim soat nhitm kS, nu% dirge 136 nhitm va nhan nhitm vu.

3. Ban Kim sat phai c6 hurl mot nth s6 thanh vien thu6ng tru 6. Vitt Nam va khong phai la nhan vien trong b6 phSn ke toan, tai chinh cua C6ng ty cling nhtr khong phai la thanh vien hay nhan vien cCia cong ty kitm tan dOc lSp Bang thgc hitn vitc kitm toan cac bao cao tai chinh cho Cong ty.

Ditu 29. Quyen va nghia vu ciia Ban Kim soat

1. Quytn va nghia vu cita Ban Kim soat: a. Ban Kitm soat thtyc hitn giam sat H6i dtng thanh vien, Chu tich H6i dtng

thanh vien, Ban TOng Giam dOc trong vitc quart 1ST va ditu hanh Cong ty; chiu trach nhitm Mr& Chi] so. him Cong ty va phap lust vt vitc thgc hitn nhitm vu cua minh;

b. Kim tra tinh hgp phap, trung thgc va can tr9ng cua H6i d6ng thanh vien, Chu tich HQi d6ng thanh vien va Ttng Giam d6c trong t6 chirc th?c hitn quytn Chit' sof him, quan 1S1 diet' hanh cong vitc kinh doanh cua Cong ty cling nhtr cac cong tac quan tri rui ro, kiem soat nOi b6 va phap che tai Cong ty;

c. ThAm dinh bao cao tinh hinh kinh doanh; bao cao tai chinh hang nam cua Cong ty, bao cao kitm tan, dSc bit Cap trung vao nhang thay dti trong cac chinh sach k6 toan, cac sir kin quan trgng, cac sty kin bAt thtrong ding nhtr vitc tuan thu cac quy dinh, yeu cAu co lien quan Nit mg ke toan tilt& khi trinh Chit' sa him Ong ty hoc ca quan Nha my& c6 lien quan;

d. Kin nghi Chu so/ him Cling ty cac giai phap sira dti, 136 sung co cAu t6 chirc quail 1Sf, dito hanh cong vitc kinh doanh cua Cong ty;

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e. Xem xet bat kS/ he sa, tai lieu nao cua Ong ty tai try so chinh hoac chi nhanh, phong giao dich, van phong dai dien. Thanh vien Hei deng thanh vien, Chu tich Hei deng thanh vien, thanh vien Ban Tong Giam dee va lanh dao cac phong ban, be phan co nghia vu cung cap day du, kip thei cac thong tin ve thuc hien quyen Chit so. Wu, ve quan ly, dieu hanh va hog deng kinh doanh cua Cong ty theo yeu cau dm Ban Kiem soat;

f. Soat xet/danh gia/khuyen nghi (neu co) pham vi chuang trinh, quy trinh kiem toan nei 130, ket qua kiem toan Wei be ding nhtr cac bien phap khac phyc da thuc hien có phu hgp voi cac de xuat cua kiem toan nei be hay khong;

g. Danh gia hieu qua hog deng, xem xet viec b6 nhiem, mien nhigm va bai nhiem Trithng phong Mem toan nei b0;

h. Xem xet va danh gia hieu qua hog Ong cua nhan vien Kiem toan nei 130 bao gem cac van de v'e lucmg thuang va tang Krung;

i. Khuyen nghi (neu co) ye viec de cir hoac be nhiem lai cong ty Kiem toan dee lap va phi kiem toan ding nhtr cac van de lien quan den viec cham dirt hoac thay dei cong ty Mem toan d'ec lap;

j. Tham du va thao luan tai cac cuec hyp Hei deng thanh vier' va cac cuec hop khac cua Cong ty (khi can thiet);

k. Xay dung quy trinh kiem soat de Chu so hint thong qua; 1. Truong hgp phat hien thanh vier' HOi &mg thanh vien, thanh vien Ban Tong

Giam dec vi pham phap luat, Dieu le C6ng ty dan den xam pham quyen va lqi ich dia Cong ty, Chit so hire hoac khach hang thi Ban Kiem soat có trach nhiem yeu eau ngtroi có hanh vi vi pham giai trinh trong thi han nhat dinh hoac de nghi trieu tap h9p Hei ding thanh vien de giai quyet. Doi vai cac vi pham phap luat, Ban Kiem soat phai bao cao bang van ban cho UBCK trong thei han bay (07) ngay lam viec ke tir ngay Oat hien vi pham;

m. Cac chirc nang, nhiem vu khac theo su phan cong/yeu cau cua Chu so. hiku. 2. Trong qua trinh thuc thi nhiem vu cua minh, Ban Mem soat duvc htreng thin lao

va lgi ich khac ding nhtr phai thuc hien trach nhiem dia Kiem soat vien theo quy dinh tai Luat Doanh nghiep.

Dieu 30. Cach thu•c hog deng va cuec hop dia Ban Kiem soat

1. Ban Kiem soat phai ban hanh cac quy dinh ve cach thirc hoat deng va trinh tu, thu tyc, cach thirc to chirc cu'ec h9p cua Ban Kiem sat.

2. Ban Mem soat to chirc hyp toi thieu ben (04) Ian trong met nam. 3. Cuec hgp cila Ban Kiem soat duet to chirc tai try so. chinh cua Cong ty hoac tai

cac dia diem khac trong hoac ngoai pham vi Faith the Viet Nam. 4. Cu'ec hyp dm Ban Kiem soat dugc tien hanh khi có it nhat hai phan ba (2/3) ding

se thanh vien tham du.

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5. Cac thanh vien c6 the dan tham du hop hoac tham du thong qua din thoai hoi nghi theo su twang clan cua COng ty.

Dieu 31. Tien chuan va (lieu kien lam thanh via Ban Kiem soat

1. Co nang luc hanh vi dan su day &I va khOng thuOc d6i Wong bi cam thanh lap va quan 1ST doanh nghi'gp theo quy dinh cua Luat Doanh nghigp;

2. Khong dugc gift chirc vu quan 157 trong Cong ty; 3. Khong phai la vg hoac chang, cha de, cha nuoi, me de, mg nuoi, con de, con

nuoi, anh runt, chi runt, em runt cua thanh vien FlOidOng thanh vien, TOng Giam dOc va nguoi quan ly khac;

4. Twang Ban Kiem soat khOng dugc dOng then la thanh vien Ban Kiem soat hoac nguoi quan 1ST caa ding ty chirng khoan khac;

5. Co trinh dO chuyen mon hoac kinh nghigm thuc t6 ve chirng khoan va thi trithng chirng khodn; c6 trinh dO chuyen mon hoac kinh nghiam ngha nghigp ve ke toan, kiam toan hoac trinh dO chuyen mon, kinh nghi'gm thgc tá trong cac rinh vuc tai chinh, ngan hang.

Dieu 32. MiZn nhiem, bii nhiem thanh vien Ban Kiem suit

1. Thanh vien Ban Mani soat bi mien nhi'gm trong cac twang hop sau: a. Khong con the tieu chuan va diau kin lam thanh vien Ban Kiem soat theo

quy dinh tai Dieu 31 Dieu le nay; b. Khong thuc hi'gn quyen va nghia vu cua minh trong sau (06) thang lien tuc,

trir truomg hop bat kha khang; c. Co don xin tir chirc va dugc chap thuan; d. Theo quyat dinh ctla Chu sey

2. Thanh vien Ban Mem soat bi bai nhiem trong cac truang hop sau: a. Khong hoan thanh nhiem vu, cong viec dugc phan cong; b. Vi pham nghiem trong hoac vi pham nhieu Ian nghia IT cua Kiem soat vien

quy dinh tai Luat Doanh ngh4 va Dieu le Cong ty; c. Theo quyat dinh cua Chi so hau.

Chwung IV

Xis LY MOI QUAN HE VII CAC DOI TAC LIEN QUAN

Dieu 33. Cac tranh chap CO the xay ra

1. Cac truarng hop dugc xem la tranh chAp gift Cong ty vari cac (loc i tie lien quan khi phat sinh tranh chap hay khieu nal gifta:

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a. Chit so hail voi C8ng ty hay ngtroi quan 1 , Cong ty; b. Khach hang hoac cac d6i the lien quan khac voi Cong ty.

2. Ni8 dung dm tranh chap can giai quyet: cac tranh chap c6 lien quan toi hog dOng cua Ong ty, tad quyen dm Chii s8 him, thanh vien ph& sinh tir Dieu le hoac tir bat cir quyen va nghia vv nao do Luat Doanh nghi'ep hay cac luat khac hoac cac quy dinh hanh chinh quy dinh.

Dieu 34. Cach /dr 1Y, giai quyet tranh chap

1. Thuang prong va hoa giai: Cac ben lien quan se c6 gang giai quyet tranh chap thong qua throng bong va hoa giai.

2. Dua ra Trong tai throng mai hoac Toa an c6 tharn quyen: Trtrong hop khong the giai guy& tranh chip thong qua throng bong va hoa giai, bat cir ben nap ding c6 the dua tranh chap do ra Trong tai throng mai hoac Toa an.

3. Chi phi throng ltrong, hoa giai va chi phi dm. Toa an: a. Cac ben se to chiu chi phi cila minh c6 lien quan toi this tvc throng Trong va

hoa giai; b. Cac chi phi ciia Toa an se do Toa phan guy& ben nao phai chiu.

Dieu 35. Cie hvp ding, giao dich phai duvc chap thu4n

1. Hop ding, giao dich giira Ong ty voi cac d6i Wong sau day phai &roc 148i ding thanh vien, Ban T6ng Giam d6c va Ban Kim soot xem xet guy& dinh: a. Chu so. him Cong ty va ngtroi co lien quan dm Chu so hiru C6ng ty; b. Thanh vien 118i ding thanh vien, Ban T6ng Giarn d6c va Ban Kim soot va

ngtred co lien quan cila nhang d6i ttrong nay; c. Ngtreri quan lf Chu so hiru Cong ty, ngtdri co tham quyen be) nhiem ngtrol

quan 15/ Chu so' hiru Cong ty va ngtroi co lien quan dm nhang d6i trong nay. 2. Ngtr6i 14 ket hop ding phai thong boo cho H8i d6ng thanh vien, Ban T6ng Gam

d6c va Ban Kiem soot ve cac d6 i tuong c6 lien quan d6i voi hop ding giao dich do ding thin giri kern theo du thao hop deng hoac thong boo not dung giao dich do.

3. H8i ding thanh vien, T6ng Giant d6c va Ban Kim soot phai guy& dinh viec chap thuan hop ding hoac giao dich trong thin hart ba (03) ngay lam viec ke tir ngay nhan duce thong boo theo nguyen tic da s6, m8i ngtrori c6 mot (01) phieu bieu quyet, trong do nguoi co lgi ich lien quan khong c6 quyen bieu quyet.

4. Hop dong, giao dich quy dinh tai khoan 1 Dieu nay chi &roc chip thuan khi co du cac dieu kien sau day: a. Cac ben 14 ket hop ding hoac thuc hien giao dich la nhang chi the phap li

d8c lap, co quyen, nglifa vv, tai san va loi ich rieng biet; b. Gia sir citing trong hop ding hoac giao dich la gia thi truing tai thii diem

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hop deng dugc ky k'et hoSc giao dich dugc that hien; c. Chu so hitu Cong ty tuan thu dang nghia vu ciaa Chu so hal quy dinh tai

Lust Doanh nghiep.

Dieu 36. Che d6 bao cao va cong 136 thong tin

1. Nghia vu cong b6 thong tin: a. Cong ty phai that hien the d6 cong 136 thong tin, bao cao dinh 14 va bAt

throng theo quy dinh, phap lust ve chirng khoan va thi trixOng chi ng khoan hoSc theo yeu cau cua co quan Nha more CO thAm quyen m6t each day

kip tiled. Cong ty chiu trach nhiem ve tinh chinh xac, trung that cua cac thong tin, se lieu cong be, bao cao;

b. Viec cong 136 thong tin dugc that hien theo nhOng each thirc nham dam bao cho Chu so him va cong chung du to có the tiep can mOt each cong bang tai ding met tiled diem. Ngon trong cong be thong tin can rO rang, de hieu, tranh gay nhAm Ian.

2. N6i dung cong b6 thong tin: Cling ty that hien cong 136 thong tin lien quan den tinh hinh host d6ng kinh doanh cua Cong ty bao gam cong be thong tin dinh ky, cong b6 thong tin 13At throng va cong 136 thong theo yeu cau cua ca quan quan 17 co thAm quyen theo cac quy dinh phap luSt hien hanh.

3. r6 chirc cong 136 th6ng tin: COng ty thirc hien xay dung va ban hanh cac quy dinh ve cong b6 thong tin theo quy dinh tai LuSt Chung khoan va cac van ban huang don. Wong thed, b6 nhiem it nhAt m6t can b6 chuyen trach ve cong 136 thong tin dap Ung yeu cau sau: a. CO kien thirc ke toan, tai chinh, CO ky nang nhAt dinh ve tin hgc; b. Cong khai ten, s6 dien thoai lam vi'ec de co the a dang lien he; c. CO du thOi gian de that hien chirc trach cua minh.

4. Ngtroi cong 136 thong tin: Viec cong b6 thong tin phai do ngueri dai dien theo phap 144 cna Cong ty hoc ngueri dugc uy quyen cong 136 thong tin thirc hien. NgtrOi dai dien theo phap luSt cua Cong ty phai chiu trach nhiem ve n6i dung thong tin do nguOi dugc fly quyen cong b6.

Chtro'ng V

QUAN LY TAI CHINH, KE TOAN

Dieu 37. Nam tai chinh

1. Nam tai chinh cua Cong ty bit dau tir ngay 01 thing 01 va k6t tithe vao ngay 31 thong 12 ducmg lich hang nom.

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2. Nam tai chinh dau tien cua Cong ty bat dau ngay thanh lap va kdt tit& vao ngay 31 thang 12 dm nam do. Truerng hyp nam tai chinh dau tien cua Cong ty it han b6n (04) thang, Bao cao tai chinh cua nam do dupe kidm toan gdp vOi Bao cao cua nam tai chinh tidp theo.

Dieu 38. He thong k'e toan

1. Cong ty sir dung He tilting Kd toan Viet Nam (VAS) ho4c he th6ng kd toan duce B6 Tai chinh chip thuan, tuan thu cac chd dd kd toan danh cho con ty chirng khoan do Bd Tai chinh ban hanh va cac van ban huang dan kern theo. Ong ty phai chiu sir kidm tra cua ca quan Nha nu& ye viec thkrc hien chd d6 kd toan -thong ke.

2. Cong ty lap so sach kd toan bang tiring Viet va luu trix hd sa, so sach ke toan theo loci hinh hog ddng kinh doanh cua Cong ty. Hd sa, so sach kd toan phai chinh xac, cap nhat, co N th6ng va day du de có thd chimg minh va giai trinh cac giao dich cita Cong ty.

Dieu 39. Kiem town

1. Bao cao tai chinh nam, bao cao tS, le an toan tai chinh tai ngay 31 thang 12, bao cao tai chinh ban nien, bao cao ty 1e an toan tai chinh tai ngay 30 thang 6 cila Cong ty phai dugc mot to chirc kidm toan ddc lap thkrc hien kidm toan, soat xet theo dung quy dinh.

2. Td chirc kidm toan dde lap va cac nhan vien cua cong ty kidm toan ddc lap thkrc hien viec kidm toan cho Cong ty phai duce UBCK chip thuan va dugc Hoi ddng thanh vien phe duyet. Trong ding nam tai chinh, Cong ty khong dugc thay ddi t6 chirc kidm toan dal dugc chap thuan, trir twang hyp Chu sa hitu thay d6i to chirc kidm toan dugc chap thuan hoac to chirc kidm toan dugc chap thuan bi dinh chi hoac bi hi:1y bo to each dugc chap thuan kidm toan.

3. Sau khi kdt thac nam tai chinh, Cong ty phai chuan bi va giri bad cao tai chinh nam cho cong ty kidm toan ddc lap. Cong ty kidm toan ddc lap kidm tra, xac nhan va dua ray kidn ve bao cao tai chinh nam phan anh cac khoan thu chi cita Cong ty, lap bao cao kidm toan va trinh bao cao do cho Hdi ddng thanh vien va Ban Kim sat ding voi thu quan 1y (ndu co) trong \Tong chin mtrai (90) ngay k'd tir ngay kdt thlic nam tai chinh.

4. Ban sao cua bao cao kidm toan dugc giri kern voi bao cao tai chinh nam cua Cong ty.

Dieu 40. Nguyen tic phin phai icr1 nhulan

Chu so. huu quydt dinh viec sir dung lgi nhuan sau khi da hoan thanh nghia vu thud va cac nghia vu tai chinh khac theo quy dinh cua pita]) luat.

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DIEU LE CONG TY TNHH MTV CHONG KHOAN MAYBANK KIM ENG

Dieu 41. Xir 1$, to trong kinh doanh

Lei nam truck se dugc chuyen vao nam ke tiep khi nam ke tiep do C6ng ty kinh doanh co Mi.

Didu 42. Trich lap cac guy theo quy dinh

1. Hang nam, Cong ty trich tir lgi nhuan sau thud de lap cac quy sau day: a. Quy du tat b6 sung yen Dieu le; b. Quy dir phong tai chinh va rui ro nghiep va; c. Cac quy khac theo quy dinh cua phap luat.

2. TS, le trich lap, gioi han trich lap va viec quan ly, sti• dung cac quy quy dinh tai khoan 1 Dieu nay thirc hien theo quy dinh cua phap luat hien hanh.

Chuang VI

TO CHITC LAI, GIAI THE VA PHA SAN CONG TY

Di&t 43. TO char 1ai Cong ty

1. Cong ty thkrc hien hgp nhat, sap nhap, chuyen d6i sau khi dugc UBCK chap thuan.

2. Trinh tkr, thu tuc h9p nhat, sap nhap, chuyen d6i thkrc hien theo quy dinh cua Lust Doanh nghiep, Luat chimg khoan va phap luat lien quan.

Dieu 44. Gial the

1. Cong ty giai the hoac cham dirt hog d'Ong trong cac trtrarng h9p sau: a. Chit so him guy& dinh giai the COng ty va dugc UBCK chap thuan; b. UBCK thu h6i Giay phep thanh lap va hoat Ong hoac bi Tea an tuyen b6

pha san theo quy dinh cua phap luat hien hanh. c. Cac truerng h9p khac theo quy dinh cua phap luat.

2. Cong ty chi dugc giai the khi bao dam thanh toan het cac khoin ng va nghia vu tai san khac va Cong ty kh6ng dang trong qua trinh giai quyet tranh chap tai Tea an hoac co. quan Trgng tai.

3. Trinh tkr, thu tpc, h6 so giai the thkrc hien theo quy dinh cua Luat Doanh nghiep, Luat Chirng khoan va cac van ban htrOng dan thi hanh.

Dieu 45. Phi san

Viec pha san Cong ty duct thirc hien theo quy dinh cua phap lulat ve pha san doi v&i cac doanh nghiep boat d6ng trong link vkrc tai chinh, ngan hang.

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Chuang VII

SIYA DOI VA BO SUNG DIEU 14

Dieu 46. BO sung va Sira dOi Dieu 1?

1. Viec sfra doi, bi'S sung Dieu le nay phai ducec H6i dtmg thanh vien C6ng ty xem xet guy& dinh.

2. Trong truing Imp c6 nhang quy dinh cua phap lug c6 lien quan den hog d6ng cua Ong ty chua duvc de cap trong ban Dieu le nay hoac c6 nhitng quy dinh moi cua phap lug khac vii nhang dieu khoan trong ban Dieu le nay thi nhang quy dinh cua phap lug do ducmg nhien duvc dp dung va dieu chinh hog d6ng cua Cong ty.

Chtrung VIII

HIEU LU'C CUA DIEU LE

Dieu 47. Ngay hieu lkre

1. Ban Dieu le nay g6m 48 Dieu, duvc H6i d6ng thanh vien C6ng ty TNHH MTV Chung khoan Maybank Kim Eng nhAt tri thong qua ngay.A.Sthang nam 2018 va chap thuan hieu luc toan van dm Dieu le.

2. Dieu le nay dugc lap thanh mot (01) ban chinh. 3. Dieu le nay la duy nhAt va chinh thirc cua C6ng ty. 4. Cac ban sao hoac trich Itic Dieu le Cong ty phai co chit 14 dm Chu tich H6i dong

thanh vien hoac nguoi dai dien theo phap lug cua C6ng ty moi c6 gia tri. 5. Chit 14 dm Chu tich H6i d6ng thanh vien va nguai dai dien theo phap lust dm

Cong ty.

RONNIE ROY TON'FERN DIZ N QUANG

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