DIEU LE

MARITIMEBANK

NGAN HANG THLTONG MAI CO PHAN HANG HAl VIET NAMVIETNAM MARITIME COMMERCIAL JOINT STOCK BANK

1Bi^n r, Kho3n 1, Dieu 1 Dit-u I? mau NHTM2Bidm a, Khodn 1, BiSu 29 Th6ng tu s6 40/2011/TT-NHNN ve C3p gidy phep vi to chlic, hoat dong cua

Ngdn h3ng thuang mai, chi nhdnh Ngan h3ng nude ngo3i, v3n phdng dai di^n ciia To cluic tin dung nudengo^i, td chile nude ngo^i khdc cd hogt dong ngan hing tai Vigt Nam (sau day goi tat la Thong tu

40/2011/TT-NI INN)3Kho3n 2 Bidu 4 Luat Doanh nghiep 2014 (sau day gpi tat 13 Luat DN 2014)" KhoSn 2 Biu 4 Luat DN 20145 Khodn 26 Bieu 4 Luat ede to chile tin dpng 2010 (sau day ggi at 13 Luat CTCTD 2010)

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PHAN M6 DAUNgan hang Thuang mai Co ph^n Hang HSi Viet Nam (Maritime Bank) la ngan hang

thuong m^i co phan dugc thyc hien hoat dgng ngan hang va cac hoat dong kinh doanh khacc6 lien quan theo quy dinh cua ph^p luat vi muc tieu lgi nhuan, gop phan thuc hien cac ninetieu kinh te cua Nha nuac. To chuc va hoat dong cua Maritime Bank dugc thuc hien theoDiSu I^ nSy, cac quy dinh cua Ngan hang Nha nuac Viet Nam va cac quy dinh phap luat khac

co lien quan.

Bieu le nay da dugc thong qua tai phien hgp thuang nien l^n thu 24 cua Dai hoi dongC6 dong Maritime Bank, t6 chuc vao ngay 28/04/2016 tai Ha Noi, bao gom 21 Chuang, 98

DiSu va thay thl DiSu le Ngan hang TMCP Hang Hai Viet Nam da dugc xac nhan dang ky taiCong van so 4067/NHNN-TTGSNH ngay 10/06/2013 cua Th6ng d6c Ngan hang Nha nuacViet Nam.

CHITONG IDINH NGHIA CAC THUAT NGlfTRONG DIEU LE

Dieu 1. Djnh nghla cac thuat ngir trong Dieu I^

1."Maritime Bank" co nghla la Ngan hang Thuang mai Co phan Hang 1 lai Viet Nam.

2."Thoi han hoat dgng" co nghla la thai gian Maritime Bank dugc tien hanh cac hoatdgng kinh doanh theo quy djnh cua phap luat, ke tvr ngay dugc Ngan hang Nha nuac VietNam c^p Gi^y phep thanh lap va hoat dong. Maritime Bank co the dugc gia han thai hanhoat dong tren ca sa quyet dinh ciia Dai hgi dong Co dong va phai dugc Ngan hang Nhanuac Viet Nam chap thuan'.

3."Von aieu le" la von da dugc cac Co dong, cac thanh vien gop \6n thuc gop \a dugc ghitrong DiSu le Maritime Bank2.

4 . "Co aong" la ca nhan, to chuc s^ hftu it nhat mot co ph4n ciia Maritime Bank3.

5."Co dong sdng lap" la c6 dong sa him it nhat mot co phan pho thong va ky teat trongdanh sach co dong sang lap cua Maritime Bank4.

6."Co dong \&n" la Co dong sa him true tiep, gian tiep tir 5% von co phan co quyen bieuquyet tra len cua Maritime Bank5.

7."So dang ky Co dong" I^ mot tai lieu bang v^n ban, tep du lieu dien tir hoac ca hai. Sodang ky Co dong phai co cac noi dung chu yeu theo quy dinh ciia phap luat..

8."Co phan" la Von diSu 1$ cua Maritime Bank dugc chia thanh cac ph^n bang nhau, moiph^n co gia trj la 10.000 d6ng.

9."Co phieu" la chimg chi do Maritime Bank phat hSnh hoac but toan ghi so xac nhan

DIEU LEDIEU LE NGAN HANG THl/ONG MAI C6 PHAN HANG HAI VIET NAM

6Khoan 3 Bi^u4 Lupt DN20147Khoan 30 Bi6u 4 Lupt Che To chirc tin dpng 2010! Khoan 29 Bi6u 4 Lujit CTCTC 2010'Khoan 15 DiSu 3 Thong tir s6 36/2014/TT-NHNN Quy djnh chc gi<5ri hpn vh ty 1$ an tohn trong hopt dngciia TCTD, Chi nhhnh NHNN (sau dhy gpi tat Id TT 36/2014/TT-NHNN)

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quyfin so him mgt hoac mot s6 c6 phan ciia Maritime Bank. Co phieu ciia Maritime Bankco the la co phieu ghi ten hay co phieu khong ghi ten theo quy djnh cua Bieu 1^ nay.

10."C6 tu-c" la khoan lgri nhugn r6ng dugc trd cho m6i co phan bang tien mdt hodc bang tdisan khdc tir ngubn lgi nhuan con lai cua Maritime Bank sau khi da thuc hien nghia vu vetai chinh.6

11."Cong ty con" cua Maritime Bank la cong ty thu$c mgt trong cac tracing hgfp sau day7:

a)Maritime Bank hodc Maritime Bank va ngtrfri co lin quan cua Maritime Bank so hirutren 50% von dieu lg hoac tren 50% von co phan co quyen bieu quyet;

b)Maritime Bank co quyen tryc tip hoac gian tiep bo nhiem da so hodc tat cd thanhvien Hoi dbng Qudn trj, Hgi d6ng thanh vien ho|c T6ng Gi^m doc (Gidm doc) cuacong ty con;

c)Maritime Bank co quy^n s^a doi, bo sung dieu 1^ cua cong ty con;

d)Maritime Bank va nguoi c6 Ii^n quan cua Maritime Bank tr^c tiep hay gian tiep kiemsoat viec thong qua nghi quyet, quyet djnh ciia B^i hgi dong Co dong, Hgi dong Quantri, Hoi dong thanh vien ctia cong ty con.

12."Cong ty lien ket" ciia Maritime Bank la cong ty trong d6 Maritime Bank ho|c MaritimeBank va nguoi co lien quan cua Maritime Bank so hftu tren 11% von dieu le hoac tren11 % von co phan co quyen bieu quyet, nhirng khong ph^i la cong ty con ciia to chiic tindung do8.

13."Thanh vien dgc l?p cua Hgi dong Quan trj" la th^nh vien Hgi d6ng Quan tri dam baocac tieu chuan, dieu kien theo quy djnh tgi Bieu 45 cha Bieu lg n^y.

14."Nguoi quan ly Maritime Bank" bao gom Chii tich Hgi dfing Qu^n tri, thkrih vien Hgid6ng Quan trj, thanh vien Ban Kiem soat, Tong Gidm doc, Ph6 Tong Gi^m d6c va e^echirc danh tuang duang..

15."Nguoi dieu hanh Maritime Bank" bao gom Tone Gi^m d6c, Ph6 T6ng Giam doc, Ke

toan truong, Giam doc cac Khoi nghiep vu, Gidm doc Chi nhanh va ede chiic danh tucmgduong...

16."Nguoi co lien quan" la to chiic, ca nhan cd quan h$ tr^rc ti^p hoac gian tiep vdi t6 chiic,ca nhan khac thugc mgt trong ede trubng hop sau day9:

a) Ngirai co lien quan ciia mgt to chiic (bao gom cd to chiic tin dung) gom cac tnrdng

hop sau day:

i. Cong ty mg hoijc to chiic tin dpng Id cong ty mg (sau day ggi Id t6 chiic tin dyngmg) cua to chiic do;

ii. Cong ty con cua to chiic do;

iii. Cong ty co ciing cong ty mg hoac cung to chiic tin dung mg ciia to chiic d6;

iv. Nguoi quan ly, thanh vien Ban kiem sodt ciia cong ty mg hoac ciia to chiic tindung mg ciia to chiic d6;

v. Cd nhan hodc t6 chiic c6 tham quyen b6 nhigm ngubi quan ly, thdnh vien Ban

kiem soat cua cong ty mg hodc to chiic tin dyng mg ciia to chiic d6;

vi. Ngudi quan ty, thanh vien Ban kiem sodt ciia td chuc dd;

vii. Cong ty, to chiic c6 tham quyen b6 nhiem nguoi quan ty, thanh vien Ban kiemsodt cua to chiic do;

viii.Vp, chong, cha, me, con (bao gdm cd cha nuoi, me nuoi, con nuSi, b6 chbng (b6vp), me chong (me vgr), con dau (con re), bo dtrong, me kd, con rieng ciia vp hoacchong), anh rupt, chj rapt, em rapt (bao gdm cd anh, chj, em ciing me khac chahoac cung cha khac me), anh re, chj dau, em dau, em re ciia ngiroi quan ly, thanhvien Ban kiem sodt, thanh vien gop von hoiic co dong so huu tir 5% von dieu Iehoac von co phan co quyen bidu quyet trd len ciia to chiic do;

ix. To chiic, ca nhan so hiiu tir 5% von dieu le hoSc von co phan co quyen bieu quyettrd len tai to chiic do;

x. Cd nhan dupe liy quyen dai dien phan v6n g6p, co phan cho to chiic do.

b) Ngudi co lien quan cua mot ca nhan gdm ede trufrng hop sau day:

i. Vp, chong, cha, me, con (bao gom ca cha nuoi, me nuoi, con nuoi, bo chong (bovp), me chong (me vp), con dau (con re); bo dupng, me kd, con rieng ciia vp hoacchong), anlr rapt, chj rapt, em rapt (bao gom ca anh, chj, em cung me khac chaho$c ciing cha khac mp), anh re, chj dau, em dau, em rd cua ca nhan d6;

ii. Cong ty hodc to chiic tin dpng ma cd nhan d6 so huu tir 5% von dieu le hoac vonco phan co quyen bieu quyet tra len;

iii. C3ng ty con ma ca nhan do la ngu^i quan ^^, thanh vien Ban kiem soat ciia congty me hoac to chiic tin dung me;

iv. Cong ty con ma ca nhan do co tham quy^n bo nhiem nguoi qudn ly, thanh vienBan kiem soat ciia cong ty me ho|c t6 chiic tin dung me;

v. Cong ty hoac t6 chiic tin dung ma ca nhan do la ngu^i quan ly, thanh vien Ban

kiSm soat;

vi. Cong ty hoac to chiic tin dung ma ca nhan do la vp, chong, cha, me, con (baogom ca cha nuoi, me nuoi, con nuoi, bo chong (bo vp), me chong (me vp), condau (con re), bo dupng, me ke, con rieng ciia vp hoac chong), anh rapt, chj rapt,em rapt (bao gom ca anh, chj, em ciing me khac cha hoSc ciing cha khac me), anhre, chj dau, em dau, em r^ ciia ngucri qudn ty, thanh vien Ban ki^m soat, thanh

vien gop von hoac co dong so huu tir 5% von dieu le hoac von co phan co quyenbieu quyet tro len cua cong ty hoac to chiic tin dung do;

vii. To chiic, ca nhan uy quyen dai dipn phan von gop, co phan cho ca nhan do;

viii.Ca nhan ciing vdi ca nhan do dupe mot to chiic iiy quyen dai dien phan von gop,co phan tai mot to chiic khac;

ix. Cd nhan dupe cd nhan d6 uy quyen dai dien phan von gop, c6 phdn.

17."To chuc lai" la viec Maritime Bank bj chia, tdch, hop nhdt, sap nhap hodc chuydn d6i.

18."NHNN" la chu viSt tdt cua Ngan hang Nhd nude Viet Nam;

19."TCTD" la chu vidt tdt cua T6 chiic tin dpng;

20."Phap luat" co nghia la tat cd cac luat, phdp lenh, nghj djnh, nghj quyet, quy dinh, thongtu, quyet djnh va ede vdn ban quy pham phdp luat khac dupe cac ca quan Nhd nuoc VietNam ban hanh theo tung thai ky;

21."Luat Cac to chuc tin dung" co nghia Id Luat ede T6 chirc tin dung dupe Qudc hoinude Cpng hoa Xa hpi Chii nghia Viet Nam thong qua ngay 16-06-2010 (hoac van ban

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10 Theo Van ban ch^p thu^n thay d&i dja difm ciia NHNN." Khoan 2 Di^u 12 Lu^t CTCTD 2010.12 Khoan4Di^u 13 Lu$tDN2014

4. Nguoi dai dien theo phdp luat cua Maritime Bank:

a)Nguai dai dien theo phdp luft cua Martime Bank la Tong Giam doc.

b)Nguai dai dien theo phap luft cua Maritime Bank phai cu tni tai Vift Nam. Trufmghap vang mat tai Vift Nam, Nguai dai difn theo phdp luft phai uy quyen bang v3nban cho nguai khac Id Nguai qudn ly, Nguai difu hdnh cua Maritime Bank dang cutru tai Vift Nam de thyc hifn quyen vd nghla vp cua minh trong thfi gian vdng mft".

c)Truang hgp het thai han uy quyfn md nguai dai difn theo phdp luat cua MaritimeBank van vlng mft vd khong c6 uy quyfn khac thl Nguai duac uy quyen van tiep tpc

thuc hifn cac quyfn vd nghia vp cua ngudi dai difn theo phdp luat cua Maritime Banktrong pham vi da dupe uy quyfn cho dfn khi ngubi dai difn theo phdp luft cuaMaritime Bank tra lai 1dm vifc tpi Maritime Bank hofc cho den khi Hf i dong qudn trjquyft dinh cir ngucri khdc lam nguai dai difn theo phap luat ciia Maritime Bank.12

d)Truang hgp Ngudi dpi difn theo phdp luat cua Maritime Bank vang mft tpi Vift Nam

: www.msb.com.vn

: msb@msb.com.vn

: 04-37718899.

: 04-37718989.

d) Website

c) Email

b) Fax

a) Difn thoai

HdNfi10.

thay the, sira doi, bo sung tirng thai ky);

22. "Viet Nam" co nghla la nucrc Cfng hoa Xa hf i Chu nghia Vift Nam.

flieu 2. Ap dung dan chieu

1.Trong Dieu If nay, bat ky din chieu ndo tai bat cii quy djnh hoac vdn ban phdp luat ndo sebao gom cd nhung sira doi, bo sung hoac vdn ban phdp luft thay the ciia chiing.

2.Cdc tieu de (chucrng. dieu ciia Dieu le nay) dugc sir dpng nham thuan tifn cho vifc hifunoi dung vd khong anh huang tdri nf i dung ciia Dieu If ndy.

CHl/ONG IItn, DIA CHI VA THO>I HN HOT D^NG

Dieu 3. Ten, dia chi va thbi hgn hotd dfng

Ngan hang Thuang mai Co phan H^ig Hai Viet Nam ho^it dfng theo Giay phep th^nh lap vhhoat dfng s6 0001/NH-GP ngay 08/6/1991 do NHNN dp; Giay chiing nhan d^ng ky doanhnghicp c6 phan dang ky lln dau ngay 01/07/2005 v^ cac lln dang ky thay dfi:

1.Tu each phap nhan theo quy dinh cua phap luat Vif t Nam;

2.Ten day dii la: Ngan hang Thuang m^i Co phan Hang Hdi Vift Nam;

a)Ten viet tat bang tieng Viet i^ Ngan h^ng H^ng HM ho^c NHHH.

b)Ten day dii bang tieng Anh: Vietnam Maritime Commercial Joint Stock Bank.

c)Ten vift tat bang tieng Anh: Maritime Bank hofc MSB.

3.Tru so chinh: Toa thap A, Toa nh^ Sky Tower, 88 Ldng Ha, Qufn Dong Da, Thanh pho10

13 KhoJn 5 Dieu 13 Lu^t DN 2014

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qua 30 ngay ma khdng liy quyen cho ngudi khdc thuc hien cac quyen va nhiem vu ciiangudi dai dien theo phap luat cua Maritime Bank hoac bi diet, mat tlch, tam giam, kdt

an tu, bi han che hoac mat n5ng lire h3nh vi dan sir thi Hoi ddng quan tri cir ngucrikhac lam dai dien theo phdp luat cua Maritime Bank13.

e) Ngudi dai dien theo phap luat cua Maritime Bank co cac quyen va nglua vu theo quy

dinh cua phap luat

5.Danh sdeh C6 dong sang lap:

-Cong ty Van tai bidn Viet Nam: So 215 Tran Quoc Toan, quan Ngd Quyen, Ihanhph6 Hai Phong;

-Tap doan Buu chinh Vien thong Vi?t Nam: T6a nha VNPT, s6 57 Huynh Thuc

Khdng, Q. Ddng Da, thanh phd Ha Ngi;

Tap doan Bao Viet: So 8 Le Thai To, quan Hoan Kiem, thanh pho Ha Npi;

Cang Hai Phong: So 4, dudng Hoang Di$u, quan Hong Bang, thanh pho Hai Phong;

Cpc H^ng khong Dan dung: So 119 Nguyen Son, phudng Gia Thuy. quan Long Bien,thanh pho Ha Noi.

6.Cac Chi nhanh: Dia chi, ten ggi va mpt so thong tin v6 cac Chi nhanh, Phong Giao dich,Quy ti^t kiem duoc cung cdp trong Phy luc 01 ban htinh kern theo Dieu le nay, cac van

ban cua co quan nha mroc c6 tham quyen ho3c quyet dinh ciia NITNN ban hanh sau thaidiem Dieu 1^ nay dugc thong qua.

Maritime Bank se th3nh lap Chi nhanh tai cac tinh, thanh pho khdc khi duoc cac co quanco thlm quy^n va NHNN cho phep theo quy dinh ciia NHNN va cac quy dinh ciia phapluat hi^n h3nh co lien quan.

7.Von dieu le ciia Maritime Bank tai thdi diem thong qua Dieu le nay la:11.750.000.000.000 d6ng, bang chir: Mudi mot nghin bay tram n3m muoi ty ddng. Tdngso von dieu le ciia Maritime Bank dugc chia thanh: 1.175.000.000 co phan vdi menh giala 10.000 d6ng/c6ph5n.

8.Con ddu rieng va tai khoan rieng md tai NHNN, cac ngan hang trong nude va nude ngoai

theo quy dinh ciia NHNN.

9.Bang can ddi kS toan va cac Quy theo quy dinh cua phdp luat hien hanh.

10.Thdi han hoat dong la 99 nam ke tir ngay dugc NHNN cdp Gidy phep thanh lap va hoatdgng. Maritime Bank cd the dugc gia han thdi han hoat dong tren co so quyet dinh ciiaDai hoi dong C6 dong v^ phai dugc NHNN chap thuan.

CHlTONG IIIMyC TIEU, NQI DUNG VA PHAM VI HOAT DONG

Dieu 4. Muc tieu hoat dong

1.Linh vuc kinh doanh cua Maritime Bank 1^ hoat dgng kinh doanh tien te, tin dung va cacdich vu tai chinh, tien te, ngan hang.... dugc quy djnh trong Gidy phep thanh lap va hoatdgng cua Maritime Bank, Giay cluing nhan dang ky doanh nghiep va cac gidy phepnghiep vu cu the tuan thu cac quy dinh ciia Luat Cac t6 chiic tin dung, cac quy dinh hienhinh c6 lien quan cua phaj^ luat nham phuc vu cho cac ddi tugng khach hang theo dirngchien luge kinh doanh da de ra.

2.Mgc tieu ciia Maritime Bank la trd thanh mot trong nhftng ngan hang thuong mai cd phdn

1J Tir OiSu 98 d^n 107, Dieu 132, Lu^t CTCTD 2010

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hang dau tai Viet Nam vdi chat luprng djch vu hodn hdo dira tren he thong cong n^he hiendai, lire lupng nhan sir co trinh dp chuyen mon cao, phucmg cham kinh doanh ben vftng,

an todn vd hieu qua.

Dicu 5. Npi dung hopt dng14

1.Nhan tien giri khdng ky han, tien gin co ky han, tien giri tiet kiem va cdc loai tien guikhd'c.

2.Phat hanh cluing chi tien gui, ky phidu, tin phi^u, trdi phieu dS huy dpng v6n trong nudeva nude ngodi.

3.Cap tin dung dirdi cac htnh thiic sau day:

a)Cho vay;b)Chiet khau, tai chiet khau cong cu chuyen nhtrpng vh giay tb co gia khac;

c)Bao lanh ngan hang;

d)Phat hanh the tin dung;

e)Bao thanh toan trong niroc; bao thanh todn quoc te;

f)Cac hinh thtic cap tin dqng kh^c sau khi dupe NHNN chap thuan.

4.Mb tai khoan thanh toan cho khach hang.

5.Cung ung cac phuong tifn thanh todn.

6.Cung ling cac dich vu thanh toan sau day:

a)Thuc hien djch vq thanh todn trong nude bao gom sec, I^nh chi, uy nhi^m chi, nhcrthu, uy nhiem thu, thu tin dqng, the ngan hang, djch vq thu h va chi hQ;

b)Thuc hien dich vu thanh todn qudc te va cac djch vu thanh toan khac sau khi dupe

NHNN chap thuan.

7.Vay von ciia NHNN: Maritime Bank dupe vay von cda NHNN dudi hinh thiic tdi cap vontheo quy dinh cua Luat Ngan hang Nha nude Vipt Nam.

8.Vay von cua to chiic tin dqng, to chtic tai chinh: Maritime Bank dupe vay von ciia to chiictin dung, to chiic tai chinh trong nude va nude ngoai theo quy djnh ciia phdp luat.

9.Md tai khoan:

a)Maritime Bank phai md tiii kho^n ti^n giri tqi NHNN va duy tri tren tdi khoan ti^n giiinay so du binh quan khdng thdp hern miic dq trtt bat buQC.

b)Maritime Bank dupe md tai khodn thanh todn tqi to chiic tin dung khde.

c)Maritime Bank dupe md tai khoan tien giri, tdi khodn thanh todn d nude ngodi theoquy dinh ciia phap luat ve ngoai hoi.

10.To chiic va tham gia cac he thong thanh toan

a)Maritime Bank dupe t6 chiic thanh todn npi bp, tham gia hp thong thanh todn lien

ngan hang quoc gia.

b)Maritime Bank dupe tham gia hp thong thanh todn qudc te sau khi dupe NHNN chapthuan.

11.Tham gia thj trudng tien te: Maritime Bank dupe tham gia dau thau tin phieu Kho bac,mua, ban cong cu chuy^n nhupng, trai phieu Chinh phii, tin phidu Kho bac, tin phieu

15 Dieu 5 Thong tu s6 21/2014/NHNN vd e^e giay ph6p nghi^p vy cua Maritime Bank

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NHNN vd cdc giiy td c6 gid khdc tren thj trufrng tiin tf.

12.Kinh doanh, cung ung djch vy ngoai hoi vd san pham phai sinh sau khi duoc NHNN chapthuan bang van ban. Cy the bao gom cdc nghifp vy15:

a)Cung ling djch vy thanh toan quoc te;

b)Thyc hien cac giao djch mua ban ngoai hoi tren thj trucrng nude ngoai;

c)Cung cap cac giao dich hoi dodi dudi hinh thiic giao ngay, ky han, hoan doi, quyenchqn, hgp dong tuong lai va cac giao djch hoi dodi khdc theo quy djnh cua NI INNtrong tirng Hnh vuc;

d)Huy dyng von, cho vay va bao lanh bang ngoai te dudi cac hinh thuc theo quy djnh

ciiaNHNN;

e)Phdt hanh, dai ly thanh todn the quoc te;f)Cung cap cac djch vy chuy^n tifn va thanh todn (trong nude va quoc te); nhan va chi

tra ngoai te;

g)Chiet khau, tai chiet khau cong cy chuyen nhuong va giay to co gid (GTCG) bangngoai te;

h) Uy nhi^m cho TCTD khdc va t6 chiic kinh te lam dai ly cung ung mot so djch vyngoai tf bao gom djch vy doi ngoai t^, djch vy nhan va chi, tra ngoai te va cac djch vykhdc

i) Cung cdp djch vy uy thdc vd quan ly tai san bdng ngoai hoi; Cung cdp cac djch vyngan hang dau tu bang ngoai te (mua, bdn, sap nhap, bao 13nh va lam dai ly phdt hanhchting khoan bdng ngoai t^...)

j) Cung ung djch vy tu van cho Khdch hang ve ngoai hoi

k) Thuc hien nghiep vy doi ling vdi d6i tdc nude ngoai tren co sd quy trinh nghiep vy vaphdng ngira rui ro, phu hop vdi thong le quoc te;

1) Thuc hien cac hoat dong ngoai hoi khdc theo thong le quoc te va phii hop vdi phdpIuat Viet Nam theo quy djnh cua NHNN

13.Thuc hifn nghifp vy uy thdc vd dai ly: Maritime Bank duoc quyen uy thdc, nhan uy lhac,dai ly trong lTnh vuc li^n quan den hoat dfng ngan hdng, iiy thdc cho vay, uy thdc gdp vonmua co phan, kinh doanh bao hiSm, quan ly tai san theo quy djnh ciia NHNN.

14.Kinh doanh bat dong san:

a)Maritime Bank khong dugc kinh doanh bat dfng sdn, trir cac trudng hyp quy djnh taidiem b ciia khodn nay.

b)Maritime Bank duyc kinh doanh bit dyng sdn trong cac trudng hop sau day:

Mua, dau tu, sd huu bat dgng san de sir dung 1dm try sd kinh doanh, dja diem lamvifc hodc co sd kho tang phyc vy tryc tiep cho ede hoat dong nghiep vy cua MaritimeBank;

Cho thue mot phan try sd kinh doanh chua sir dyng het, thuoc sd huu ciia MaritimeBank;

Nam gift bat dong sdn do viec xu ly ny vay. Trong thai han 03 nam, kC tir ngay quyetdjnh xu ly tai sdn bao dam la bat dong sdn, Maritime Bank phai ban, chuyin nhuynghoac mua lai bat dpng sdn nay de bao ddm ty le diu tu vdo tai sdn c6 djnh va muc

103 Lu^tCTCTD2010

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dich su dung tai san co djnh khong vugt qua 50% von dieu ly va quy dy tru bo sungvon dieu le cua Maritime Bank.

15.Cung cap djch vu quan ly tien myt, tu van ngan hang, t&i chinh; cac dich v\i quan ly, bdo

quan tai san, clio thue tu, ket an todn.

16.Tu van tai chinh doanh nghiep, tu van mua, ban, hgp nhlt, sap nhap doanh nghiep va tu

van dau tu.

17.Mua, ban trai phieu Chinh phu, trai phieu doanh nghiyp.

18.Thuc hien hoat dgng mua, ban ng.

19.Thuc hien dich vu moi gibi tien te.

20.Luu ky chung khoan, kinh doanh vdng.

21.Dich vu dyi ly bdo hiem.

22.Thuc hien cac hoat dgng kinh doanh khdc lien quan d^n hoyt dgng Ngan hdng sau khidugc Ngan hang Nha nude chap thu^n bang van ban.

Bieu 6. Gop von, mua co phan16

1.Maritime Bank chi dugc dung von dilu le v^ quy d\r trd de gop von, mua co phan theo

quy djnh tai cac khoan 2, 3, 4 v^ 7 Dieu n^y v& tuan thu cac gidi han theo quy dinh cuaphap luat de bao dam an toan trong hoat dgng dau tu, gdp von.

2.Maritime Bank dugc thanh lap ho^c mua lqi cong ty con, cong ty lien kit dl thgc hifnhoat dgng kinh doanh sau day:

a)Bao lanh phat hanh chiing kho^n, moi gidi chiing kho^n; quan ly, phan phoi chiing chiquy dau tu chung khodn; qu^i ly danh myc dau tu chiing khodn v^ mua, bdn co phieu;

b)Cho thue tai chinh;

c)Bao hiem.

3.Maritime Bank dugc th^nh l|p hodc mua lai cong ty con, cong ty lien ket ho^t dgng tronglmh vuc quan ly tai san bao dam, kieu hli, kinh doanh ngoai hoi, vang, bao thanh todn,phat hanh the tin dung, tin dung tieu dung, djch vy trung gian thanh to^n, thong tin tin

dung.

4.Maritime Bank dugc gdp von, mua cl phan ciia doanh nghiep hoat dgng trong cac Hnh

vuc sau day:

a)Bao hiem, chiing khoan, kieu hoi, kinh doanh ngoyi hoi, vang, bao thanh toan, phdthanh the tin dung, tin dyng tieu dung, djch vu trung gian thanh toan, thong tin tin

dung;

b)LTnh vuc khac khong quy djnh tyi dilm a kho^n nay.

5.Viec thanh lap, mua lai cong ty con, cong ty lien kit theo quy djnh tyi khoan 2 va khoan 3Dilu nay va viec gop vln, mua co phln cua Maritime Bank theo quy djnh tai diem bkhoan 4 Dilu nay phai dugc sy chap thuyn trudc bang vdn ban cua NHNN.

6.Dilu kien, thu tuc va trinh ty thanh lap cong ty con, cong ty lien kit cua Maritime Bank

thuc hien theo quy djnh cua phdp luyt co lien quan.

7.Maritime Bank, cong ty con cua Maritime Bank dugc mua, nam giu co phieu ciia to chuctin dyng khdc vdi dilu kien va trong gidi han quy djnh cua NHNN.

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17Kho^n 5 Biu 129 Lu^l CTCTD 201018Kho^n 1, Bi^u 29 ThOng tu so 40/2011/TT-NHNN" Bi^u 5 Nghj djnh s6 57/2012/NB-CP v6 ch^ d^ tai chfnh ciia TCTB20 Khoan 1 Bi^u 25 Thong tu 06/2010/TT-NHNN

8.Trong pham vi tham quyfn quy djnh t^i Difu If nay, Dai hoi dong C6 dong, Hoi d6ngQuan trj ciia Maritime Bank quyft dinh ho^c uy quyfn cho Tong Giam doc MaritimeBank quyft dinh viec g6p v6n, mua co phan theo cac hinh thiic neu tai Dif u nay theo quy

djnh cua phdp luat.

9.Maritime Bank khong dupe mua co phan, g6p von cua cac doanh nghiep, to churc tin dungkhdc la C6 dong, thanh vifn g6p v6n cua Maritime Bank17.

Dieu 7. Bao dam an toan trong hoat dfng

Trong qua trinh hoat dpng, Maritime Bank phai tuan thu cac quy dinh vf bao dam an toantheo quy dinh tai Chuong VI, Luat Cac t6 chiic tin dqng va quy djnh cua NHNN; thuc hifnphan loai tai san "Co" va trich lap du phdng df xii ly cac nii ro trong hoat dong ngan hangtheo quy dinh ciia phdp luat hien hdnh.

CHtTONG IVv6n dieu le vA v6n hoat dong

Dieu 8. Von dieu le cua Maritime Bank ls

1.Von dieu if la von da dir^c cdc Co dong thtrc gop v^ dirge ghi trong Dieu if nay ciiaMaritime Bank.

2.Von dif u if cua Maritime Bank co thf dupe tang tir ede nguon sau:

a)Quy du trit bo sung von dieu if; Quy thdng du von co phan; lpi nhuan de lai va cacquy khdc theo quy dinh ciia phap luat;

b)Phat hdnh c6 phif u ra cong chiing; phat hdnh co phif u rieng le;

c)Chuyen d6i tir trai phifu chuyfn dfi thdnh co phieu phf thong;

d)Von do chu so httu, thanh vif n gop von cap thf m;

e)Cac nguon khac theo quy dinh ciia phdp luat.

3.Von dieu If ciia Maritime Bank dupe hach todn bang dong Viet Nam (VND).

4.Trong qud trinh hoat dpng, Maritime Bank phai dam bao duy tri mire von dieu If thuc cokhong thap hon muc von phap djnh theo quy dinh ciia phap luat. Khi c6 sir thay doi vondifu If, Maritime Bank phai cong bo cong khai so von difu if moi19.

Dieu 9. Thay d6i Von dieu le

1.Viec thay doi Von difu if cua Maritime Bank phdi dupe Dai hoi dong Co dong thong quava dupe NHNN chap thuan bang vdn ban trudc khi thuc hien theo diing quy djnh ciia phapluat. Van ban chap thuan viec thay doi muc von difu If ciia Maritime Bank co hieu luctrong vong 12 thang kf tir ngay ky. Truimg hop vifc tang von difu if chua hoan t^t trongthiri han cho phep, nfu Dai hpi dfng C6 dong thong qua viec thay dfi phuong an tang vfndifu if da dupe NHNN chap thuan, van ban trf n het hieu lire phap ly.

2.Trinh tu, thu tuc, ho so xin chap thuan thay doi vfn dieu If thuc hien theo quy djnh ciiaNHNN.'

3.Sau khi da hoan tft viec thay doi mire Von difu If theo van ban chap thuan ciia cac coquan quan ly nha nude, Maritime Bank phai cd van ban bao cao NHNN (qua co quan

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21Khoan 2 Difu 25 Thong Ur s6 06/2010/TT-NHNN22DiSu 4 Nghj djnh 57/2012/NB-CP vi chf df tdi chinh ciia TCTD23Bifu 6 Nghj dinh 57/2012/NB-CP vi chf d tdi chinh ciia TCTD2JBi6u 130 Lu^tCTCTD 2010

thanli tra, giam sal) ve ket qua th\rc hien tha^^ doi miic von dieu If, dinh kern bdn sao Qiaycluing nhan dang ky kinh doanh muc von dieu le mcri kem theo Danh sdch Co dong, dong

thbi giri NHNN chi nhdnh tinh, thanh pho noi Maritime Bank dft try so chinh toan bo cdcvan ban nay.

Bieu 10. Von hoat dfng cua Maritime Bank22

1.Von chit so him:

a)Von dieu le;

b)Cdc khoan chenh If ch do danh gia lai tai san, chenh lech ty gid theo quy dinh cua phdpluat;

c)Thang du von co phan;

d)Cac quy dir tru bo sung von dieu le, quy dau tu phdt trien nghiep vu, quy dtr phbng taichinh;

e)Lai nhuan dupe de lai.

2.Von huy dqng:

a)Von huy d$ng tien gui ciia e^e to chiic v^ ca nhan;

b)Vay cac to chirc tin dyng trong va ngoai nuac;

c)V6n vay NHNN;

d)Phat hanh cac giay to co gia;

e)Von nhan uy thac ddu tu

3.Von khac theo quy djnh cua phap luat.

Bicu 11. Su-dung von, tai san23

1.Maritime Bank dugc sii dyng von hoyt dgng de kinh doanh theo quy dinh cua Luat ede tochirc tin dung, dam bao nguyen tdc an toan vd phdt trien von.

2.Maritime Bank dugc quyen thay doi ca cau von, tdi san phyc vu cho vifc phdt trien hoyt

dong kinh doanh.

3.Maritime Bank dugc sir dyng khong qua 50% von diu If va quy dy trft bo sung von dieuIf de dau tu xay dyng, mua sdm tdi san co djnh phyc vy true tiep cho hoyt dfng va phdichdp hanh day du cac quy djnh cua phdp luat ve quan ly dau tu va xay dyng.

4.Vifc dieu dfng von, tai san giOa ede chi nhdnh hoac gifta cac cong ty thanh vien dfc Ifp

ciia Maritime Bank dugc thyc hifn theo quy djnh cda Maritime Bank.Dieu 12. Bao dam an toan von24

1. Maritime Bank phdi duy tri cac ty If bao ddm an todn sau day:

a)Ty If kha nang chi tra;

b)Ty If an toan von toi thieu theo quy djnh cua NHNN trong ttrng thai ky;

c)Ty If toi da cua nguon von ngdn hyn dugc sir dyng ik cho vay trung hyn vd ddi hyn;

d)Trang thai ngoai tf, vang toi da so voi von ty co;

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25Dieu 52 Luat CTCTD 201026Khodn 8 DiSu 5 Di^u IS mlu C6ng ty Dai chiing27DiSu 55 Luat CTCTD 2010

e)Ty lg du ng cho vay so vdi tong tien giii;

f)Cdc ty le tien guri trung, ddi han so vdi tong dir no cho vay trung, dai han.

2.Maritime Bank khi tham gia he thong thanh todn lien ngan hang quoc gia phai nam giu solugng toi thieu giay to c6 gid dirge phep cam co theo quy dinh cua NHNN trong tirng thai

ky.

3.Tong so von cua Maritime Bank dau tu vao to chute tin dung khdc, cong ty con cuaMaritime Bank dudi hinh thiic gop von, mua co phan vd cac khodn dau tir duoi hinh thiicg6p v6n, mua c6 phdn nhSm ndm quyen kiem sodt cac doanh nghiep hoat dong trong lmhvuc ngan hdng, bdo hi^m, chiing khodn phai trir kh6i von tu co khi tinh cac ty le an toan.

4.Trong truong hgp Maritime Bank khong dat hoac co khd nang khong dat ty 1$ an toan vontoi thieu theo quy dinh tai diem b khodn 1 Bieu nay, Maritime Bank phai bdo cao NHNNgiai phdp, ke hoach kh^c phpc de bao dam ty le an toan von toi thieu theo quy dinh.

CHl/ONG Vc6 phAn, c6 phieu vA trAi phieu

Dieu 13. Cdc loai cfl phan25

1.Maritime Bank co c6 phln pho thong. Nguoi so him co phan pho thong la Co dong pho

thong.

2.Maritime Bank co th6 c6 co phin uu dai. Co phdn mi dai co tire la co phan dugc tra co tucvdi miic cao hern so voi miic co tuc cua co phan pho thong hoac mire on dinh hang nam.C6 tuc dugc chia h5ng nam gom c6 tuc c6 djnh vd c6 tuc thuong. C5 turc c6 djnh khongphu thuoc vao ket qua kinh doanh cua t6 chile tin dung va chi dugc tra khi to chile tin

dpng co lai. Truong hgp Maritime Bank kinh doanh thua lo ho^e c6 lai nhung khong dude chia c6 tuc c6 dinh thi c6 turc co dinh tra cho co phan uu dai co tire dugc cgng don vao

ede nam tiep theo. Mure co tuc co dinh cu the va phuong thiic xac dinh co tire thuong doD^i hgi dong Co dong quyet dinh va dugc ghi tren co phieu cua co phan uu dai co tire.Tong gid tri menh gid cua co phan uu dai co tuc toi da bdng 20% von dieu le cira Maritime

Bank.

Thdnh vien Hoi dfing Quan tri, thanh vien Ban Kiem sodt, Tong Gidm doc va Nguai quanly, Ngubi diSu hanh khdc cua Maritime Bank khong dugc mua co phan uu dai co tire doMaritime Bank phdt hanh. Nguoi dugc mua va so lugng co phan uu dai co tuc dugc mua

do Bai hgi dong Co dong quyet dinh.

3.C6 phdn ph6 thong khong the chuy^n d6i thdnh co phdn mi dai. C6 phdn uu dai co thechuy^n doi thanh co phan pho thong theo nghi quyet cua Bai hoi ddng Co dong.

4.Maritime Bank Iu6n bao dam duy tri toi thi^u 100 C6 dong va kliong han ch^ so lugng toida.

5.Maritime Bank c6 the phdt hanh cac lotii chiing khoan khdc sau khi co su chdp thuan ctiaB^i hoi dong Co dong vd phu hgp voi ede quy dinh ciia phdp luat26.

6.To chile, cd nhan nuoc ngoai chi dugc mua co phan cua Maritime Bank khi dugc NHNNcho phep va tuan thu quy djnh cua phdp luat.

Dieu 14. Ty le so- huu c6 phan27

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2* Khoan 6 Dilu 34 Nghj dinh s6 59/2009/ND-CP29 DiSu 35 Nghj dinh so 59/2009/ND-CP10 DiSu 7 Di6u le m3u C6ng ty D^i chring31 Didn 122 Luat DN 201412Didu56LuatCTCTD2010

1.Mot Co (long la cd nhan khong dupe so huu vupt qua 5% von dieu I^ cua Maritime Bank.

2.Mft Co dong la t6 chirc khong dupe so huu vupt qua 15% von dieu If cua Maritime Bank,

trir cdc truong hgp sau day:

a)So him co phdn theo quy dinh tai khodn 3 Dieu 149 cua Ludt Cac t6 chirc tin dpng dexir ly trong mpt so truong hpp dac bift, bao dam an toan hf thong to chuc tin dyng

cua Ngan hang Nhd Nuoc;

b)So him co phan ciia nha ddu tu nuoc ngodi theo quy dinh cua phdp luat.

3.C6 dong va nguoi co lien quan ciia C6 dong do khong dupe so h&u vupt qud 20% von

dieu le cua Maritime Bank.

4.Ty le so him quy dinh tai cac khoan 1, 2 va 3 Dieu ndy bao g6m ca phdn v6n uy thdc cho

to chirc, ca nhan khdc mua co phan.

5.Truong hop cac t6 chuc, cd nhan nim giQ trrii phieu chuyen doi, sau khi chuyen doi trdiphifu thanh co phifu ph^i tuan thu gidi h^n sd hilu co ph^n quy djnh tai Dieu nay28.

Dieu 15. C6 phicu29

1.C6 phi^u la chung chi do Maritime Bank phdt hanh ho^c but toan ghi so xac nhan quyenso hiru mot hoac mft so co phan cua Maritime Bank.

2.Npi dung co phi^u la chiing chi do Maritime Bank phdt h^nh (neu co) va cac trudng hppxir ly sai sot, su c6 lien quan den co phi^u se dupe thpc hien theo quy dinh cita phap luat

co lien quan.

Di6u 16. Chii-ng chi chii-ng khoan khac30

Chung chi trai phifu hope cac chring chi chting khodn khac cita Maritime Bank (trir edethu chao ban, cac chung chi t^m thdi va ede tdi lifu tuong tu), sS dupe phdt hdnh c6 dauva chu ky mau cua ngudi dpi difn theo phdp lu^t cda Maritime Bank, trir trudng hpp mdcac dieu khodn va dieu kifn phdt hdnh quy djnh khde.

Di^u 17. Chao ban co phan31

1.Chao ban co phan la vif c Martime Bank tang them so lupng co phan dupe quyen chao bdnva bdn cac co phdn do trong qud trinh ho^t dpng de tdng von dieu 1$.

2.Chao bdn co phdn co thd thpc hifn theo mpt trong cac hlnh thtic sau day:

a)Chao bdn cho cac co dong hif n h&u;

b)Chao bdn ra cdng chung;

c)Chao bdn co phan rieng le.

3.Viec chao bdn co phdn dupe thpc hifn theo cac quy djnh cua phdp luat vd chring khodn.

4.Maritime Bank thpc hifn dang ^^ thay doi von diu If trong thai han 05 ngdy, kk tu ngdyhoan thanh dot bdn co phan.

5.Hpi d6ng Quan trj quyet djnh th&i difm, phuang th&c vd gid chdo bdn c6 phan trong s6 c6phdn dupe quyen chdo bdn.

Dieu 18. Chuydn nhupng co ph^n 32

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33Di^m d, khodn 1, Dieu 29 Lu^t CTCTD 201034Biu 129 Luat Doanh nghi$p 201433 Khoan 7 DiSu 5 DiSu l mau Cong ty Dai chiing36 Dieu 131 Luiit Doanh nghi?p 2014; Dieu 57 Lu^t CTCTD 2010

1.Co dong la ca nhan, Co dong la to chiic c6 ngtroi dai dien la thanh vien Hoi dong Quan trj,thanh viep Ban Kiem soat, Tong Giam doc cua Maritime Bank khong dugc ehuyennhugng co phan ciia mirth trong thai gian dam nhiem chuc vu.

2.Trong thai gian dang xu ly hau qua theo nghj quyet cua Dai hpi dong Co dong hoac theoquyet dinh cua NHNN do trach nhiem ca nhan, thanh vien Hoi dong Quan tri, thanh vienBan Kiem soat, Tong Giam doc khong dugc chuyen nhugng co phan, tru mot trong cactruang hgp sau day:

a)Thdnh vien Hgi dong Qudn tri, thanh vien Ban Kiem soat, Tong Giam doc la dai dientheo uy quyen ciia Co dong to chuc bj sdp nhap, hgp nhat, chia, tach, giai the, pha santheo quy dinh ciia phap luat;

b)Thanh vien Hoi d6ng Quan tri, thanh vien Ban Kiem soat, Tong Giam doc bi bupechuyen nhugng co phan theo quyet dinh cua T6a an;

c)Thanh vien Hpi dong Quan tri, thanh vien Ban Kiem soat, Tong Giam doc chuyennhugng co phan cho cac nha dau tu khdc nham thuc hien viec sap nhap. hop nhat batbupc quy dinh tai khoan 2 Bieu 149 Luat Cac to clitic tin dung.

3.Truang hgp chuyen nhucmg co phan ciia C6 dong lcm, chuyen nhugng co phan dan denC6 dong ldn tra thanh C6 dong thuang vil ngugc lai phai dupe sir chap thuan bang vtinbin cua NHNN truac khi chuyen nhugng .

Dieu 19. Mua lai eo phan theo yeu eau cua Co dong34

1.Co dong bieu quyet ph^n doi quyet djnh ve viec to chuc lai Maritime Bank hoac thay dpiquyen, nghia vu ciia Co dong quy dinh tai Dieu le Maritime Bank co quvt'ii yeu canMaritime Bank mua lai co phan ciia minh. Yeu cau phai bang \an ban, trong do neu 10ten, dia chi cua Co ddng, so lugng co phan tung loai, gia du dinh ban, l> do yeu cauMaritime Bank mua lqi. Yeu cau phai dugc gtii den Maritime Bank trong thai han 10ng^y lam viec, ke tu ngay D^i hpi dong Co dong thong qua quyet dinh ve cac van de quydinh tai khoan nay.

2.Maritime Bank phai mua lai co phan theo yeu cau cua Co dong quy dinh tai khoan 1 Dieunay vai gid do Hpi dong Quan tri quyet dinh trong thai han 90 ngay, ke tir ngay nhandugc yeu cau. Truang hgp khong thoa thuan dugc ve gia thi Co dong do co the ban cophan cho nguai khdc hoac cac ben co the yeu ciu mot to chuc dinh gia chuyen nghiep

dinh gia. Maritime Bank giai thieu it nhat ba to chuc dinh gia chuyen nghiep de Co donglira chpn va lua chpn do la quyet dinh cuoi citng.

Dieu 20. Mua lai co phan theo quyet d|nh cua Maritime Bank3^

1.Maritime Bank co the mua co phan do chinh Maritime Bank da phat hanh (ke ca co phanuu dai hoan lai) theo nhung each thtic dugc quy dinh trong Dieu le nay va phap luat hienhdnh. Co phan pho thong do Maritime Bank mua lai la co phieu quy va Hpi dong Quan tridupe quyen chao ban theo nhttng each thtic phii hgp vai quy dinh cua phap luat.

2.Viec Maritime Bank mua lai co phieu ciia chinh minh de lam co phieu quy phai dap t'rngcac dieu kien cua phap luat doi vai cong ty dai chiing.

Dieu 21. Dieu kien thanh toan \h xup ly cac co phan duoc mua lai31'

1. Ngoai ede han che khdc doi vai cong ty dai chiing theo quy djnh cua phap luat co lienquan, Maritime Bank chi dugc mua lai co phan ciia Co dong nt-u sau khi lhanh toan net so

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4/

" Diiu 88 Lu^t Doanh nghi^p 2005; Di^u 37 Nghj djnh s6 59/20097ND-CP'" Di^^u 14 Nghj djnh s6 59/2009/ND-CP19 Di^u 7 Nghj djnh so 59/2009/ND-CP'" Di^u 121 Lujt Doanh nghiep 2014; B\ka 33 Nghj dinh s6 59/2009/ND-CP

co phan dirge mua lai ma van bdo dam cac ty le an todn trong hoat dpng ngan hang, gia trjthuc ciia von dieu le khong giam thap hem miic von phap djnh; truong hpp mua lai cophan dan den viec giam von dieu le cua Maritime Bank thi phai dupe NHNN chap thuantruoc bang van ban.

2. Co phieu xac nhan quyen so httu co phan da dupe mua l^i phai dupe tieu huy ngay sau

khi co phan tuong ling da dupe thanh toan du. Chu tjch Hpi dong Quan trj va Tong Giamdoc phai lien doi chju trach nhi$m ve thi$t hai do khong tieu huy hodc chSm tieu huy c6phieu gay ra doi voi Maritime Bank.

Dieu 22. Phat hanh trai phieu 37

Maritime Bank co quyen phat h^nh trai phieu, trai phieu chuyen doi va cac loai trai phieukhac theo quy dinh ciia phap lu|t va Dieu le Maritime Bank.

CHl/ONG VI

CO CAU T6 CHlfC QUAN LYDieu 23. Co' cau to chiic quan ly38

1.Co cau to chirc quan ly cua Maritime Bank bao gom:

a)Dai hqi ddng Co dong;

b)Hoi dong Quan trj;

c)Ban Kiem soat;

d)Tong Giam doc;

e)Bp may giup viec.

2.Hpi dong Quan trj phai quy djnh e^ the co cau, chrrc n^ng, nhiem vu cua bp mdy qu^n ly,dieu hanh phu hgp voi quy djnh cita phap lu|t va quy mo hoat dpng kinh doanh ciiaMaritime Bank trong tirng thoi ky .

3.Hpi dong Quan trj. Ban Kiem so^t phai xay dung co che uy quyen, phan cong trong npi bpHpi dong Quan trj, Ban Kiem sodt, Tong Giam doc vh bp may giup viec phu hgp voi cacquy djnh khac ciia phap luSt de dam bdo vipc qudn trj, diSu hanh ngan hhng dugc an toan,hieu qua va thong suot .

CHl/ONG VIIC6 DONG VA DAI H0I D6NG C6 DONG

Dieu 24. S6 dang ky Co dong vd xAc lap danh sdeh C6 d6ng40

1.Maritime Bank phai lap va luu giif so dang ky Co dong tir khi dugc cSp Giay chiing nhandang ky kinli doanh. So ddng ky C6 dong co th^ la vdn b^n, tap du lieu dipn hi hoSc ca hailoai nay.

2.So dang ky Co dong co ede npi dung chu yeu sau day:

a) Ten, dja chi try so chinh cua Maritime Bank;

41 DiSu 114 Luat Doanh nghiep 2014; Dieu 53 Luat CTCTD 2010; Diju 1 1 Dieu 16 mau Cong ty Dai chiinii42Di6u53Lu?tCTCTD20l0

Trang 16 04

b)Tong so co phan dirge quyen chao ban, Ioai co phan dirge quyen chao ban va so cophan dirge quyen chao ban cua tinig Ioai;

c)Tong so co phan da ban cua timg Ioai va gia tri von co phan da gop;

d)Ho, ten, dia chi thudng trii, quoc tich, so Th3 can cuac cong dan, so Giay cluing minhnhan dan, Ho chieu hoac chiing thuc ca nhan hgp phap khac doi \ai Co dong la canhan; ten, dia chi thirdng tni, quoc tich, ma so doanh nghiep, so quyet dinh thanh lap

doi vai C5 dong la t6 chirc;

e)S3 lugng co phan timg Ioai ciia moi Co dong, ngay dang ky co phan.

3.S3 dang ky C5 d5ng dugc luu giu tai try s3 chinh ciia Maritime Bank hoac Tiling tarndang ky, luu ky, bu trir va thanh toan chiing khoan. C5 dSng co quyen Idem tra, tra ciru hoactrich luc, sao chep noi dung s3 dang ky Co dSng trong gia lam viec ciia Maritime Bank hoacTrung tarn dang ky, luu ky, bu trir va thanh toan chiing khoan.

4.Truong hgp cS d5ng co thay doi dia chi thuong tni thi phai thong biio kip thoi \6i MaritimeBank de cap nhat vao so dang ky co dong. Maritime Bank khong chju trach nhiem \ e vieckhong lien lac dugc vai c5 d3ng do khSng dugc th3ng bao thay doi dia chi cua Co dong.

5.X&c lap danh sach C5 d5ng:

a)Maritime Bank quy dinh cu thS ve thiri diem xac lap danh sach cac Co dong dugchuang cac quyen cua C5 dong va phai dam b^o C5 d3ng co dii thai gian de dang \^ynhQng thay doi ve ban than vii s5 c3 phan ma minh sa huu \ai Maritime Bank tiuoe

thai diem noi tren;

b)Cac giao djch chuyen nhugng c5 phan phat sinh trong khoang thai gian tir sau ngatch5t danh sach C5 d5ng den ngay quyen ciia C3 d3ng dugc thuc hien thi nguoichuyen nhugng la nguai dugc huang c^c quyen ciia C3 dong.

Dieu 25. Quyen cua C6 a6ng41

1. C3 dong ph3 th3ng co e^e quySn sau day:

a)Tham du va phat bieu y kien trong cac cuoc hop Bai hoi d3ng Co dong va thuc hienquy3n bicu quyet tryc tiep hoac thong qua dai dien dugc ii> quyen; moi co ph.in phothong co mot phieu bieu quyet;

b)Bugc nhan c3 tire theo nghi quyet ciia Bai hoi d3ng C3 dSng;

c)Dugc uu tien mua c3 phan mai chao ban tuang ling vai t) le co phan pho thong cua

timg C3 d5ng trong Maritime Bank;

d)Bugc chuyen nhugng c3 phan cho C5 dSng khac ciia Maritime Bank hoac to chirc, canhan khac, ban lai co phan cho Maritime Bank theo quy dinh ciia phap luat va Dieu le

nay;

e)Xem xet, tra cuii va trich luc thSng tin trong danh sach Co d3ng co quyen bicu quyctva yeu c3u sira doi th3ng tin khSng chinh x^c;

f)Xem xet, tra ciru, trich luc hoac sao ch^p Bieu le ciia Maritime Bank, so bien ban hopBai hoi d3ng C5 dong va cac nghi quyet ciia Dai hoi dong Co dSng;

g)Bugc nhan mot phin tai san con lai tuang ling vai s3 c3 phan sa huu tai Maritime

Bank khi Maritime Bank giai the hoac pha san sau khi Maritime Bank da thanh toancho cac chii no va cac Co dSng Ioai khac theo quy dinh ciia phap luat;

"' Ap d^ng theo nguy6n tac n6u tpi Bi^u 29 Nghj dinh 102/2010/NB-CP hu^ng din chi ti& thi hinh m$t sodieu cua Luat Doanh nghi^p 2005

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h) Dupe uy quyen bang van ban cho ngucri khac thuc hien ede quydn, nghta vy cua minh;ngudi dupe uy quyen khdng dupe ling cu vdi tu each cua chinh minh;

i) Cac quyen khac theo quy djnh tpi Dieu le ndy vd theo quy dinh cua phdp lu|Lt.

Co ddng hope nhom Co ddng scr hftu tren 10% tdng so co phan pho thong trong thai han

lien tyc it nhat 6 thdng co them cac quyen sau day:

a)Dupe ling cu, dd cir ngudi vdo Hpi ddng Qudn tri, Ban Kidm sodt theo ty lp nhu sau43:

- Cd dong, nhom Co dong sd hftu tvr 10% den dudi 20% tong so cd phdn cd quydnbieu quyet dupe de cu toi da mpt ling cd vien;

Cd dong, nhom Cd dong sd hftu tu 20% den dudi 30% tong sd cd phan co quyenbieu quyet dupe de cu toi da hai ung cu vien;

Co dong, nhom Co dong sd huu tu 30% den dudi 40% tong so co phan cd quyenbieu quyet dupe de cu toi da ba ung cd vien;

Co dong, nhom Cd ddnj> sd huu tu 40% den dudi 50% tong sd cd phan cd quyenbieu quyet dupe de cd toi da bdn ung cd vien;

Co dong, nhom Co done sd hdu tu 50% den dudi 60% tong sd cd phan cd quyenbieu quyet dupe de cd toi da n5m ung cd vien;

Cd dong, nhom Co done sd hftu td 60% den dudi 70% tdng sd co phan cd quydnbieu quyet dupe de cd toi da sdu ung cd vidn;

Cd dong, nhom Cd dong sd huu tu 70% ddn dudi 80% tong sd cd phan cd quydnbieu quyet dupe de cd tdi da bay ung cd vien;

Co dong, nhom Co done sd hftu td 80% den dudi 90% tdng sd cd phan cd quyenbieu quyet dupe de cd toi da tam dng cd vien.

b)Xem xet va trich lye sd bien bdn va ede nghj quy^t cua Hpi dong Quan trj, bao cdo tdichinh gifta nam vd hdng ndm theo mau cua hp th6ng ke todn Vipt Nam vd ede bdo cdo

cua Ban Kiem sodt;

c)Yeu cau trieu tap hop Dpi hpi ddng Cd dong trong trudng hpp quy dinh tai khodn 3Dieu nay;

d)Yeu cau Ban Kiem sodt kiem tra tdng van de cy th lien quan den quan ly, dieu hdnhlioat ddng cua Maritime Bank khi xdt thay can thi^t. Yeu cau phdi bang vdn ban; phdicd ho, ten, dja chi thudng trd, quoc tjch, so Thd cdn cube cdng dan, so Gidy chdngminh nhan dan, Hp chieu ho^c chdng thyc cd nhan hpp phap khac doi vdi Cd ddng idcd nhan; ten, dia chi thudng trd, qudc tjch, so quyet dinh thdnh lap hope so ddng kydoanh nghiep ddi vdi Cd ddng id td chdc; so lupng cd phan vd thai diem dang ky cdphan cua tdng Cd ddng, tong so cd phan cua cd nhdm Cd ddng vd ty lp sd hftu trongtdng sd cd phan cua Maritime Bank; van de can kim tra, myc dich kiem tra;

e)Cac quyen khac theo quy dinh cua phap lupt (neu co).

Cd ddng hope nhom Cd ddng quy djnh tai khodn 2 Dieu nay co quyen yeu cau tripu tpphpp Dpi hpi ddng Co ddng trong ede trudng hpp sau ddy:a)Hpi ddng Quart tri vi phpm nghiem trpng quyen cua Cd ddng, nghia vy cua ngudi quan

ly hodc ra quyet djnh vupt qud tham quyen dupe giao;

b)Nhiem ky cua Hpi ddng Qudn trj da vupt qud 06 thdng ma Hpi dong Qudn trj mdi

" Di^^u 54 LuSt CTCTD 2010; Dieu 115 Luat Doanh nghiep 2014 \i Dieu 12 Dieu 16 mau Conn ly Daichung

rranu 1^ 6-1

chua dugc bau thay the.

4.Yeu cau trieu tap hop Dai hoi dong Co dong phai dugc lap bang van ban va phai co ho.ten, dia chi thudng tru, so The cSn cudc cong dan, so Giay chung minh nhan dan. Hochieu hoac chung thuc ca nhan hop phap kh^c doi vdi Co dong la ca nhan; ten. dia chithudng tru, quoc tich, ma so doanh nghiep hoSc so quyet dinh thanh lap doi \ai Co dongla to chiic; so co phan va thai diem dang ky co phan cua tirng Co dong, tdng so cd phancua ca nhom Co dong va ty le so huu trong tong so co phan cua Maritime Bank, can cir \ aly do yeu cau trieu tap hop Dai hoi dong Co dong. Kern theo yeu can phai co cac lai lieu,chung cii vd cac vi pham cua Hoi dong Qu^n tri, mtic dg vi pham hoac ve quyet dinh \ ugiqua tham quyen.

5.Co dong so huu co phan uu dai co tiic co cac quyen sau day:

a)Nhan co tuc vai muc theo quy dinh tai Dieu le nay;

b)Dugc nhan lai mgt phan tai san con lai tuong irng vai so co phan gop \6n \aoMaritime Bank, sau khi Maritime Bank da thanh toan het cac khoan no, co phan uudai hoan lai khi Maritime Bank giai the hoac pha san;

c)C^c quy^n khac nhu Co dong pho thong, trir quyen bieu quyet, dir hop Dai hoi dongCo dong, de cii ngudi vao Hoi dong Quan tri va Ban Kiem soat.

6.C6 dong la t6 chuc c6 quyen cu mot ho^c mot so ngudi dai dien theo uy quyen thuc hiencac quy^n C6 dong cua minh theo quy dinh cua phap luat; trudng hap co nhieu han motngudi dai dien theo uy quyen dugc cu thi phai xac dinh cu the so co phan va so phieu bancua moi ngudi dai dien. Vifc cii, chain dirt ho3c thay doi ngudi dai dien theo uy quyenphai dugc thong bdo b^ng van ban den Maritime Bank trong thdi han sdm nhat. I hongbao phai cd c^c noi dung chii yeu sau day:

a)Ten, dia chi thudng tru, quoc tich, so va ngay quyet dinh thanh lap hoac dang kydoanh nghiep cua Co dong;

b)So lugng co phan, loai co phan va ngay dang ky Co dong tai Maritime Bank;

c)Hg, ten, dia chi thudng tru, quoc tich, so The can cudc cong dan, so Chung minh nhandan, Hg chieu hoac chung thpc ca nhan hgp phap khac cua ngudi dai dien theo uy

quyen;

d)So co phan dugc uy quyen dai dien;

e)Thdi han dai dien theo uy quyen;

f)Hg, ten, chd ky ciia ngudi dai dien theo uy quyen \a ngudi dai dien theo phap tuat cuaCo dong.

Dieu 26. Nghia vu cua Co dong pho thong Maritime Bank44

1. Co dong cua Maritime Bank phai thuc hien cac nghia vu sau:

a)Cung c^p dia chi chinh xac khi dang ky mua cd ph^n;

b)Thanh toan du so co phan cam ket mua trong thdi han do Maritime Bank quy dinh:chju trach nhiem ve cdc khoan ng va nghia vu tai san khac cua Maritime Bank trongpham vi so von da gop vao Maritime Bank;

c)Khong dugc rut von cd phan da gop ra khdi Maritime Bank dudi mgi hinh thtic Janddn viec giam vdn dieu lecita ^aritime Bank, tru trudng hop dugc Maritime Bankhoac ngudi khac mua lai cd phin theo quy dinh tai Dieu le nay va phap luat. Trudng

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^ Khoan 2 DiSu 54 Lu^t CTCTD 20105 Di^u 135, 136 Ludt DN 2014; Bi^u 59 Ludt CTCTD 2010; Bxha 14 Dieu 1$ mlu C6ng ty Dpi chiing7 Khoan 5 Di^^u 6 Thong tirsd 121/2012^TT-BTC

hop co Co dfing rut mot phan hope toan bo von co phan da gdp trai vdi quy djnh taikhoan nay thi thanh vien Hoi dong Qudn trj va ngudi dpi difn theo phdp luat cuaMaritime Bank phdi cung lien d6i chiu trdch nhifm ve cdc khoan np va nghla vu taisan khac cua Maritime Bank trong pham vi gid trj co phan da bi nit;

d)Chiu trach nhiem trudc phdp luat ve tinh h^rp phdp cua nguon von mua co phan tai

Maritime Bank;

e)Tuan thu Dieu If va Quy che qudn ly nf i bf cua Maritime Bank;

f)Chdp hanh nghj quyft, quyet dinh cua Dai hfi dong Co dong, Hoi ddng Quan tri;

g)Thuc hien cac nghTa vu khac theo quy dinh cua phdp lu^t va Dieu If ndy.

h) Co dong phd thong phai chiu trdch nhiem cd nhan khi nhan danh Maritime Bank dudimqi hinh tluic de thirc hien mft trong cdc hanh vi sau day:

-Vi pham phap lupt;

-Tien hanh kinh doanh va cdc giao djch khdc de tu led hodc phpc vu led ich cita tochirc, ca nhan khac;

-Thanh toan cac khoan nqr chira den hqn tnrac nguy ccr tai chinh co the xay ra doi

voi Maritime Bank.

2. C6 dong nhan uy thac dau tu cho t6 chuc, ca nhan khac phai cung cap thong tin ve chit so

huu thpc sir ciia so co ph^n ma minh nhan uy thdc dau tu; trong trubng hi^p MaritimeBank phat hien cac Co dong d6 khdng cung cap thong tin xac thpc v^ chii sd hftu thpc suede co phan, Maritime Bank c6 quyen dinh chi quy^n Co dong cua cac Co dong n^y45.

Dieu 27. Dai hfi dong C8 dong46

1.Dai hfi dong Co dong gom tat ca Co dong c6 quyen bieu quyet, la ca quan quyet dinh caonhat ciia Maritime Bank. Dai hfi d6ng Co dpng hoat dfng qua phien hQp thudng nien,phien hop bat thudng va lay y ki^n Co dong bang v&n ban.

2.Dai hfi dong Co dong phai h<?p thudng nien trong thdi h^n 04 thdng, ke tvr ngay ket thiicnam tai chinh, trir trucmg hqp phdp luft cd quy djnh khde. Vjec hpp Dai hfi dong c6 dongthudng nien khong dupe to chute dudi hinh thdc liy </ kien co dong bang van bdn47.

3.Dja difm hop Dai hfi ddng co dong phai d tren lanh tho Viet Nam. Trudng hpp cufc hppDai hfi dong co dong dupe to chiic dong thdi d nhieu dia diem khac nhau thi dja diemhpp Dai hfi dong cd dong dupe xdc dinh la noi chu tpa tham du hpp.

4.Dai hfi dong Co dong cd ede nhifm vp, quyen han sau:

a)Thong qua dinh hudng phdt tri^n cua Maritime Bank;

b)Sua doi, bfi sung Dieu If cua Maritime Bank;

c)Phe chuan quy djnh ve to chiic va hoat dfng ciia Hfi dong Quan trj, Ban Kidm sodt;

d)Quyet dinh sd lupng thanh vien Hfi dong Quan trj, Ban Kidm sodt tirng nhifm ky;bau, miin nhifm, bai nhifm; b^u bd sung, thay the thanh vien Hfi ddng Quan trj,thanh vien Ban Kidm sodt phu hpp vdi cac tidu chuin, dieu kifn theo quy djnh cuaphdp luat va Dieu If ciia Maritime Bank;

e)Quydt djnh muc thu lap, thudng vd cac lpi fch khdc doi vdi thdnh vien Hfi dong Quantrj, thanh vien Ban Kiem sodt vd ngan sdeh hopt dfng ciia Hfi dong Quan trj, Ban

48 Khoan 1 Dieu 59 LuSt CTCTD 2010; Dieu 136 Lu^t Doanh nghiep 2014; CV 324'NHNN-TTGSNll

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Kiem soat;

f)Xem xet va xit ly theo tham quyen vi pham ciia Hoi (long Quan tri. Ban Kiem ^oat gavthiet hai cho Maritime Bank va C6 (long ciia Maritime Bank;

g)Quyet dinh ca cau t6 chiic, bo may quan ly dilu hanh cua Maritime Bank;

h) Thong qua phuong an thay doi mire von dieu le; thong qua phuong an chao ban cophan, bao g6m loai co phan va so ltrpng co phan mai se chao ban;

i) Thong qua viec mua lai co phan da b&n;

j) Thong qua phirong &n phat hanh trai phieu chuyen doi;k) Thong qua bao cao tai chinh hlng nSm; phuomg an phan phoi lqi nhuan sail khi da

hoan thanh nghTa vu thue va cac nghTa vu tai chinh khac ciia Maritime Bank;

1) Thong qua bao cao cua Hoi dbng Qu^n tri, Ban Kiem soat ve viec thuc hien nhiem vu.quyen han duqc giao;

m)Quyet dinh thanh lap cong ty con;

n) Thong qua phuomg an gop von, mua co phan cua doanh nghiep, to chiic tin dung khacco gia tri tir 20% tro len so voi von dieu le cua Maritime Bank ghi trong bao cao taichinh da dugc kiem toan gan nhat;

o) QuySt dinh diu tu, mua, ban tai san cua Maritime Bank co gia tri ttr 20% tro len so voiv6n diSu le ciia Maritime Bank ghi trong bao cao tai chinh da dugc kiem toan gan

nhat;

p) Thong qua cac hgp dong co gia tri tren 20% von dieu le cua Maritime Bank ghi trongbao cao tai chinh da dugc kiem toan gin nhat giua Maritime Bank vdi thanh vien Hoi

d6ng Quan tri, thanh vien Ban Kiem soat, Tong Giant doc, Co dong Ion, nguoi co lienquan ciia nguoi quan ly, thanh vien Ban Kiem soat, Co dong Ion cua Maritime Bank;cong ty con, cong ty lien ket ciia Maritime Bank;

q) Quyet dinh viec chia, tach, hop nhat, sap nhap, chuyen doi hinh thirc phap ly, giai thehoac yeu cau Toa an mo thu tuc pha san Maritime Bank;

r) Quyet dinh giai phap khlc phuc bien dong Ion ve tai chinh ciia Maritime Bank.

5.Co dong khong dugc tham gia bo phieu trong cac truong hgp sau da^:

a)Cac hgp dong quy dinh tai diem p khoan 4 Dieu nay khi Co Jong do hoae nguiti colien quan tai Co dong do la mot ben cua hgp dong;

b)Viec mua co phan ciia Co dong do hoac ciia nguai c6 lien quan toi Co dong do.

6.Tat ca c^c nghj quyet va c^c van de da dugc dua vao chuong trinh hop phai dugc Jua rathao luan va bieu quyet tai Dai hoi dong Co dong.

Dieu 28. Thlm quyen trieu tap hpp Dai hgi dong Co dong48

1. Hgi dong Quan tri ph^i trieu tap Dai hoi dong Co dong thuang nien theo quy dinh taiDieu 27 Dieu le nay va trieu tap hgp bat thubng Dai hoi dong Co dong trong cite trudnghgp sau day:

a)Hgi dong Quan tri xet thay can thilt vi lgi ich cua Maritime Bank;

b)So thanh vien Hgi dong Quan tri, Ban Kiem soat con lai it han so thanh vien toi thieutheo quy dinh ciia phdp luat;

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"Di^u 60 Lu^tCTCTD 2010MTheo Cong van so 324rNHNN-TTGSTD ng4y 18-1-2012 v4 c4c vSn ban sira d6i, bo sung

"DiSu 137 Lu^tDN 2014"Di6u 137 vaDiSu 139 LuSt DN 2014

c)Theo yeu cau cua C6 (long ho5c nhdm Cd (long quy djnh tai khoan 2 Biu 25 Bidu lenay;

d)Theo yeu cau cua Ban Kiem sodt;

e)Theo yeu dm cua NHNN.49

2.Hgi ddng Quan tri phai trieu tap hQp Bai hgi ddng Co ddng trong thai han toi thieu 1^ 40ngay50. ke tir ngay so thanh vien Hgi dong Qu4n tri cdn lpi nhu quy djnh tai diem b khoan

1 Dieu nay hope phai trieu tap hgp Dpi hgi ddng Cd d6ng trong thai han 30 ngay nhandirge yeu cau quy dinh tai diem c va diem d khoan 1 Bieu nay.

Truang hgp Hgi dong Quan tri khdng trieu tap hop Dpi hgi dong Co dong nhu quy djnhthi Chu tjch Hoi dong Quan tri ph4i chju trach nhigm trudc phap luat va phai bdi thuangthiet hai phat sinh doi vdi Maritime Bank.

3.Truang hop Hgi dong Qu4n tri khong trigu tap hgp Dpi hgi dong Co dong theo quy djnhtai khoan 2 Dieu nay thi trong thbi han 30 ngay tiep theo, Ban Kiem so4t thay the Hgidong Quan tri trieu tgp hgp Dpi hgi dong Co dong theo quy djnh cua Bieu le nay.

Truang hap Ban Kiem soat khdng trifu tap hgp Bai hgi d6ng Co dong nhu quy djnh thiTruang Ban Kiem soat phai chju tr^ch nhiem trudc phdp luat va ph^i b6i thudng thigt haiphat sinh doi vai Maritime Bank.

4.Trudng hop Ban Kiem soat khong trieu tap hgp Bgi hgi dong Co dong theo quy djnh taikhoan 3 Bieu nay thi Co dong hoSc nhom Co ddng quy djnh tai khoan 2 Bi^u 25 Bi4u lenay da yeu cau cd quyen thay the Hgi dong Quan trj, Ban Kiem so^t trieu tap hgp Bai hgi

dong Co dong theo quy djnh ciia Bieu le nay.

Trong trudng hop nay, Co dong ho^c nhdm Co ddng trigu tgp hgp Bgi hgi dong Co dongco the de nglij ca quan dang ky kinh doanh gidm sdt vigc trieu tap va tien hdnh hgp neu

xct thay can thiet.

5.Ngudi trieu tap phai lap danh sdeh Co dong cd quyen d\f hgp Bai hgi dong Co dong, cungcap thong tin va giai quyet khieu ngi lien quan den danh sach Co dong, lap chuong trinhva noi dung cugc hgp, chuan bj tdi ligu, dp thao nghj quyet cua Bai hgi dong co dong theongi dung dtr kien ciia cugc hgp; danh sach va thong tin chi tiet cua cac ting cir vien trongtrudng hop bau thanh vien Hgi dong qudn trj, kiem sodt vien, xac djnh thdi gian va djadiem hgp, giri thong bao mdi hgp den ttrng Co dong cd quyen dp hgp theo quy djnh taiBieu le nay.

6.Chi phi cho vigc trieu tap va tien hanh hgp Bai hgi d^ng Co dong theo quy djnh tai cackhoan 2, 3 va 4 cua Bieu nay se dupe Maritime Bank ho^n lai.

Dieu 29. Danh sach Co dong c6 quyen dp hgp Dai hgi dong Co dong51

1.Danh sach C6 dong cd quy^n dp hgp Dpi hgi dong C6 dong dugc lpp dpa tren S6 ddng kyCo ddng ciia Maritime Bank. Danh sdeh Co dong cd quy^n dp hgp Bai h$i dong Co ddngdupe lap khi cd quyet djnh trigu tpp va ph^i lap xong khong sdm hern 15 ngay truacngay khai mac hop Bai hpi dong Co ddng.

2.Danh sach Cd ddng cd quy^n dp hgp Bai hgi d6ng Cd ddng ph^i cd hg, ten, dja chithudng tru, quoc tjch, sd The c5n cuoc cdng dan, sd Giay chung minh nhan dan, Hg chieuhope chung thuc ca nhan hpp ph^p khac cua Cd ddng 14 ca nhan; ten, dja chi thudmg tni,qudc tjch, dja chi try sd chinh, m4 sd doanh nghiep hoc sd quyet djnh th4nh lap cua Cd

'1 rang 22 64

53Di6u I38LuatDoanh nghiep 2014 v^ Dieu 17 Di6u 16 mau Cong ty Dai cluing54 DiSu 139 LuSt Doanh nghi$p 2014, Diiu 17 Dieu le mau Cong ty Dai cluing

Dieu 30. Chuoug trlnh va ngi dung hop Dai hgi dong Co dong^

1.Ngudi trieu tap hgji Dai hoi dong Co dong phai lap danh sach Co dong co quyen dir hopva bieu quyet; chuan bi chuong trinh, ngi dung, tai ligu cuoc hop va dir thao nghi quyetdoi vdi tirng van de trong chuong trinh hop; xac dinh thai gian. dia diem hop \a gui thongbao mdi hop den cac Co dong co quyen du hop.

2.Co dong hoac nhdm Co dong quy dinh tai khoan 2 Dieu 25 Dieu le nay co quyen kiennghi van de dua vao chuong trinh hop Dai hgi dong Co dong. Kien nghi phai bang \anban va dugc gui den Maritime Bank cham nhat 03 ngay lam viec trudc ngay khai mac.Kien nghi phai ghi ro ten Co dong, so lugng timg loai co phan cua Co dong, so \ a ngiiydang ky Co dong tai Maritime Bank, van de kien nghi dua vao chuong trinh hop.

3.Ngudi trieu tap hop Dai hgi dong Co dong chi co quyen tir choi kien nghi quy dinh taikhoan 2 Dieu nay neu c6 mgt trong cac trudng hop sau day:

a)Kien nghj dugc gui den khong dung thai han hoac khong tlu, khong diing noi dung:

b)Vao thai di^m de xuat, Co dong hoac nhom Co dong khong co du it nhat 10% long soco ph^n co quyen bieu quyet trong thai gian lien tuc it nhat sau tilling;

c)Van de kien nghi khong thugc tham quyen quyet djnh cua Dai hoi dong Co dong:

d)Vin dS kiijn nghi doi hoi phai co thai gian chuan bi hoac can co ca so giai quyet maDai hoi d6ng Co dong khong the dap ring ngay tai phien hop.

4.Nguai trieu tap hop Dai hoi dong Co dong phai chap nhan va dua kien nghi quy dinh luikhoan 2 Dieu nay \ao du kien chuang trinh va noi dung cuoc hop, trir trudng hop quydjnh tai khoan 3 Dieu nay; kien nghi dugc chinh thuc bo sung vao chuang trinh \ii noidung cuoc hop neu dugc Dai hgi dong Co dong chap thuan.

5.Hoi dong Quan tri phai chuan bi du thao nghi quyet cho tirng \ an de trong chuang trinhhop.

6.Trudng hgp tat c^ Co dong dai dien 100% so von co phan co quyen bieu quyet true tieptham dir hoac thong qua dai dien dugc uy quyen tai Dai hoi dong Co dong, nhung quyetdinh dugc Dai hgi dong Co dong nhat tri thong qua deu dugc coi lit hgp le ke ca trongtrudng hop viec trieu tap Dai hgi dong Co dong khong theo dting tint tuc hoac noi dungbieu quydt khong co trong chuang trinh.

Dieu 31. Moi hop Dai hgi dong Co dong54

1. Ngudi trieu tap hgp Dai hgi dong Co dong phai gui thong bao mdi hgp d^n tSt ca Co dongco quyen du hop. Thong b^o hgp Dai hgi dong Co dong phai bao gom chuong trinh hopva e^e thong tin lien quan ve cac van de se dugc thao luan \a bieu quyet tai Dai hgi.

Doi vdi cac Co dong da thuc hien viec luu ky co phieu, thong bao hgp Dai hgi dOng Codong co the dugc gui den to chirc luu ky, dong thai cong bo tren phtrang tien thong tincua Sd Giao dich Chung khoan, tren website cua Maritime Bank, 01 td bao trung uonghoac 01 td bao dja phuang nai Maritime Bank dong tru sd chinh.

(long la to chuc; so lugng co phan tirng loai, so va ngay dang ky Co dong ciia tirng Codong.

Co dong c6 quyen kiem tra, tra cuu, trich luc va sao danh sach Co dong co quyen dir hopDai hoi dong Co dong; yeu cau sua doi nhung thong tin sai lech hoac bo sung nhungthong tin can thiet ve minh trong danh sach Co dong co quyen dir hop Dai hoi dong Co

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" Khoan 1 DiSu 139 Luat DN 201434 Khoan 3 Di6u 17 Di^u I? mSu Cong ty Dpi chiing"Di^u 140 Lut Doanh nghipp 2014

Doi vai cac Co dong chira thyc hien viec liai ky co phieu, thong bao hop Dai hpi dong Codong co the dupe giri cho Co dong bang each chuyen tryc tiep co xac nhan hoac gui quabuu dien biing phuctng thiic bao dam tdi dja chi da ddng ky ciia Co dong, hodc ted dja chido Co dong do cung cap de phuc vy viec gui thong tin. Trubng hpp Co dong da thong baocho Maritime Bank bang van ban ve so fax hoac dia chi thu dien tCr, thong bao hop Daihpi dong Co dong co the dupe gui tai s6 fax hoac dia chi thu dien tu do. Trubng hpp Codong la ngubi lam viec trong Maritime Bank, thong b&o co the dyng trong phong bi ddn

kin va giri true tiep tai ncri lam vipc.

2.Thong bao hpp Dai hpi dong Co dong phai dupe gui trudc it nhat 10 ngay55 truoc ngayhpp Dai hpi dong Co dong, (tinh tir ng^y m^ thong bdo dupe giri hoac chuyen di mpt eachhop le, dupe tra cube phi hoac dupe bo yao horn thu). Trubng hpp Maritime Bank cowebsite, thong bao hpp Dai hpi dong Co dong phai dupe cong bo tren website cuaMaritime Bank dong thai vai vipc giri thong bao cho ede Co dong. 6

3.Thong bao mai hpp phai co ten, dja chi try sir chinh, s6 va ng&y cdp Giay chiing nhan

dang ky doanh nghiep, npi dang ky kinh doanh cua Maritime Bank; ten, dja chi thubngtni ciia Co dong hoac ngubi dai dipn theo uy quyen cua Co dong; thai gian va dja diem

hop.

4.Kern theo Thong bao m&i hpp phdi co mau chi djnh dpi dien theo uy quyen dy hpp,chucmg trinh hpp va cac tai lipu khdc lam ca sa thong qua quyet djnh vd du thao nghjquyet doi vai tirng van de trong chucmg trinh hpp. Trong truang hpp cac tai Iipu naykhong dupe giri kem Thong bao mai hpp, Maritime Bank phai neu ro dja chi trang thongtin dien tir de cac co dong cd the tiep can tai lifu.

Dicu 32. Quyen du hpp Dai hpi dong Co dong57

1.Co dong co th^ tham du Dai hpi dong Co d6ng theo mt trong cac hinh thuc sau day:

a)True tiep tham du hpp Dai hpi dong Co dong;

b)Uy quyen cho nguai khac dy hpp Dai hpi dong Co dong. Truang hpp Co dong la tochirc khong co ngubi dai dipn theo uy quyen theo quy djnh tai khoan 6 Dieu 25 Dieule nay thl uy quyen nguai khac du hpp Dai hpi dong Co dong.

c)Cac hinh thirc khac theo quy djnh cua phdp lu|t.

2.Viec uy quyen cho ngubi dai dipn dy hpp Dai hpi dong C6 dong phai lap thanh vdn b^ntheo mau cua Maritime Bank vd phdi co chu ky theo quy djnh sau day:

a)Truang hpp Co dong la ca nhSn Id ngubi uy quy^n thi phai cd chU ky cua Co dong ddva ngubi dupe uy quyen dy hpp;

b)Truang hpp ngubi dai dipn theo uy quy^n cua C6 dong la to chric la ngubi uy quyenthi phai co chu ky cua ngubi dai dipn theo uy quyen, ngubi dai dipn theo phap lupt cuaCo dong va ngubi dupe uy quyen du hpp;

c)Trong truang hpp khac thi phai cd chu ky cda ngubi dai dipn theo phdp luat cua Codong va ngubi dupe uy quyen dy hpp;

d)Ngubi dupe uy quyen dy hpp Dpi hpi dong Co dong phai npp vdn bdn uy quyen trudckhi vdo phong hpp.

3.Phieu bieu quyet ciia ngubi dupe uy^ quyen dy hpp trong pham vi dupe uy quyen van c6

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58KhoJn 4 DiSu 15 Dieu le mEu Cong ty Dai chiing

59Dik 141 Lu^t Doanh nghi^p 201460Dik 142 LuSt Doanh nghi^p 2014; Dik 19 Dik 1^ mlu Cong ty Dai chung

hiyu lire khi co myt trong ede tru^ng hop sau day:58

a)Nguai uy quyen da chet, bi han che nang lye hanh vi dim sir hoac bi mat nflng lyehanh vi dan sy;

b)Nguai uy quyen da huy b6 viec chi djnh uy quyen;

c)Nguai uy quyen da huy bo tham quyen ciia ngudi thyc hien viyc uy quyen.

4.Truong hyp co phan duyc chuyen nhuyng trong thai gian tCr ngay lap xong danh sach Codong din ngay khai mac hyp Dai hoi dong Co dong thi ngudi nhan chuyen nhuyng co

quyen du hop Dai hoi ddng Co dong thay the cho ngudi chuyen nhuyng doi \di so cophdn da chuyen nhuyng.

5.Co dong duyc coi la tham du va bieu quyet tai cuoc hop Dai hoi dong co dong trongtrudng hyp sau day:

a)Tham du va biiu quyet true tiep tai cuoc hyp;

b)Uy quyen cho mot ngudi khac tham du va bieu quyet tai cuoc hop;

c)Cac hinh thuc khac theo quy dinh ciia phap luat va hudng dan cu the cua MaritimeBank tai Diiu le.

Bieu 33. Dieu kien tien hhnh hop Dai hyi dong Co dong59

1.Cuoc hop Dai hoi dong Co dong duyc tien hanh khi co so Co dong du hyp dai dien it nhat51% ting s6 co phan co quyen bieu quyet.

2.Trudng hyp khong co du s6 luyng dai bieu can thiet,cuyc hop Dai hoi dong co dong phai

duyc trieu tap lai trong vdng 30 ngay ke tir ngay du dinh to chirc hop Dai hyi dong Codong l^n thu nhlt. Cuyc hop Dai hyi dong Co dong trieu tap lai chi duyc tien hanh khi coth^nh vien tham dy la ede Co dong va nhung d^i dien duyc uy qu>en du hyp dai dien choit nh^t 33% tdng s6 c6 ph^n cd quyen biSu quygt.

3.Trudng hyp cuyc hop D^i hyi dong Co dong Ian thu hai khong duyc tien hanh do khongco du s6 dai biSu can thilt, cuyc hop Dai hoi dong Co dong Ian thu ba phai duyc trieu tap

trong vdng 20 ngay k6 tu ngay du djnh tien hanh cuyc hop Dai hoi dong Co dong Ian thuhai, va trong trudng hyp nay cuyc hop Dai hoi dong co dong duyc tien hanh khong phuthuyc vao s6 luyng Co dong hay dai dien uy quyen tham du va duyc coi la hyp le va coquydn quyet dinh tat ca cac van de ma cuyc hyp Dai hyi dong C6 dong Ian thu nhat co thephe chuan.

4.Theo de nghi cua Chit toa, Dai hoi dong Co dong co quyen thay doi chuang trinh hop daduyc giri kem theo thong bao mdi hop theo quy dinh tai Dieu 31 Dieu le nay. Viec thu)doi noi dung chuang trinh hyp phai duyc it nhat 51% tren tong so co dong co quven bieuquyet tham du cuyc hyp dong y nhung toi thieu khong duyc it han 35% so co phan coquyen bieu quyet ciia Maritime Bank.

Dieu 34. The thiic tien hiinh hyp Dai hoi dong Co dong60

1.Vao ngay to chiic hyp Dai hoi dong Co dong, Maritime Bank phai thuc hien thu tuc dangky Co dong va phai thuc hien viec dang ky cho den khi cac Co dong co quyen du hop com^t truac gia du kien khai mac cuyc hop dang ky het.

2.C6 dong den du cuoc hyp Dai hyi dong Co dong muon co quySn dang ky ngav va sau ^oco quy^n tham gia va bieu quy^t ngay tai cuyc hop Dai hoi ddng Co dong. Chu toa khong

co trach nhigm dung cugc hop de cho Co dong den mugn dang ky va hieu lire ciia cdc dgtbieu quyet da tien hanh truac khi Co dong den mugn tham dg se khong bj anh hirbng.

3.Cugc hgp Dai hgi dong Co dong sS do Chu tjch Hgi dong Quan trj chii tri, truang hgpChii tjch Hgi dong Quan tri vang mat thi Pho Chit tjch Hgi dong Quan tri hoac la ngudidugc Dai hgi dong Co dong bau ra sS chii tri. Truang hgp khong ai trong so hg co thS chiitri cugc hgp, thanh vien Hgi dong Qudn tri co chiic vg cao nhdt co mat se t6 chiic hgp d^bau ra Chii tga ciia cugc hgp trong so thanh vien Hgi dong Quan tri con lai. Chii tjch, Ph6Chii tjch hoac Chii tga dugc Dai hgi dong Co dong b^u ra dS cir mot thu ky de lap bienban cugc hgp.

4.Quyet dinh ciia Chii tog ve trinh tg, thu tuc hogc cac sg kien phdt sinh ngoai chucrng trinhcua cugc hgp Dai hgi dong Co dong se mang tinh phan quyet cao nhdt.

5.Clurong trinh va noi dung hgp phai dugc Dai hgi dong Co dong thong qua ngay trong

phien khai mac.

6.Chii toa cugc hgp Dai hgi dong Co dong co thS hoan hgp Dai hgi dong Co dong ngay catrong truang hgp da co du so dgi bieu can thiet den mgt thai diem khdc va tai mgt djadiem do chu toa quyet dinh ma khong can lay ^ kien ciia Dai hgi dong Co dong neu nhanlhay rang (a) cac thanh vien tham dg khong the co cho ngdi thuan tien ^ dja diem to chticcugc hgp. (b) hanh vi ciia nhiing nguai co mjt lam mat trat tg hoac co kha nhng lam mattrgt tg cua cugc hgp hoac (c) sg tri hoan la can thit de ede cong viec ciia cugc hgp dugctien hanh mgt each hgp le. Ngodi ra, Chit tog cugc hgp co the hoan cugc hgp khi c6 sgnhat tri hoac yeu cau ciia Dai hgi dong Co dong dd c6 du s6 lugng dpi bieu dg hgp cdnthiet. Thbi gian hoan toi da khong qua 03 ngdy kl tir ngdy dg djnh khai mgc cugc hgp.Cugc hgp lai se chi xem xet cac c6ng viec le ra da dugc giai quyet hgp phdp tai cugc hgp

bj tri hoan truoc do.

7.Truong hgp chii tga hoan hoac tam dung cugc hgp Dgi hgi dong Co dong Uai vai quydjnh tai khoan 6 Dieu nay, Dgi hgi dong Co dong bau mot nguai khac trong so nhungthanh vien lham dg &k thay thi Chii tga &\hu hdnh cugc hgp cho din hie kit thiic va hieuIgc cac bieu quyet tai cugc hgp d6 khong bj dnh huong.

8.Chii toa ciia cugc hgp hoac Thu ky cugc hgp c6 the tien hanh ede hoat dgng ma hg thay

can thiet de dieu khien cugc hgp Dai hgi dong Co dong mgt edeh hgp lg vd co trat tg;hoac de cugc hgp phan dnh dugc mong muon cua da so tham dg.

9.Hgi dong Quan tri co the yeu cau cac Co dong hoac dai dien dugc uy quySn tham dg cugchgp Dai hgi dbng C6 dong chju sg ki^m tra hodc cac bifn phdp an ninh ma Hgi dongQuan trj cho la thich hgp. Trubng hgp c6 Co dong hodc dai dign dugc uy quyen khongchju tuan thu nhung quy djnh ve kiem tra hojc ede bign phdp an ninh noi tren, Hgi dongQuan tri sau khi xem xet mgt edeh can trgng c6 thi tir choi hoac true xuat Co dong hoac

dai dien noi tren tham gia cugc hgp.

10.Hgi dong Quan tri, sau khi da xem xdt m^t each can trgng, co the tien hanh ede bien phdp

dugc Hgi dong Quan tri cho la thich hgp de:

a)Dieu chinh so nguai co mat tgi dja diem chinh hgp Dgi hgi dong Co dong;

b)Bao dam an toan cho mgi nguiri co mdt tai dja dim do;

c)Tao dieu kien cho Co dong tham dg (hoac ti^p tgc tham dg) cugc hgp.

Hgi dong Quan tri co toan quyen thay doi nhiing bign phdp neu tren va dp dgng tat ca cacbien phdp neu Hoi dong Quan tri thay can thiet. Cdc bign phdp dp dgng c6 the la cap giayvao cira hoac sir dung nhiing hinh thiic Iga chgn khac.

11.Trong truang hgp tai cugc hgp Dai hgi dong Co dong co dp dung cdc bign phdp noi tren,

Hgi dong Quan tri khi xdc djnh dja diem cugc hgp co the:

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61Di6makhoan 3 Di^u 59 LuSt CTCTD 2010; Khoan 1 Di6u 143 Luat Doanli nhiep2OI462Diem b, c khoan 3 Dieu 59 Lu^t CTCTD 2010

a)Thong bao rang cudc hop s5 dugc tien hanh tai dia diem ghi trong thong bao va Chntoa cuoc h^p se c6 mat tai do ("Dia diem chinh cua cuoc hop");

b)B6 tri, tfi chuc de nhung Co dong hoSc dai dien dugc uy quyen khong du hop dugctheo Bieu khoan nay hoac nhung ngudi mudn tham gia a dja diem khac vdi Dia diemchinh ciia cugc hgp c6 the dong thai tham dy cuoc hop;

c)Thong bao vS viec to chuc cugc hgp khong can neu chi tiet nhung bien phap to chirctheo Dieu khoan nay.

Bieu 35. ThS thiic bieu quyet thong qua quyet d|nh cua Dai hoi dong Co dong

1.Dai hoi ddng Cd dong thong qua cac quyet dinh thudc tham quyen bang hinh thuc bieuquyet tai cuoc hgp hoac lay y kien bang van ban.

2.Dai hpi dong Co dong se tu chgn trong so dgi bieu nhung ngudi chju trach nhiem kiemphieu hoac giant sat kiem phieu va neu Dai hoi khong chgn thi Chu tga se chyn nhungngudi do. So thanh vien ciia Ban kiem phieu khong qua 03 ngudi.

3.Khi tien hanh dang ky Co dong, Maritime Bank se cap cho ttrng Co dong hoac dai diendugc uy quyen co quyen bieu quyet mot The bieu quyet, tren do co ghi so dang ky, ho \ aten cua Co dong, hg va ten dai dien dugc uy quyen, ma vach cua Co dong (neu co) va soThe bieu quyet cua Co dong do cho mgt van de hoac nhdm van de can bieu quyet. Khitien hanh bieu quyet tai cugc hgp, so the tan thanh nghi quyet dugc dem trudc. so tlicphan doi nghi quyet va so phieu khong co y kien dugc dem sau va cuoi cung kiem phieutap hgp so phieu tan thanh, phan doi hoac khong co y kien. Tong so phieu tan thanh, phandoi va khong co y kien doi vdi tung van de se dugc Chit tga thong bao trudc khi be macphien hgp.

4.Quy^t dinh cua Dai hgi ddng Co dong dugc thong qua tai cuoc hgp khi bao dam cac dieukien sau day: 62

a)Trir trudng hgp quy dinh tai diem b khoan nay, quyet dinh cua Dai hgi dong Co dongdugc thong qua tai cugc hgp khi dugc so Co dong dai dien tren 51'o tong. so phieubieu quyet cua tat ca Co dong du hgp chap thuan;

b)Doi vdi quyet djnh ve cac van de quy dinh tai cac diem b, h, o va q khoan 4 Dieu 27Dieu le nay thi phai dugc so Co dong dai dien tren 65% tong so phieu bieu quyet cuatat ca Co dong du hgp chap thuan;

c)Doi vdi cac van de quy dinh tai diem a, d, f va q khoan 4 Dieu 27 phai dugc thongqua bang hinh thuc bieu quyet tai cugc hgp Dai hgi dong Co dong.

5.Trudng hgp Co dong du hgp la npudi cd lien quan khong cd quyen bieu quye't, nghi quy^tc^a Dgi hoi dong Co dong y6 van de do dugc thong qua khi cd it nhdt 51% hofie 65 utong so phieu dugc quyen bieu quyet tuong ting theo quy dinh tai cac diem a va b khoan 4Dieu nay.

6.Viec bieu quyet bau thanh vien Hgi dong Quan tri va thanh vien Ban Kiem soat phai thuchien theo phuong thuc bau don phieu, theo do moi Co dong cd tong sd phidu bieu quyettuong ling vdi tong so cd phan so huu nhan vdi sd thanh vien dugc bSu cua Hgi ddngQuan tri hoac Ban Kiem soat va Cd ddng cd quyen don het tong sd phidu btui cua minhcho mgt hoac mot sd ling cu vien.

Ngudi trunp cu thanh vien Hdi ddng Quan tri hoac thanh vien Ban Kiem soat dugc xacdjnh theo sd phieu bau tilth tCr cao xudng thap, bat dau tu ung cu \ ien cd sd phieu bau cao

" Khoan 5 DiSu 144 Lujt Doanh nghi$pM Dieu 145 Lut Doanh nghi^p 2014; Di^u 21 Dieu 1$ mlu ct6i vdi Cong ty Dpi chiing; Dieu 59 Lu^t C^cTCTD20I0

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nhSl cho dfn khi du s6 thanh vien quy djnh tai Di^u If n^y. Trudng hop co tir hai irng cuvien trd len dat cung so phieu bau nhu nhau cho thanh vien cuoi cung cua Hgi dong Quantrj hoac Ban Kiem soat thi se tien hanh bau lai trong so cac ting cu vien co so phieu baungang nhau hoac lua chgn theo tieu chi khac do Dyi hgi dong co dong thong qua.

7.Cac quyet djnh dupe thong qua tai cupc hop Dai hgi dong Co dong vdi so Co dong trgc

licp va uy quyen tham du dai difn 100% tong so co phan c6 quyen bieu quyet la hop phapva co hieu luc ngay ca khi trinh t\r vii thu tuc trifu tfp, nfi dung chuong trinh hop va the

thuc tien hanh hgp khong dugc thgc hifn dung nhu quy djnh.

8.Quyet djnh ciia Dai hgi ddng C6 dong phai dugc thong bao den Co dong co quy^n d^ hgpDai hgi dong Co dong trong thoi h^n 15 ngay, ke tir ng^y quyet djnh dugc thong qua63.

Bieu 36. Tham quyen va the thirc l^y y kien Co dong b8ng van ban de thong qua quyetdjnh cua Dai hgi dong Co dong M

1.I Igi dong Quan trj co quy^n lay y kien C6 dong bang van ban de thong qua quyet djnhcua Dai hgi dhng Co dong bat cu liic nao neu xdt thay c^n thiet yi Igi fch cua MaritimeBank, trir cac truong hgp quy djnh t^i di^m a, d, f v^ q khoan 4 Dieu 27 Dieu le nay.

2.Hgi dong Quan trj phai chuan bi phieu lay y kien, dg th^o quyet djnh cila Dai hgi dongCo dong va cac tai lieu giai trinh dg thao quylt djnh. Phi^u lay y kien kem theo dg thaoquyet djnh va tai lieu giai trinh ph^i dugc giri bang phuong thuc bao dam d^n dugc diachi thuang trii ciia tirng Co dong;

3.Phieu lay y kien phai co cac ngi dung chu yeu sau day:

a)Ten, dja chi try sh chinh, s6 vi ngay cap Giay chung nhan dang ky doanh nghigp, ncd

dang ky kinh doanh cua Maritime Bank;

b)Muc dich lay y kien;c)Ho, ten, dja chi thucrng tni, qu6c tjch, so The can cudc cong dan, so Giay chung minh

nhan dan, Ho chieu ho^c chfeig thuc ca nh^n hgp phap khac cua Co dong la ca nhan;ten, dja chi thuang tni, quoc tjch, dia chi try so chfnh, m3 so doanh nghigp ho^c so

quyet djnh thanh lap Co dong hojc dai difn theo uy quyen ctia Co dong la to chtic; solugng co phan ciia tirng loyi \k so phieu bieu quyet ciia Co dong;

d)Van de can lay y kien de thong qua quyet djnh;c) Phuang an bieu quyet bao gom tan thanh, khong tdn thanh v^ khong c6 y kifn;

0 Thai han phai giri ve Maritime Bank phieu lay </ kien da dugc tra loi;

g) Hg, ten, chu ky ctia Ngudi dai difn theo phap luft ctia Maritime Bank;

4.Phieu lay y kien da dugc ha 16i phai co chu ky ctia C6 dong la ck nhan, ctia ngudi daidifn theo uy quyen hoac ngudi dyi difn theo phap luft ctia Co dong la to chtic.

Phieu lay y kien giri ve Maritime Bank ph^i dugc dgng trong phong bi d^n kin v^ khongai dugc quyen md trudc khi kiem phieu.

Trudng hgp Phieu lay y kien giri v^ Maritime Bank qua fax hoyc thu difn tir thl cac Phieunay phai dugc gift bi mat den thdi diem kiem phieu.

Cac phieu lay y kien giri ve Maritime Bank sau thdi han da xac djnh tai ngi dung phieu layy kien ho^c da bj md hoac da bj tiet lg trong trudng hgp giri fax, thu difn tu deu khonghgp If. Phifu lay y kien khong dugc giri vf dugc coi 1^ phiSu khong tham gia bieu quyt.

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s5Di^u61 LumCTCTD201068 Di4u 146 Lu^t Doanh nghiSp 2014

5.Hoi dong Quan tri kiem phieu va lap bien biin kiem phieu duai sir chi'rng kien cna BanKiem soat hoac cua Co dong khong nam giij chtic vy quan 1> Maritime Bank. Bien bankiem phieu phai co cac ngi dung chit yeu sau day:

a)Ten, dia chi try so chinh, so va ngay cap Gily chi'rng nhan dang ky kinh doanh, noi

dang ky kinh doanh;

b)Muc dich va cdc van de can lay y kien de thong qua quyet djnh;

c)S6 Co dong vai tong so phieu bilu quyet da tham gia bieu quyet, trong do phtin bietso philu bilu quyet hop le va so bieu quyet khong hap le, kem theo phu luc danh sac It

Co dong tham gia bieu quyet;

d)T6ng so phieu tan thanh, khong tan thanh va khong co y kien doi vai tiing \ an de;

e)Cac quyet dinh da dugc thong qua;

f)Ho, ten, chit ky ciia Chu tich Hoi dong Quan tri, nguai dai dien theo phap luat, nguoikiem phieu va cua ngiroi giam sat kiem phieu.

Cac thanh vien Hoi dong Qu^n tri, nguai kiem phieu va nguai giam sat kiem phieu phailien dai chiu trach nhiem ve tinh trung thuc, chinlt xac cua bien ban kiem phieu, lien duichiu trach nhiem ve cac thiet hai phat sinh tir cac quyet dinh dugc thong qua do kiemphi^u khong trung thuc, khong chinh xac.

6.Bien ban kit qua kiem phieu phai dugc giii den cac Co dong trong thai han 15 ngaj he tirng^y kit thuc kilm phieu hoac dugc d&ng tai tren website cua Maritime Bank.

7.Tat ca c^c nghi quyet, quyet dinh dugc Dai hgi dpng Co dong thong qua bang the thuc la\y kiln Co dong bang van ban phai dugc giri den NHNN trong thai han 15 ngit>, ke tirngay ket thuc kiem phieu.

8.Phieu lay y kien da dugc trk lai, bien ban kiem phieu, toan van nghi quyet da dugc thongqua va tai lieu co lien quan giri kem theo phieu lay y kien deu phai dugc luu gitr tai try sochinh cua Maritime Bank;

Bieu 37. Bien ban hop Dai hoi dong Co dong68

1. Cupc hyp Dai hoi dong Co dong phai dugc ghi vao so bien ban cua Maritime Bank Bienban phai co cac noi dung chit yeu sau day:

a)Ten, dia chi try so chinh, so va ng^y cap Gily chirng nhan dang k> kinh doanh, nai

dang ky kinh doanh;

b)Thai gian va dja diem hop Dai hoi dong Co dong;

c)Chuang trinh va noi dung cuoc hop;

d)Chit toa va Thu ky;

e)Tom tat dien bien cuoc hop va c^c y kien phat bieu tai cuoc hop Dai hoi dong Codong ve timg van de trong noi dung chuang trinh hop;

f)So Co dong va tong so phieu bieu quyet cua cac Co dong du hop, phu luc danh sachdSng ky Co dong, dai dien Co dong dy hop vai so co phan \a so phieu ban tuungting;

g)Tong so phieu bieu quyet doi v6i timg van de bieu qu>et, trong do ghi ro long so

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M Khoan 1 Di6u 148 Lu^t DN 201470Khoan 2 Di^u 148 Luat DN 2014" DiSu61 Lu^tCTCTD201072 Khoan 3 Dieu 148 Lu^t DN 201471Di^u 147 Lu$l Doanh nghi^p 2014

phieu tan thanh, khong tan thanh va khong co y kien; ty le tucrng ling Pen tong s6

phieu bieu quyet cua Co dong dy hgp;

h) Cac nghi quyet, quyet djnh da duqc thong qua;

i) Ho, ten, chCr ky ciia Chii top va Thu ky.

2.Bien ban dugrc lap bang tieng Vigt vk tieng nude ngoiti deu co hieu lire phap ly nhir nhau.

3.Bien ban hpp Dai hgi dong Co dong phai l^ra xong va thong qua trudc khi b^ mac cugc

hop.

4.Chu toa va Thu ky cugc hgp phai HSn dot chju trach nhigm ve tinh trung thpc, chinh x&c

ciia ngi dung bien ban.

5.Bien ban hop Dai hoi dong Co dong, cac ban ghi chep, so chO ky cua cac Co dong d^ hppva van ban uy quyen tham dp, php lpc danh sach Co dong dang ky dp hpp, toan van nghiquyet, quyel djnh da dugc thong qua va tai ligu c6 lin quan giii kirn theo thong bao mdiliQP phai dugc luu gift tai tru so chinh cua Maritime Bank.

Dicu 38. Hicu luc nghi quyet, quyet djnh cua Dai h^i dong Co dong

1.Nghi quyet, quyet djnh ciia Dai hgi dong Co dong co higu luc thi hanh ke tir ngay dugcthong qua hoac tir ngay co hieu lpc dugc ghi r6 trong nghj quyet, quyet djnh d6.6

2.Cac nghj quyet, quyet djnh cua Dpi hgi dong co dong dugc thong qua bdi co dong so h&u100% tong so co phan c6 quyen bieu quyet li hgp phip vi co hieu luc ngay ca khi trinh tpva thu tuc thong qua nghj quyet, quyet djnh do khong dugc thuc Men dung nhu quydinh.™ '

3.Trong vong 15 ngay, kh tir ngiy be mac cugc hgp hotic tir ngay k6t thiic kiem phieu doi

v6i truong hgp lay y kien bang v5n ban, tat ca e^e nghj quyet, quy^t djnh dugc Dai hgidong Co dong thong qua phai dugc giii den NHNN chi nhanh tinh, thanh pho noiMaritime Bank dat try so cMnh.71

4.Truong hgp co Co dong, nhom Co dong yeu cau khdi kien ho^c trpc ti^p khdi ki?n doivoi nghj quyet. quy^t djnh da dugc thong qua thl nghj quyet, quyet djnh bj khiri kign vantiep tuc dugc thi hanh cho din khi T6a an hoac Trgng tai co quyet djnh kh^c, trir truimghgp ap dung bien phap khan cap tpm thoi theo quyet djnh ciia co quan co tham quyen.72

Dicu 39. Yeu cau huy bo cac nghj quyet, quyet djnh ciia Dai hgi dong Co dong 73

1.Trong thoi han 90 ngay, ki tir ng^y nhan dugc Bien bdn hgp Dai hgi d6ng C6 dong ho^cbien ban ket qu^ kigm phieu Jay y kien Dpi hgi dong Co dong, C6 dong, th^nh vien Hgidong Quan tri, Tong Gidm d6c, Ban Kiem sodt cd quy^n yeu cau Toa an hoc Trgng taixem xet, huy bo quy^t djnh cua Dpi hoi dong Co d6ng Pong cac truimg hgp dugc quy

dinh tai khoan 2 Dieu nay.

2.Cac truong hgp co quy^n yeu cau huy bo quyet djnh cua Dai hgi dong Co d6ng:

a)Trinh tp va thu tuc trieu tpp hgp Dpi hgi d6ng Co dong khong thuc hign diing theoquy djnh ciia phap Mat va Dieu lg Maritime Bank;

b)Trinh tp, thu tuc ra quySt djnh v ngi dung quyet djnh vi pham phap Mat hojic Di^u leMaritime Bank.

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74 Kho^n 1 Dieu 43 Luat CTCTD 201073 Khoan 1 DiSu 45 Lu$t CTCTD 201076Khoan 2 Dieu 48 Luat CTCTD 201077DiSu 51 Luat CTCTD 2010; Dieu 16 Thong tu so 06 2010TT-NHNN78Cong v5n so 324 'NHNN-TTGSNH79Cong van s6 324.NHNN-TTGSNH

CHl/ONG VIIIQUY BINH CHUNG VE HQI BQNG QUAN TRI,

BAN KIEM SOAT vA T6NG GIAM DOC

Bicu 40. Nhiem vu va quyen han chung

1.Hgi (long Quan tri la ca quan qu4n tri Maritime Bank, c6 toan quyen nhan danh MaritimeBank de quyet dinh, thyc hien cac quyen va nghta vu ciia Maritime Bank, trir nhimg vande thuoc tham quyen cua Bai hgi dong Co dong.74

2.Ban Kiem soat la ca quan gi^m sat viec tuan thu cac quy dinh cua phap luat va Dieu lecua Maritime Bank trong viec qu^n tri, dilu hanh Maritime Bank; chiu trach nhiem trirocBai hoi dong Co dong trong viec thuc hien nhiem vu, quyen han dugc giao.75

3.Tong Giam doc la ngudi dieu hanh cao nhat cua Maritime Bank, chiu trach nhiem tradeHgi dong Quan tri va trade phap luat ve viec thuc hien quyen va nhiem vu pint hop \ diquy dinh cua phap luat va Bieu le cua Maritime Bank.76

Bieu 41. Thu tuc bau, bo nhiem cac chuc danh thanh vien Hoi dong Quan tri, thauhvien Ban Kim soat, Tong Giam doc77

1.Trade khi tien hanh hgp Bai hgi dong Co dong toi thieu 40 ngay78. Hoi dong Quan in

Maritime Bank phai thong bao cho cac Co dong co quyen dtt hop Dai hoi dong Co dongve so lugng thanh vien du kien dugc bau, bp sung vao Hoi dong Quan tri, Ban kiem soat;trong do dg kiln s6 lugng thanh vien Hoi dong Quan tri doc lap; dong thai thong bao thai

han giri danh sach irng cu vien, cac dieu kien, tieu chuan phai dap irng doi \6i cue ehiiedanh dugc bau de cac Co dong de cii ngudi giu cac chiic danh na^ theo quy dinh cuaphap luat.

2.Tren pa sd danh sach de cii ciia cac Co dong doi vdi cac chuc danh na\. 1 ioi dong Quantri tham djnh dieu kien, tieu chuan; lap Banh sach ung cu vien doi vdi cac chuc danh dukien bau va gui NHNN cham nhat la 30 ngay79 trade ngay tien hanh hop Dai hoi dong Co

dong. Tradng hop cac Co dong khong de cu du so lugng, ung cu vien ddi vdi thanh vienHgi dong Quan tri (bao gom ca thanh vien Hoi ddng Quan tri doc lap), thanh vien Bankiem soat hoac cac ting cii vien khong dam bao du dieu kien, tieu chuan theo quv dinh.Hoi dong Quan tri se de cu img cii vien bo sung, thay the doi vdi cac chuc danh nay.

3.Boi vdi cap ling cii vien khong dam bao dieu kien theo quy dinh, Hgi dong Quan tri thongbao cho Co dong hoac nhdm Co dong de cii cua ting cii vien nay bilt ro ly do.

4.B^i hgi dong Co dong quyet dinh so lugng thanh vien Hoi dong Quan tri, thanh v iC-n Bankiem so^t dugc bau va tien hanh bau nhung ngudi co ten trong Danh sach ling cu v iC-n dadugc Ngan hang Nha nude chap thuan tai khoan 2 Dieu nay. Maritime Bank co the lapdanh sach de cti va tien hanh bau rieng thanh vien Hoi dong Quan tri doc lap. 1 rongtrudng hgp nay, viec bau thanh vien Hgi dong Quan tri doc lap dugc tin hanh nhu viecbau cac thanh vien Hgi dong Quan tri khac.

5.Thanh vien Hoi dong Quan tri, thanh vien Ban Kilm soat bat dau thuc hien nhiem v u kettr khi Bai hoi dong Co dong bau cac chuc danh nay va tiep quan cong viec; phai chiu

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"" Di^u 51 Lu^t CTCTD 2010; Cong van s6 324/NHNN-TTGSNH" Khoan 1 Di^u 48, DiSu 51 Lu^t CTCTD 201012 Khoan 1 DiC-u 33 Lu^t CTCTD 2010

trach nhiem cd nhan doi vdi nhiem vu cua minh trong thai gian ducrng nhiem.

6.Trong thai han t6i da 10 ngay lam viec kd tur ngay Dai hpi ddng C6 dong bdu cac thanhvicn Hoi dong Qudn trj va thanh vien Ban kiem sodt, Maritime Bank phdi co van bdnthong bao cho NITNN danh sdch nhung ngudi dupe bau vdo cac chiic danh neu tren.80

7.Hpi dong Quan tri bo nhiem mpt trong so cac thanh vien cua minh lam T6ng Giam doc

hope thud Tong Giam doc. Ngudi dp kien dupe bo nhipm lam Tdng Giam doc phai dupeNHNN chap tliuan bang vdn ban trudc khi bo nhipm. Hpi dong Qudn tri phai co van banthong bao cho NHNN ngudi dupe bo nhiem lam Tong Gidm doc trong thai han 10 ngdylam viec, ke tir ngay bo nhiem. '

Dicu 42. Nhung nguoi khong duyc tham gia quan trj, kiem soat va khong dupe giucliuc danh Tong Giam doc, Pho Tong Giam doc va chtic danh tuung duotig

1. Nhung ngudi sau day khong dupe i^ thanh vien Hpi dong Quan tri, thanh vien Ban Kiemsoat, Tong Giam doc, Phd Tong Gi^m d6c va chtic danh tuong duang:

a)Ngudi chua thanh nien; ngudi b) han che hoac bi mat nang luc h^nh vi dan sp;

b)Ngudi dang bi truy cuu trach nhiem hinlt sp, dang chap hanh ban an, ^uyet djnh vehinh su cua Tda an; quyet djnh xti ly hanh chinh tpi ca sd cai nghien bit bupc, ca sdgiao due bat bupc hoac dang bj cam hanh nghe kinh doanh, dam nhiem chiic vu hoaclam cdng viec nhat djnh lien quan den kinh doanh theo quyet dinh ciia Tda an; cactrudng lipp khac theo quy djnh cua ph^p luat ve phd sdn, phdng, chong tham nhung.

c)Ngudi da bi ket an ve ede tpi tir tpi pham nghiem trpng trd len;

d)Ngudi da bi ket an ve tpi xam ph^m sd htiu ma chua dupe xda dn tich;

e)Can bp, cdng chiic, ngudi qudn ly tir cap phdng trd len trong ede doanh nghifp Nhdnude nim giu 50% von dieu 1$ trd len, trir ngudi dupe cir lam dpi di^n quan ly phanvon gop cua Nhd nude tai Maritime Bank;

0 ST quan. ha sT quan, quan nhan chuyen nghipp, cdng nhan qudc phdng trong cac caquan, don vi thupc Quan dpi nhan dan Viet Nam; si quan, ha si quan chuyen nghipptrong cac ca quan, don vi thupc Cdng an nhan din Viet Nam, trir ngudi dupe cir lamdai dien quan ly phan von gop ciiaNha nude tpi Maritime Bank;

g) Ngudi da timg la chii doanh nghifp tu nhan, thdnh vien hpp danh ciia cdng ty hppdanh, Tdng giam doc (Giam d6c), thanh vien Hpi dong quan tri, Hpi dong thanh vien,Ban kiem soat ciia doanh nghipp, Chii nhifm vd cac thanh vien Ban qudn tri hpp tacxa tai thai diem doanh nghipp, hpp tdc xa bj tuydn bo pha sdn, trir trudng hop doanhnghiep, hpp tac xa bj tuyen bo pha sdn vi ly do bit khd khang;

h) Ngudi dpi dien theo phap lu^t cua doanh nghipp tpi thai diem doanh nghipp bj dinh chihopt dpng, bj bupc gidi the do vi pham phdp lu|t nghiem trpng, trir trudng hpp la dpidien theo dd nghj cua ca quan nhd nude co thim quydn nhdm chan chinh, cimg co

doanh nghiep do;

i) Ngudi da tirng bj dinh chi chiic danh Chii tjch Hi dong Quan trj, thanh vien Hpi dongQuan trj, Chii tjch Hpi dong thdnh vien, thdnh vien Hpi dong thanh vien, Trudng Bankiem soat, thanh vien Ban Kiem soat, Tong Gidm ddc (Giam doc) cua to chiic tindung theo quy djnh tpi Dieu 37 Luat Cac to chiic tin dung hope bj ca quan cd thamquydn xdc djnh ngudi do cd sai pham dan den vipc to chiic tin dpng bj thu hoi Giayphep thdnh lap va hopt dpng;

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" Khoin 3 Di^u 33 Lu^t TCTD 201084Dieu 34 Lu^tt TCTD 201085Biu 50 LuSt CTCTD 2010

j) Ngufri co lien quan ciia thanh vien Hgi (long quan tri, Tdng Giam doc khdng dirge lathanh vidn Ban kiem so&t cua Maritime Bank;

k) Ngudi co lien quan ciia Chu tjch Hgi ddng quiin tri khong dugc la Tong Giam doc ciiaMaritime Bank.

I) Cac trudng hop khac theo quy dinh cua phap luat (neu co).

2. Cha, me, vg, chdng, con va anh, chi, em ciia thanh vien Hoi dong Quan tri, Tong Giamdoc va vg, chong ciia nhung ngudi nay khdng dugc la Ke toan trudng hoac ngudi phutrach tki chinh cua Maritime Bank.

Dieu 43, Nhung truong hgp khong cung dam nliiem chuc vu 4

1.Thanh vien Hoi ddng Quan tri cua Maritime Bank:

a)Khong dugc d6ng thai la thanh vien Ban Kidm sodt cua Maritime Bank;

b)Khong dugc ddng thai la ngudi quan ly cua to chuc tin dung khac, trir trudng hgp tochirc n^y la cong ty con cua Maritime Bank ho5c la thanh vien Ban Kiem soat ciia tochuc tin dung do;

c)Chu tich Hoi dong Quan tri cua Maritime Bank khong dugc dong thai la Ngudi dieuhanh cua Maritime Bank vti cua to chiic tin dung khac.

2.Th^nh vien Ban Kiem soat:

a)Khong dugc ddng thai la thanh vien Hgi dong Quan tri, ngudi didu hanh, nhan vienciia Maritime Bank hoac cong ty con cua Maritime Bank hoac nhan vien ciia doanhnghiep ma th^nh vien Hoi dong Quan trj, Tdng Giam ddc cua Maritime Bank la thanhvien Hgi ddng Quan tri, ngudi dieu hanh hoac la Co dong Ian ciia doanh nghiep do;

b)Khong dugc dong thai la thanh vien Hgi dong quan tri, thanh vien Hoi dong thanhvien, ngudi dieu h^nh ciia doanh nghiep ma thanh vien Ban kiem soat ciia doanhnghiep do dang la thanh vien Hgi dong Quan tri, ngudi dieu hanh tai Maritime Bank;

c)Trudng Ban Kiem soat khong dugc dong thdi la thanh vien Ban Kiem soat, ngudiquan ly ciia to chuc tin dung khac.

3.Tong Giam doc, Pho Tong Gidm doc va c^c chuc danh tuang duang khong dugc dongthdi dam nhiem mgt trong cdc chiic vu sau day:

a)Thanh vien Hoi dong Qu^n tri, thanh vien Hgi dong thanh vien, thanh vien Ban kiemsoat cua to chuc tin dung khac, trir trudng hgp do la cong ty con ciia Maritime Bank;

b)Tdng Giam ddc (Gi^m ddc), Phd Tdng Giam ddc (Pho Giam ddc) ciia doanh nghiepkhac.

Bieu 44. Tieu chuan va dieu ki^n de dugc bau, bo nhicm85

1. Tieu chuan va dieu kien ddi vdi thanh vien Hgi dong Quan tri:

a)Khong thudc ddi tugng quy djnh tai khoan 1 Dieu 42 Didu 12 nay;

b)Co dgo diic nghe nghiep;

c)La ck nhan sd hum hoac ngudi dugc liy quyen dai dien sd huu it nh^t 5% vdn dieu 12cua Maritime Bank, trir trudng hgp la thanh vien dgc lap ciia Hgi ddng Quan tri hoac

co bang dpi hoc tra len ve mpt trong cac nganh kinh te, quan tri kinh doanh, luat hoScco it nhat 03 nam la nguai quan ly cua t6 chirc tin dyng hope doanh nghiep hoat dpngtrong nganh bao hiem, chting khoan, ke toan, kiem toan hoac co it nhat 05 nam lamviec true tiep tai cac bp phan nghiep vu trong Knh vyc ngan hang, tai chinh, kikn todnhoac ke toan.

d) Doi vai thanh vien doc lap cua Hoi dong Quan tri: ngoai nhung tieu chuan neu tpi cacdiem a, b va c khoan nay, phai dam bao yeu ckt ve tieu chuan va tinh dpc lap theo

quy dinh tai Dieu 45 DiSu 1? ndy.

2.Tieu chuan va dieu kien doi voi thanh vien Ban Kiem soat:

a)Khong thupc doi tupng quy djnh tai khoan 1 Dieu 42 Dieu le nay;

b)Co dao dire nghe nghipp;

c)Co bang dai hpc tra len ve mpt trong ede ngdnh kinh te, qudn tri kinh doanh, luat, ketoan, kiem toan; co it nhat 03 ndm lam vipc tr^c tiep trong Hnh v\rc ngan hang, taichinh. ke toan hoac kiem toan;

d)Khong phai la ngufri co lien quan cita Ngu&i quan ly Maritime Bank;

e)Thanh vien Ban kiem soat chuyen trach phai cu tni tai Viet Nam trong thai gian

duang nhiem.

3.Tieu chuan va dieu kien doi vai Tong Giam doc:

a)Kliong thupc doi tupng quy djnh tai khoan 1 Diu 42 Dieu le nay;

b)Co dao dire nghe nghiep;

c)Co bdng dai hpc tra len ve mpt trong cac ngdnh kinh t, quan trj kinh doanh, luat;

d)Co it nhat 05 nam lam ngufri diSu hanh cua t6 chtic tin dung hojc c6 it nhlt 05 n3mlam T6ng Giam d6c (Gidm d6c), Pho T6ng Gidm doc (Pho gidm doc) doanh nghiepco v6n chu sa huu t6i thi^u bang mure v6n phdp djnh doi vai tirng lo^ti hlnh to chtictin dung theo quy dinh cua phap luat hope c6 it nhat 10 nam lam vifc tr^rc tiep tronglmh vuc tai chinh, ngan hang, ke toan ho^c kiem toan;

e)Cu tru tai Viet Nam trong thto gian duong nhiem.

4.Tieu cliuiin va diki kien doi vcM Pho Tong Giam doc, Ke toan truang, Giam d6c Chi

nhanh, Giam doc cong ty con vk eke chiic danh tuang duang:

a) Khong thupc doi tuprng quy djnh duai day:

-Nguai chua thanh nien, ngucri bi han che ho5c bi mat nang lpc hanh vi dan sy;

-Nguai dang bi truy ctiu trach nhiem hinh sy, dang chap hanh ban an, quyet dinh

ve hinh sy ciia Toa kn;

-Ngucri da bi ket an ve tpi tur tpi pham nghiem trpng tra len;

-Nguai da bi kk an ve tpi xam pham s6 hQu ma chua dupe xod an tich;

-Can bp, cong chuc, ngudi quan ly tir c^p phdng trtir len trong ede doanh nghiep maNha nuac nim tir 50% von dieu le tra len, tru nguai dupe cir lam dai dipn quan ly

phan von gop cua Nhd nu6c tai to chiic tin dyng;

-Sy quan, ha sy quan, quan nhan chuyen nghipp, cong nhan quoc phong trong cacca quan, dan vj thupc Quan dpi nhan dan Vipt Nam; sy quan, hp sy quan chuyennghiep trong cac ca quan, dan yj thupc Cong an nhan dan Viet Nam, tru nguaidupe cu lam dpi dipn quan ly phan von gop ciia Nha nuac tpi to chuc tin dung;

-Cha, me, vp, ch&ng, con vd anh, chi, em ciia thdnh vien Hoi dong Quan tri, Tong

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86 Kho4n 2 Diju 50 Luat CTCTD 201088 Di^ 23 Nghj djnh s6 59/2009/ND-CP

Gidm d6c va vg, chong ciia nhung ngufri nay.

b)Doi v6i chiic danh Ph6 Tong Giam doc thl phai la nguai khong thupc doi tugng qu>rdinh tai khoan 1 Dieu 42 DiSu If nay.

c)Co bang dai hoc tra len vS mf t trong cdc nganh kinh te, cjuan tri kinh doanh, luat hoacHnh vuc chuyen mon ma minh se dam nhifm; hoac co bang dai hoc tra len ngoai cacnganh, ITnh vuc neu tren va co it nhat 03 nam lam vifc true tiep trong lmh vuc nganhang, tai chinh hoac Hnh vyc chuyen mon ma minh se dam nhifm;

d)Cu tni tai Vift Nam trong thai gian duang nhifm.

Dieu 45. Tieu chuan, dieu kien ve tinh doc lap cua thanh vien doc lap cua Hoi dong Quarttri86

1.Khong phai la nguai dang lam vifc cho Maritime Bank hoac cong ty con cua MaritimeBank hoSc da lam vifc cho Maritime Bank hoac cong ty con cita Maritime Bank trong 03nam lien ke truac do;

2.Khong phai la nguai hudrng luang, thu lao thuang xuyen ciia Maritime Bank ngoai nhung

kho&n phu cap cua thdnh vi6n Hoi dong Quan tri dugc huang theo quy dinh;

3.Khong phai la nguai co vg, chong, cha, mp, con, anh, chi, em va vg, chong ciia nhungngubi nay la Co dong Ion ciia Maritime Bank, Ngucri quan ly hoac thanh vien Ban Kiemsoat ctia Maritime Bank hoac cong ty con cua Maritime Bank;

4.Khong trgc tiSp, gian tiep s6 hiru hoac dai difn sa hiru tit 1% von dieu If hoac von cophan c6 quyen bieu quy^t tra len ctia Maritime Bank; khong citng ngubi c6 Ii6n quan sahuu tit 5% von dieu If ho^c v6n co ph^n co quyen bieu quyet tra len ciia Maritime Bank;

5.Khong phai la Nguai qu^n ly, thanh vien Ban Kiem soat ciia Maritime Bank tai bat k>thiri diem nao trong 05 n5m lien ke truac d6.

Dieu 46. Duong nhicn mat tu each88

1.Cac truong hgp sau day duang nhien mat tu e^eh thanh vien Hoi dong Quan tri, thanhvien Ban Kiem soat va Tong Giam doc:

a)Mat nang lire hanh vi dan sir hoac chet;

b)Vi pham quy dinh tai khoan 1 Dieu 43 Dieu If nay ve nhung truang hap khong duuccung dam nhifm chiic vu;

c)La nguai dai difn phan von gop cua mot to chiic la Co dong cua Maritime Bank khito chiic do bi cham durt tu edeh phap nhan;

d)Khong con la ngubi dai difn phan von g6p theo liy quyen ciia Co dong la to chiic;

e)Bi true xuat khoi l^nh tho nuac Cong h6a xa hoi chu nghTa Vif t Nam;

f)Khi Maritime Bank bj thu h6i Gidy ph^p thanh lap va hoat dong;

g)Khi hgp dong thue T6ng Giam doc het hieu lire.

2.Hoi dong Quan tri ciia Maritime Bank phai c6 van ban bao cao kem tai lieu cluing minhv6 vifc cac d6i tugng duang nhien mat tu each theo quy djnh tai diSm a, b, c, d, e, g,

khodn 1 Dieu nay giri Ngan hdng Nha nuac hong thai han 05 ngay lam vifc, kS tir nga)xac dinh dugc doi tugng tren duang nhien mt tu each ya chju trach nhifm vg tinh chinhxdc, trung thuc ciia bao cdo nay; thuc hifn cac thu tuc bau, bo nhifm chiic danh bi khuy^^ltheo quy dinh cua phap luat.

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89 Cong van so 324iNHNN-TTGSNH

"' Diiu 36 Lu?t CTCTD 2010; Bilu 20 Th8ngtu s6 06/2010/TT-NHNN" Khoan 1 Di6u 36 Luat CTCTD 2010"2 Khoan 2 DiSu 36 Luat CTCTD 2010" Khoan 3 Dieu 36 Luat CTCTD 2010

3.Sau khi ducmg nhien mat tu each, thanh vien Hoi dong Quan trj, thanh vien Ban Ki6msoat, Tong Giam doc ciia Maritime Bank phai chiu trdch nhiem ve cac quyet djnh ciiaminh trong thai gian duang nhiem.

4.Trong thai han toi da 15 ngay ldm vigc ke trr ngay Chti tjch Hgi dong Quan tri bj dvrcmgnhien mat tir each theo quy dinh tai khoan 1 Bieu nay, cac thanh vien Hgi dong Qudn trico trach nhiem to chirc hpp Hgi dong Quan tri de bau mgt thanh vien tam thai gift chucClni tich Hoi dong Quan tri.

5.Trong thai han toi da 15 ngay lam viec ke tir ngay Truftng Ban kiem soat bi ducrng nhienmat tir each theo quy dinh tai khoan 1 Bieu n^y, cac thanh vien Ban kiem sodt c6 trdchnhiem to chirc hgp Ban kiem sodt de bau mgt thanh vien tam thai gift chirc Idm TruangBan kiem scat.

6.Chirc danh dirge Thong doc NHNN chuan y truac day cita nhftng ngirai bi mat tu edehquy dinh tai khoan 1 Bieu ndy duang nhien het higu l\rc.

7.Boi vai cac truang hgp bi duang nhien mat tu each thdnh vien Hgi dong puan tri, thdnhvien Ban Kiem soat theo quy dinh tgi khoan 1 Bieu n^^y, trong thai han toi da 60 ngay89

ke tu ngay mien nhiem, bai nhigm thanh vien Hoi dong Quan tri, thanh vien Ban Kiemsoat, Hoi d6ng Quan tri co th to chirc hgp Bgi hgi dong C6 dong bat thubng hoac trinhcugc hgp Bai hgi dong Co dong gan nhat quyet dinh

Dieu 47. Mi6n nhi^m, bai nhi|m90

1.Chu tich va thanh vien Hgi dong Quan tri, Truang ban va thanh vien Ban Kiem so^t,Tong Giam doc cua Maritime Bank bi xem xdt bai nhi^m, mien nhiem khi thugc mgttrong cac truang hgp sau: "

a)Bi han che nang luc hanh vi dSn s\r;

b)Co dan xin tu chuc (trong d6 neu ro ly do xin tir chuc) gui Hgi dong Quan tri, BanKiem soat ciia Maritime Bank;

c)Khong tham gia cac hoat dgng cua Hgi dong Qutin trj, Ban Kiem soat trong 06 th^nglien tuc, trir truang hgp bat kha khang;

d)Khong dam bao tieu chuan, dieu kien quy djnh t^.i Bieu 44 Bieu If n^^y;

c) Thanh vien doc lap cua Hgi dong Quan tri khong d^m bao yeu cau ve tfnh doc lap;

f) Cac truang hgp khac do phap luat quy dinh (neu c6).

2.Sau khi bi mien nhiem, bai nhi^m, Chit tich, th^nh vien Hgi d6ng Quan trj; Truang Ban^thanh vien Ban Kilm soat; Tong Gi^m d6c cua Maritime Bank ph^^i chju trdch nhigm v6cac quyet dinh ciia minh trong thfti gian duang nhigm.92

3.Trong thai han 10 ngay l^m vigc, ke tu ngay thong qua quyet dinh mien nhigm, bai nhigmd6i vbi cac d6i tugng theo quy djnh tai khoan 1 Bieu nay, Hgi dong Quan trj cuaMaritime Bank phai co van ban k6m tai lieu lien quan bao cao NHNN.93

4.Trong thai han t6i da 15 ngay \im viec ki tu ngay Chu tjch Hgi dong Qu^^n trj bj miennhiem, bai nhiem theo quy djnh tgi khoan 1 BiSu n^^y, ede thanh vien Hgi dong Qudn trjco trach nhiem to chirc hgp Hgi dong Quan trj de biu mt thanh vien tam thai gift chucChu tjch Hgi dong Quan trj.

94 Cong van s^ 324'NHNN-TTGSNH9i Ap dyng nguyen tSc neu tai Di^u 21 Thong tu so 06/2010/NHNN do Luat DN 2014 chua cd huoii" J.in cu

thi96Di6u37LuatCTCTD2010"DiSu 158. LudtDN2OI4

Tran a 36 64

5.Trong thdi han toi da 15 ngay lam viec kS tvr ngay Trudng Ban kiem soat bj hi bi miennhiem, bai nhiem theo quy djnh tai khoan 1 Bieu nay, cac thanh vien Ban kiem ^oat cutr^ch nhiem to chuc hop Ban kiem soat de bau m6t thanh vien tarn thai giu chiie lamTruang Ban kiem soat.

6.Doi vdi cac truang hap mien nhiem, bai nhiem thanh vien Hoi dong Quan tri, thanh v ienBan Kiem soat theo quy dinh tai khoan 1 Bieu nay, trong thai han toi da 60 ngay94 ke tir

ngay mien nhiem, bai nhiem thanh vien Hgi dong Quan tri, thanh vien Ban Kiem soat,Hoi d6ng Quan tri cd> the to chuc hop Dai hoi dong Co dong bat thudng hoac trinh cuoc

hop Bai hoi dong Co dong gan nhat quyet dinh.

Bieu 48. Thay the Tong Giam doc trong trtrdng hop khan cap"

1.Trong thai han 01 (m^t) ng^y lam viec ke tir ngay Tong Giam doc bi xac djnh duongnhien mat tu each theo quy dinh tai kho^n 1 Bieu 46 Dieu le nay va quy dinh cua plitipluat, hoac bj mien nhiem, bai nhiem khi chua co ngudi tha> the. Hoi dong Quan tri phaico quyet dinh cii ngay mot Pho Tong Gidm doc hoac mot Thanh vien Hoi dong Quan indieu hanh hoat dong ngan hang de dam biio ngan h^ng hoat dong on dinh, lien tue vit covan ban bao cao NHNN (qua Ca quan Thanh tra, Giam sat va Ngan hang Nha nude cliinhanh). Nguai duac cir dieu hanh ngan hang phai chju trach nhiem ca nhan doi \ 6i nhiemvq duac giao trong thai gian dam nhan nhi^m vq nay.

2.Trong thdi han toi da 60 ngay ke tir ngay Tong Giam doc bi duung nhien mat tu each, bimien nhiem, bai nhiem tai khoan 1 Bieu nay, Hoi dong Quan tri phai tien hanh cac thu lucbo nhiem Tong Giam doc mdi theo quy dinh.

Dieu 49. Dinh chi, tarn dinh chi96

1.Trudng hop Maritime Bank bi dat vao tinh trang kiem soat dae biet, Ban Kiem soat duebiet do NHNN thanh lap co quyen dinh chi, tam dinh chi viec thuc thi qu>en, nghia vticua Chit tjch va cac thanh vien Hoi dong Quan tri, Trudng ban va cac thanh vien BanKiem soat, Ngudi dieu hanh ctia Maritime Bank neu xet thay can thiet.

2.Chu tich va cac thanh vien Hi dong Quan tri, Trudng ban va cac thanh vien Ban Kiemsoat, Ngudi dieu h^nh cua Maritime Bank co thS bj NHNN dinh chi, tarn dinh chi vicethuc thi quyen, nghTa vu nhiem vu, quyen han khi vi pham quy dinh tai Dieu 34 Lutii Ctieto chtic tin dung, quy dinh cua phap luat co lien quan trong qua trinh thue hien quyen.n|hla vu duac giao; yeu cau ca quan co tham quyen ctia Maritime Bank mien nhiem. bau.bo nhiem ngudi thay the hoac chi dinh ngudi thay the neu xet thay can thiet.

3.Ngudi bi dinh chi, tarn dinh chi viec thuc thi nhiem vu, quyen han theo quy dial, taikhoan 1, khoan 2 Dieu nay ph^i co trach nhiem tham gia xu ly etic t6n tai va sai pham cdlien quan den trach nhiem cA nhan khi cd yeu cau cua NHNN, Hoi d6ng Quan hi. BanKiem sodt cua Maritime Bank hoac Ban Kiem soat dac biet.

Dieu 50. Thu lao, ticn luung va l^i ich kh^c cho Thanh vien Hoi dfing Quan tri, BanKiem soat97.

1.Thu lao, tien luang va loi ich khac cho Thanh vien Hoi dfing Quan tri. thanh vien BanKiem soat do Dai hoi dong Co dong xem xet, quyet dinh tren ca sd kth qua va hieu qua

kinh doanh trong nam tai chinh phu hap vdi quy dinh cua phap luat.

2.Tien luang cua Tong Giam doc do Hoi ddng Quan tri quy^^t dinh va phai bao cao Dai hoi

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8 Dieu 39 Luat CTCTD 2010; Qiiu 159 Lut Doanh nghi$p 2014'Di^u 38 Luat CTCTD 2010

dong co dong tai cupc hop thircmg nien.

Dicu 51. Cong khai cac lyi ich lien quan98

3.Thanh yien Hoi dong Quan tri, thanh vien Ban Ki^m sodt, T6ng Gidm d6c, Pho TongGidm doc va cac chiic danh tircrng duong ciia Maritime Bank phai cong khai vai MaritimeBank cac thong tin sau day:

a)Ten, dja chi try so chinh, ma so doanh nghiep, nganh, ngh^ kinh doanh, s6 va ngay

cap Giay chung nhan dang ky doanh nghiep, ncri dang ky kinh doanh ciia doanhnghiep, to chirc kinh te ma minh va ngucri co lien quan dung ten set hftu phan vongop, co phan hoyc uy quyen, uy thac cho ca nhan, t6 chirc khdc diing ten txr 5% von

dieu le trd len;

b)Ten, dja chi try sa chinh, ma so doanh nghigp, ngdnh, nghe kinh doanh, so vd ngaycap Giay chung nhyn dang ky doanh nghifp, nai dang ky kinh doanh cua doanhnghiep ma minh vk ngucri co lien quan dang Id thdnh vi^n Hgi dong Quan trj, thanhvien Hoi ddng thanh vien, th^nh vien Ban kiem soat, T^ng Gidm doc (Giam d6c).

4.Viec cong khai thong tin quy djnh tai khoan 1 Bieu nay v^ vi|c thay doi thong tin lienquan phai dugc thyc hien bang van b^n trong th^i hyn 07 ngay lam viec, ke ttr ngay ph^tsi nlr hoac co thay doi thong tin.

5.Viec cong khai thong tin quy djnh tyi khoan 1 Bieu nhy ph^i dugc thong bao djnh kyhang nam cho Bai hgi dong Co dong va dugc niem yet, luu gift tai try so chinh cuaMaritime Bank. Co dong, dyi dien theo uy c^uyen cua Co d6ng, thanh vien Hgi dong Qu^ntri, Ban Kiem soat, Tong Giam doc cd quyen xem xdt noi dung ke khai bat cur luc n^lo neuxet thay can thiet.

6.Thanh vien Hoi dong Quan tri, Tong Giam doc nMn danh ca nhan hodc nhan danh ngucrikhac dS thyc hien cong viec dudri mpi hinh thtic trong phym vi cong vifc kinh doanh pitaMaritime Bank deu ph^i giai trinh ban chat, noi dung ciia cong viec d6 trudc Hgi dongQuan tri. Ban Ki^m soat va chi dugc thyc hien khi dugc da s6 thanh vien c6n lai cua Hgi

dong Quan tri chap thuan; neu thyc hien ma khong khai bao hoac khong dugc sy cha^i

thu|n ciia Hgi dong Quan trj thi t^t ca thu nhyp co dugc ttr hoyt dgng d6 thugc veMaritime Bank.

Dieu 52. Quyen, nghla vy cua NgtfM qu^^n \f, NgirM dieu hanh Maritime Bank99

1.Thyc hien cac quy^n v^ nhigm vy dugc giao theo dting quy djnh ciia phap luat, Bieu le

Maritime Bank, nghj quyet, quyet djnh ciia Bai hgi dong Co dong.

2.Thyc hien cac quyen va nhiem vy dugc giao mot edeh trung thyc, can trgng, vi lgi ich cua

Maritime Bank va Co dong.

3.Trung thanlt voi lgi ich ciia Maritime Bank; khong sir dyng thong tin, bi quyet, ca hgikinh doanh ciia Maritime Bank, lam dyng dja vj, chiic vy va tai san ciia Maritime Bank dethu lgi ca nhan ho^c de phyc vy lgi ich ciia to chiic, cd nhan khdc lam ton hyi ttri lgi ichciia Maritime Bank va Co dong.

4.Bao dam luu trft ho sa cua Maritime Bank de cung cap dugc cac so ligu phyc vy cho hoytdgng quan ly, dieu hanh, ki^m soat mgi hoyt dgng Maritime Bank, hoyt dgng thanh tra,

giam sat, kiem tra ciia NHNN.

5.Am hiiu ve cac loai nii ro trong hoyt dgng cua Maritime Bank.

6.Thong bao kjp thai, day du, chinh xac cho Maritime Bank ve quyen lgi ciia minh tyi to

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Diem q khoan 2 Digu 59 Lujt CTCTD 2010' Kho^n 10 Dilu 63 LuSt CTCTD 20102 DiSu 43, DiSu 62 Luat CTCTD 2010

chiic khac, giao djch vai to chiic, ca nhan khac co the gay xung dot vdi Icri ich ciia

Maritime Bank va chi dugc tham gia vao giao dich do khi dugc Hoi dong Quan tri chapthuan.

7.Khong duoc tao di6u kien d6 ban than hojic ngudi co lien quan cua minh dugc cap tindung, sir dung cac dich vp ngan hang ciia Maritime Bank vdi nhung dieu kien uu dai,thuan Icri hon so vai quy djnh chung cua Maritime Bank.

8.Khong dugc tang luong, thu lao hoac yeu cau tr^ thudng khi Maritime Bank bj 16.

9.Cac nghia vu khac do theo quy dinh cua phdp luat (neu co).

Dieu 53. Tranh xung dot quyen loi

1.Viec cdp cac khoan vay, bao lanh, hoac cap tin dpng cho cac thanh vien Hoi dong Quantri, T6ng Giam d6c, chn bo quhn ly, dieu hanh va nhung ngudi lien quan ciia hp va phapnhan ma nhung ngudi nay co Icri ich tai chinh phai tuan theo quy djnh ciia phap luat.

2.Cac hop d6ng ciia Maritime Bank voi thanh vien Hoi dong Quan tri, thanh vien Ban Kiemsoat, Tong Giam d6c, C6 dong Ion, nguai co lien quan ciiaNgucri quan ly, thanh vien Ban

Kiem soat, Co dong Ian; cong ty con, cong ty lien ket ciia Maritime Bank chl dugc ky kei.neu bao dam thuc hien dung theo quy dinh sau day:

a)Doi vdi hgp dong c6 gia tri 1dm horn 20% Von dieu le ciia Maritime Bank ghi trongbao cao tai chinh da dugc ki^m toan gan nhat (hoac ty le thap han quy dinh trongDieu le nay) thi phai dugc Dai hoi dong Co dong thong qua truac khi kj. Trongtruang hgp nay, cac C6 dong co lien quan khong cd quy^n bieu quyet. IO(J

b)Doi vdi hgp dong giao dich cd gia tri bang hoac nhd han 20% Von dieu le cuaMaritime Bank ghi trong bao cao tai chinh da dugc kiem toan gan nhat (hoac t\ lethap hon quy dinh trong Dieu le nay) thi phai dugc Hoi dong Quan tri thong quatrudc khi ky. Trong trudmg hgp nay, thanh vien cd lien quan khong cd quyen bieuquyk101

3.Truong hg^ hgp dong dugc ky ket hoac thuc hien ma chua dugc Dai hoi dong Co donghoac Hoi dong Quan tri thong qua theo quy djnh tai khoan 2 Dieu nay thi hgp dong do vohieu va dugc xu ly theo quy dinh cua phap luat. Nhung ngudi gay thiet hai cho MaritimeBank phai cd trach nhiem boi thudng thiet hai phat sinh, hoan tra cho Maritime Bank cackhoan Icri thu dugc tir viec thuc hin hgp dong do.

Dieu 54. Trach nhiem va boi thutmg

Thanh vien Hoi dong Quan tri, Tong Giam doc va can bo quan ly vi pham nghia vu hanhdong mot each trung th\rc, khong hoan thanh nghia vu ciia minh vdi sir can trong, mancan va nang luc chuyen mon se phai chiu trach nhiem va b6i thudng cho nhung thiet haido hanh vi vi pham ciia minh gay ra.

CHLTONGIX

HOI DONG QUAN TRIDieu 55. Hgi dong Quan trj va co cau Hoi dong Quan tri102

1. Hoi dong Quan trj la ca quan quan trj ciia Maritime Bank, cd toan quyen nhan danhMaritime Bank de quyet djnh, thuc hien cac quyln va nghia vu ciia Maritime Bank, trir

Khoan 6 Dieu 24 Dieu ip mftl05DiSu63 Lu^t CTCTD 2010

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103Kho^n 2 Dieu 16 Nghj djnh 59/2009/ND-CP104Khoan 6 Dieu 24 Diu I^ mlu C6ng ty Dpi chilng'5DiSu63 Luat CTCTD 2010

nhung van de thupc tham quydn cua Dai hoi dong Cd ddng.

2.Hoi dong Quan tri phai co khdng it han 05 thdnh vien vd khong qud 11 thdnh vien, trongdp co it nhat 01 thanh vien dpc lap. Hpi dong Quan trj phai co it nhat 1/2 (mpt phan hai)tdng so thanh vien la thanh vien dpc lap vd thdnh vien khong phai Id Ngufti didu hdnhMaritime Bank.

3.Ca nhan va nguai co lien quan cua cd nhan dd hojic nhftng ngubi dpi dipn von gdp cuamot Co dong la to chirc va ngudi co lien quan cua nhftng ngudi nay dupe tham gia Hpidong Quan trj, nhung khong dupe vupt qua 1/3 (mpt ph^n ba) tong so thanh vidn Hpidong Quan tri cua Maritime Bank, trft trudng hpp la ngudi dai dipn phan von gop cuaNha nude. Trudng hpp so thanh vien Hoi dong quan trj khong du hai phan ba tong sothanh vien cua nhiem ky hodc khong du so thdnh vien toi thieu la 05 thanh vien thi trongthai ban 60 ngay, ke tft ngay khong du so lupng thdnh vidn, Maritime Bank phai bo sungdu so lupng thanh vien Hpi dong qudn tri.

4.Nhiem ky cua Hpi d^ng Quan trj khong qu^ 05 nftm. Nhi^m ky cua thilnh vien Hpi dongQuan tri theo nhiem k^ cfta Hpi dong Qu^n trj. Th^nh vien Hpi dong Qu^n trj co the dupebau hoac bd nhiem lpi vdi so nhipm ky khong hpn che. Nhipm ky cua th^^nh vien Hpidong Quan trj dupe bo sung hoftc thay th^ 1^ thdi hpn cdn lai cua nhipm ky Hpi dongQuan trj. Hpi ddng Qu^n trj cua nhipm ky vfta ket thuc tiep tuc hoat dpng cho dn khi Hpidong Quan trj cua nhipm ky mdi tiep quan cong vipc.

5.Hpi ddng Quan trj co quyen b^u, mien nhipm, bai nhidm Chu tjch Hpi ddng Qun t4. Chutich Hpi dong Quan trj co the la thanh vidn dpc l^p. ]oi

6.Chu tjch Hpi dong Quan trj phai la ngudi co quoc tjch Viet Nam v^ cu tru tai Viet Namtrong thdi gian ducng nhipm.

7.Vipc b^u, miln nhipm, bai nhipm va duang nhien m^t tu each cua Chu tjch va cac thanh

vien Hpi ddng Quan trj phai dupe thyc hien theo quy djnh cua phdp luat v^ Dieu le n^y.

8.Sau khi co phieu Maritime Bank niem ydt, vipc bo nhi^m cac thanh vidn Hpi ddng Qu^ntri phai dupe thong bao theo ede quy djnli cua phdp lu|t ve chung khodn vd thi ttudngcluing khoan.104

9.Hpi ddng Quan tri sft dyng con d^u cua Maritime Bank de thuc hien nhipm vy, quydn hpn

cua minh.

10.Giup vipc cho Hpi d&ng Qudn trj cd Thu ky Hpi dong Qudn trj. Chftc n^ng, nhipm vy cuaThu ky Hpi ddng Quan trj do Hpi dong Qudn trj quy djnh.

11.Hpi ddng Qudn trj phai thdnh lpp cac Uy ban dk giup Hpi ddng Qudn trj thyc hipn nhipmvu, quyen han cua minh, trong dd phdi cd Uy ban Qudn ly Rui ro va Uy ban Nhan sy.

Hpi ddng Qudn trj quy djnh nhipm vu, quydn hpn cua hai Uy ban nay theo hudng dan cuaNHNN.

Dicu 56. Nhipm vu va quyen han cua Hpi dong Quan trj105

1.Chju trdch nhiem trudc Dpi h^i d^ng Co ddng trong vi^c thyc hipn nhi^m vy, quyen hpndupe giao.

2.Trinh Dai hpi ddng Co ddng quy^t djnh, thong qua ede vin de thupc thlm quyln cua Dai

hpi ddng Cd ddng.

3.Quydt djnh vipc thdnh lpp chi nhdnh, van phdng dpi dipn, dem vj sy nghipp.

106 Kho^n 1 Dieu 42 LuSt CTCTD 2010

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4.Bo nhiem, mien nhiem, bai nhiem, ky luat, dinh chi va quygt dinh mire luang, lai ich khacd6i vai cac chuc danh Tong Giam doc, Pho Tong Giam doc, Ke toan trirdmg. Tint ky Hoi

dong Quan tri, cac chuc danh thupc bo phan kiem todn npi bo \a Nguai quan ly. Ngucridieu hanh khac theo quy dinh npi bo cua Maritime Bank.

5.Thong qua phuong an g6p v6n, mua co phSn cua doanh nghiep, to chuc tin dung khac cogid tri dudi 20% von dieu le cua Maritime Bank ghi trong bao cao tai chinh da dupe kiemtoan gan nhat.

6.Cir nguai dai dien von gop ciia Maritime Bank tai doanh nghiep, to chuc tin dung khac.

7.Quy^t dinh dau tu, giao dich mua, ban tai san cua Maritime Bank tur 10% tro len so \6iv6n di^u le ciia Maritime Bank ghi trong bao cao tai chinh da dupe kiem loan gan nlijt,trir cac khoan diiu tu, giao dich mua, ban tai san ciia Maritime Bank quy djnh tai diem o

khoan 4 Dieu 27 Dieu le nay.

8.Quyet dinh cac khoan dp tin dpng theo quy dinh tai khoan 7 Dieu 128 cua Luat Cac tochiic tin dung, trir e^e giao dich thuoc thfcn quy^n quy^t djnh cua Dai hoi dong Co dong

quy dinh tai Dieu le nay.

9.Thong qua cac hop dong ciia Maritime Bank vdi cong ty con, cong ty lien ket cuaMaritime Bank; cac hop d6ng ciia Maritime Bank vai thanh vien Hoi dong Quan tri,thanh vien Ban KiSm soat, Tflng Giam doc, C6 dong Ian, nguai co liC-n quan cua ho cogia tri bang hoac nho han 20% von dieu le ciia Maritime Bank ghi trong bao cao tai chinhda dupe kiem toan gan nhat. Trong truang hpp nay, thanh vien co lien quan khong coquy en bieu quyet.

10.Kiem tra, giam sat, chi dao Tong Giam doc thuc hien nhiem vu dupe phan cong; danh giahing nSm ve hieu qua lam viec ciia Tong Giam doc.

11.Ban hanh cac quy dinh noi bp lien quan den to chuc, quan tri va boat dong cua MaritimeBank phu hpp voi cac quy dinh ciia Luat Cac to chiic tin dung \a phap luat co lien quan,trir nhung van de thupc tham quyen ciia Ban Kiem soat hoac cuu Dai hoi dong Co dong.

12.Quyet dinh chinh sach quan ly nii ro va giam sat viec thuc thi ctic bien phap phong ngirarui ro ciia Maritime Bank.

13.Xem xet, phe duyet bao cao thuong nien.

14.Lua chpn to chiic dinh gia chuyen nghiep de dinh gia tai san gop von khong phai la lienViet Nam, ngoai te tu do chuyen doi, vang theo quy dinh ciia phap luat.

15.De nghj Thong doc NHNN chap thuan cac vin de theo qu\ djnh cua phap luat.

16.Quyet dinh chao ban co phan mai trong pham vi so co phan dupe quyen chao ban.

17.Quyet dinh gia chao ban co phan va trai phieu chuyen doi ciia Maritime Bank.

18.Quyet dinh mua lai co phan cua Maritime Bank.

19.Kien nghj phuang an phan phoi lpi nhuan, mire c6 tiic dupe tra; quyet dinh thai han \a

thu tuc tra co tiic hoac xu ly lo phat sinh trong qua trinh kinh doanh.

20.Lua chpn mot to chiic kiem toan doc lap du diSu kien theo quy dinh cua NHNN de kiemtodn cac hoat dong cua Maritime Bank trong nam tai chinh tiSp theo truac khi ket thticnam tai chinh106.

21.ChuSn bj npi dung, tai lieu lien quan dS trinh Dai hpi d6ng Co ddng quyet dinh cac van dethupc tham quyen ciia Dai hpi dong Co dong, trir nhung npi dung thupc nhiem vu, quyt-nhan ciia Ban Kiem soat.

Trang 41/64

""Di^u64LutCTCTD2010lt1R Oidu 65 Lu?tCTCTD2010

22.Duyet clurong trinh, ke hoach hopt dpng cua Hpi dong Qudn trj; chucmg trinh, npi dung,

tai lieu phuc vu hpp Dai hpi dong Co dong; trif u tap hpp Dai hpi dfing C6 dong hodc layy kien Co dong bang van ban de thong qua nghj quyet, quyet djnh cua Dpi hpi dong C6dong.

23.To chirc trien khai, kiem tra, gidm sat viec thyc hien nghj quyet, quyet dinh cua Dai hpi

dong Co dong vd Hpi dong Qudn trj.24.Thong bdo kip thai cho NHNN thong tin anh hudng tidu eye din tu edeh thdnh vien Hpi

dong Quan tri, Ban Kiem sodt, Tong Gidm doc.

25.Cdc nhiem vu. quyen hpn khdc theo uy quyen thtrbrng xuydn vd/hopc theo vy viec cua Dpi

hpi dong Co dong va quy dinh cua phdp luat (neu co).Dieu 57. Quyen, nghla vy cua Chu tjch Hpi dong Quan trj107

1.Lap chtrang trinli, ke hoach hopt d^ng cua Hpi dong Qudn trj.

2.Chuan bj chucrng trinh, npi dung, tai lieu phuc vy cupc hpp; trieu tap vd chu top cupc hpp

Hpi dong Quan tri.

3.To chirc viec thong qua quyet djnh cua Hpi dong Qudn trj.

4.Giam sat qua trinh t6 chirc thyc hipn ede quyet djnh cda Hpi dong Quan trj.

5.Chu tpa cupc hpp Dpi hpi dong Co dong.

6.Dam bao ede thanh vien Hpi dong Quan trj nh^n dupe thong tin day du, khdeh quan,chinh xac va co du thai gian thao luan cac van de md H^i dbng Quan trj phai xem xdt.

7.Phan cong nhiem vy cho ede thdnh vien Hpi dong Qudn trj. Npi dung phan cong nhif m vycu the thanh vien phai dupe the hipn duai dpng vfin bdn vd co cho ky ciia Chu tjch Hpidong Quan trj.

8.Giam sat cac thdnh vien Hpi dong Quan trj trong vipc thyc hipn ede cong vipc dupe phan

cong va cac quyen, nghla vy chung.

9.Danh gid hieu qua lam vipc cua timg thdnh vien, ede tty ban cua Hpi dong Qudn trj toithieu moi nam 01 Ian vd bao cdo Dpi hpi dong C6 dong ve kit qua ddnh gid nay.

10.Truong hpp Chii tjch Hpi dong Qudn trj vang m^t thi uy quyen bang vdn bdn cho mptthdnh vien khac de thyc hipn cac quyen vd nghta vy cua Chu tjch Hpi dong Qudn trj.Truong hpp khong c6 ngufri dupe uy guy^n hodc Chu tjch Hpi dong Qudn trj khong ldmvice dupe thi cac thdnh vien c6n lai bdu mpt ngufri trong so ede thdnh vien tpm thbi giachuc Chu tjch Hpi dong Qudn trj theo nguyen tdc da s6 qud bdn.

11.Cac quyen vd nghia vy khdc theo quy djnh cua phdp lut vd Di^u le ndyDicu 58. Quyen, nghla vy cua thdnh vien Hyi flong Qudn trj108

1.Thyc hien quyen, nghla vy cua thdnh vien Hpi d6ng Quan trj theo diing quy che npi bpciia Hpi dong Quan trj vd sy phan cong cua Chu tjch Hpi dong Qudn trj mpt each trungthyc vi lpi ich cua Maritime Bank vd Co dong.

2.Xem xet bao cdo tai chfnh do ki^m todn vien dpc lp chuan bj, c6 y kien hope yeu cauNgucri dieu hanh Maritime Bank, kiem todn vien dpc lp va kiem todn vidn npi bp gidi

trinh cac van de co lien quan den bdo cdo.

3.DS nghi Chu tjch Hpi dong Qudn trj trieu tap cupc hpp Hpi d6ng Qudn trj bat thuemg.

"Dieu 153 Luat Doanh nghi^p 2014; Bi6u 49 Nghj dinh so 59/2009/NB-CP

Trang 42/64

Tham du cac cugc hop Hoi ddng Quan tri, thao luan va bieu quyet ve cac van de thudcnhiem vu, quydn han cua Hoi ddng Quan tri theo quy dinh cua phap luat va Dieu leMaritime Bank, trir trudng hop khdng dugc bieu quyet vi van de xung dot lgi ich vdithanh vien do. Chiu trach nhigm ca nhan truac phap luat, truac Dai hoi ddng Co ddng vatrudc Hoi dong Quan tri ve quyet dinh cua minh.

4.Tridn khai thuc hien cac nghi quyet, quyet dinh cua Dai hoi dong Co dong va Ilpi dongQuan tri.

5.Co trach nhiem giai trinh truac Dai hoi dong Co d6ng, Hoi dong Quan tri ve viec thuchien nhiem vu dugc giao khi co yeu cau.

6.Cac quyen, nghta vu khac theo quy dinh cua phap luat (neu co).

Dieu 59. Hop Hoi dong Quan tri109

1.Trudng hop Hoi ddng Quan tri bau Chu tich thi cugc hop dau tien cua nhiem ky Hgi dongQuan tri de biiu Chit tich va ra cac quyet dinh khac thugc tham quyen phai dugc tien hanh

trong thai han 07 ngay lam viec, kS tu ngay ket thuc bau cu Hoi dong Quan tri nhiem kjdo. Cuoc hop nay do thanh vien co sS phi^u Mu cao nhat trieu tap. Truang hop co nhieuhan mot thanh vien co so phi6u b^u cap nhat va ngang nhau thi cac thanh vien da bau

theo nguyen tac da so mgt nguoi trong so hg trieu tap hop Hoi dong Quan tri.

2.Hoi dong Quan tri co the hgp djnh ky ho^c bat thudng. Hoi dong Quan tri co the hop taitru sd chinh cua Maritime Bank hoac d noi khac.

3.Cuoc hop dinh ky cua Hoi d6ng Quan tri do Chu tjch trieu tap bat cu khi nao neu xet thatcan thiet, nhung moi quy phai hgp it nhat mot Ian ke ca dudi hinh thuc hgp true luvenhoac cac hinh thuc khac ma phap luat cho phep

4.Chu tich Hoi dong Quan tri phai trieu tap hgp Hoi dong Quan tri khi co mot trong cactruong hgp sau day:

a)Co d^ nghi cua Ban Kiem soat hoac Trudng Ban Kiem soat;

b)Co d^ nghi cua Tdng Giam ddc hoac it nMt 05 (nam) Ngudi quan ly khac;

c)Co de nghi cua it nhat hai thanh vien Hoi dong Quan tri.

DS nghi phai dugc lap thanh van ban, trong do neu r8 muc dich, van de can thao luan vaquyet dinh thuoc tham quyen cua Hoi dong Quan tri.

5.Chit tich hoac thanh vien Hoi dong Quan tri dugc Chu tich iiy quyen phai trieu tap hgpHgi dong Quan tri trong thai han 07 ngay, ke tir ngay nhan dugc mot trong cac de nghitheo quy djnh tai Khoan 4 Dieu nay. Trudng hop Chu tich hoac ngudi dugc i>> quyenkhong trieu tap hgp Hgi dong Quan tri theo de nghi thi phai chju trach nhiem ve nhungthiet hai xay ra doi vdi Maritime Bank, trir trudng hgp khong trieu tap hgp dugc vi ly dobat kha khang; trong trudng hgp nay, ngudi de nghi hop Hoi dong Quan tri co quyen trieutap hgp Hgi dong Quan tri, cac thanh vien Hgi ddng Quan tri du hgp bo phieu bau chti tgacuoc hgp.

6.Maritime Bank co quyen ban hanh quy dinh ngi bg cua Hgi dong Quan tri vS cac truonghgp hgp khan cap, thai han thong bao va hinh thuc thong bao mdi hgp Hgi ddng Quan trjtrong trudng hgp can hgp khan cap.

7.Chit tich Hgi dong Quan tri hoac ngudi trieu tap hgp Hgi ddng Quan tri phai gtri thongbao mdi hgp cham nhat 03 ngay lam viec trudc ngay hgp, trir trudng hop hgp khdn cap.Thong bao mdi hgp phai xac dinh cu the thai gian va dia dilm hgp, chuong trinh, cac v5n

110 Khoan 9 Diu 27 Dieu I^ m^u C6ng ty D^i chiing

Trang 43/64

de thao luan va quyet dinh. Kem theo thong bbo mbi hpp phai co tbi lipu su dung tai cupchop va phieu bieu quyet cua thanh vien.

Thong bbo mbi hpp dupe giri bang buu dien, fax, thu dipn tCr hoSc phuong tien khac,nlurng phai bao dam den dupe dia chi cua timg thbnh vibn Hpi dbng Qubn tri dupe dangky tai Maritime Bank.

8.Chii tich Hpi dong Quan tri hoac ngubi trieu tap phbi giri thong bbo miri hpp va cac tbilieu kem theo den cac thanh vien Ban Kiem sobt va Tong Giam doc nhu doi v6i thbnhvien Hpi dong Quan tri.

Thanh vien Ban Kiem soat, Tong Giam d6c khong phbi lb thanh vien Hpi dong Quan tri,co quyen dp cac cupc hpp cua Hpi dbng Quan tri; c6 quyen thao luan nhung khong dupebieu quyet.

9.Cupc hpp I Ipi dong Quan trj dupe tien hanh khi c6 tir 3/4 (ba phan tu) tong so thanh vientro len du hpp. Trubng hpp cupc hpp dupe tribu t^p theo quy djnh khoan nay khong du s6thanh vien du hpp theo quy dinh thi dupe trieu tap l^n thfr hai trong thbi han 05 ngay, ketir ngay du djnh hpp Ian thu nhat. Trong trubng hpp nay, cupc hpp dupe tien hanh neu c6lion mot nira so thanh vien Hpi dong quan tri du hpp.

10.Truong hpp khong true tiep dp hpp, thanh vien Hpi dong Qudn trj co quyen uy quyen dphpp va bieu quyet cho mpt ngu^i khdc hoac giri y kien bi^u ^uyet bSng v3n b^n bao gomca viec giri qua fax ho^c thu di^n tir. Truong hpp biiu quy^t bang vSn b^n, phieu bieuquydt phai dung trong phong bi kin v^ phai dupe chuy^n ddn chu tpa cu^c hpp Hpi dongQuan tri cham nhat 01 giq trudc gib dp ki^n khai mpc. Phieu bieu quy^t chi dupe motruoc sp chung kien cua tat ca nhirng thanh vien trpc tiep dp hpp. Quyet dinh cua Hpidong Quan tri dupe thong qua neu dupe da so th&nh vien dp hpp chap thu^n; trubng hppso phieu ngang nhau thi quyet djnh cuoi cimg thupc ve phia co y kien cua Chu tjch Hpidong Quan trj.

11.Thanh vien Hpi dong Quan trj dupe uy quy^n cho ngubi khac dp hpp v& bieu quy^t neudupe da so thanh vien Hpi dong Qu&n trj chap thu^n.

12.Biu quyet:"0

a)Tru quy djnh tai diem b kho^n nay, moi thanh vien Hpi dong Quan tri trpc tiep comat vcri tu each ca nhan tai cupc hpp Hpi dong Quan trj se co mpt phieu bieu quyet;

b)Thanh vien Hpi dong Quan tri khong dupe bieu quyet ve cac hpp dong, cac giao djchhoac de xuat ma thanh vien d6 hope ngubi lien quan tbi th^nh vien do c6 Ipi ich vk Ipiich do mau thuan hope c6 the mau thuan vbi Ipi ich cua Maritime Bank.

c)Theo quy djnh tai diem d khoan nay, khi cb vdn de phat sinh trong mpt cupc hpp cuaHpi dong Quan trj lien quan den mile dp Ipi ich cua thanh vien Hpi dong Quan Pjhope lien quan den quyen bieu quy^t mpt th^nh vi^n ma nhung van de do khong dupegiai quyet bang sp tp nguypn tir bo quyen bieu quyet cua thanh vien Hi dong Quintrj do, nhung van de phdt sinh db se dupe chuyen tbi chu top cupc hpp va phdn quyetciia chii top lien quan den tat ca ede thanh vien Hpi dong Quan trj khdc se cb gia tri laquyet djnh cubi ciing, trb trubng hpp tinh ch^t ho^lc phpm vi Ipi ich cua thdnh vienHpi dbng Quan trj lien quan chua dupe cong b6 mt edeh thich ddng;

d)Thanh vien Hpi dong Qudn trj hubng Ipi tu mQt hpp dong dupe quy djnh tpi khodn 2Di^u 53 DiSu le ndy sg dupe coi la cb Ipi ich dbng ke trong hpp dong db.Thanh vienHpi dbng Quan trj trpc tiep hojc gian tiep dupe hubng Ipi tu mpt hpp dbng hoac giaodjch da dupe ky ket hobc dang dp kibn ky ket vbi Maritime Bank vb biet la minh cb

''' Khoan 10 DiSu 27 Di8u I^ mu C6ng ty Dai chiing"2 Kho^n 6 Di6u 49 Nghi djnh s6 s^^OO^.'ND-CP"3 Khoan 1 Di6u 27 ND 102'2010'ND-CP hudng d^n thi h^nh Luat Doanh nghiep114 Khoin 2 Diu 27 ND 102/20 lOND-CP hudng dan thi h^nh Ludt Doanh nglnvp"sDi^u 154 Luat Doanh nghi$p 2014; DiSu 50 Nghj djnh s6 59/2009ND-CP \i 16 chirc i^ hoat dong cuaNHTM

Trang 44 64

lgi ich trong do, se phai cong kliai ban chat, noi dung cua quyen lgi do trong cupc hopma Hoi dong Quan trj Ian dau tien xem xet van de ky ket hap dong hoac giao djchnay. Hoac thanh vien nay co the cong khai dieu do tgi cuoc hop dau tien cua Hoi dongQu^n trj dugc to chuc sau khi thanh vien niiy biSt rang minh co lgi ich hoac se co lgiich trong giao djch hoac hgp d6ng lien quan.'''

13.Nghj quyet, quyet djnh ciia Hgi dong Quan tri dugc thong qua neu dirge da so phieu tanth^nh, bao gom ca phieu bieu quyet bang vSn b^n va bieu quyet theo ity quyen; tnrunghgp so phieu ngang nhau thi quyet djnh cuoi cung thuoc ve phia co y kien ciia nguai Chutoa cuoc hop."

14.Nghi quyet, quyet dinh cua Hoi dong Quan tri co hieu lire thi hanh ke tir ngay dugc thongqua hoac tir ngiry co hieu lire dugc ghi ro trong nghi quyet, quyet dinh do.1

15.Truong hgp co thanh vien Hgi dong Quan tri yeu c^u khoi kien hoac true tiep khor kiendoi vdi nghi quyet, quyet djnh da dugc thong qua thi nghj quyet, quyet dinh bj khai kienvln tiep tuc dugc thi hanh cho dSn khi Toa an hoSc Trong tai co quyet djnh khac.'l4

16.Hgi dong Quan trj dugc quyen to chuc ede cugc hgp duai cac hinh thirc khac theo qu\djnh ciia phap luat hien hanh vai dieu kien cac hinh thirc nay phai dugc qu> dinh cu thetrong Quy che to chuc vd hoat dgng ciia Hgi dong Quan trj.

Dieu 60. Bien ban hop Hgi dong Quan trj"5

1.Cac cugc hgp cua Hgi dong Quan trj phai dugc ghi thanh bien ban va co the ghi am, ghiva luu giu duai hinh thirc dien tir khac. Bien ban phai co cac noi dung chii yeu sau day:

a)Ten, dja chi tru so chinh, so va ngay cap Giay chiing nhan dang ky kinh doanh, noi

ddng ky kinh doanh;

b)Myc dich, chucrng trinh va ngi dung hgp;

c)Thai gian, dja diem hgp;

d)Hg, ten tirng thanh vien du hop hoac nguai dugc uy quyen dir hop; hg, ten cac thanhvien khong dir hop va ly do;

e)Cdc van de dugc thdo luan va bieu quyet tai cugc hgp;

f)T6m tat phat bieu y kien cua tirng thanh vien du hgp theo trinh tir d\in bi6n cua cuoc

hgp;

g)Ket qua bieu quyet trong do ghi ro nhung thanh vien tan thanh, khong tan lhanh \ akhong co y kien;

h) Cac quyet djnh da dugc thong qua;

i) Ho, ten, chu ky cua tat ca th^nh vien hoac dai dien theo uy quyen du hgp.

2.Chu toa va Thu ky phai chju trdch nhiem ve tinh trung thirc va chinh xac ciia noi dungbien ban hgp Hgi dong Quan trj.

3.Trudmg hgp thanh vien tryc tiep du hgp khong ky vao bien ban thi phai ghi ro !>' do; ncukhong ghi ro ly do thi bieu quy^t cua thanh vien do d6i vai nhung noi dung tai cuoc hop

coi nhu khong co gid trj.

Trang 45/64

""Khoan 14 DiSu 27 Didu 1^ nidi! C6ng ty Dai chiing"7 Diiu 51 Nghj djnh s6 59/2009/ND-CP v t6 chlic v4 hoat dOng cda NHTM

4.Bien ban cube hgp Hgi dong Quan trj phdi dupe l^p bang ti^ng Vigt vd c6 the bang mgtthii tieng nuac nggdi, va hai ban nay co gia tri phap ly ngang nhau. Trutag hgp hai bienban nay co su khac biet ve ngi dung thi dupe gidi thich theo bien ban dupe lap bang tilngViet.

5.Bien ban hgp Hgi dong Quan tri va tdi lieu sir dyng trong cugc hgp phai dupe Iuu giO taitry chinh cua Maritime Bank.

6.Chu tich Iloi dong Quan tri c6 trach nhiem chuyen bien ban hgp Hgi dong Quan tri chocac thanh vien va nhung bien bdn do se phai dupe xem nhu nhitng bang chiing xac thycve cong viec da dupe tien hanh trong cac cugc hgp d6 trir khi co y kien phan doi ve ngidung bien ban trong thoi han 10 ngdy kl tir khi chuyen di."6

Dieu 61. Thlm quyen va the thirc lay y kien think vien Hgi dong Quan tri bang vanban"7

1.Chii tich Hgi dong Qudn trj quyet djnh vigc \ky y ki^n thdnh vi^n H^i d6ng Quan tri bangvan ban.

2.Thu ky Hgi dong Quan tri chuan bj phi^u lay y kien, ede tdi li$u can thi^t c6 lien quan denngi dung xin y kien. Phigu liy y ki^n va tai ligu kbm theo phai dupe gui bang phuongthiic bao dam den dja chi lien lac cua timg thanh vien Hi dong Quan trj.

3.Philu lay y kien phai c6 cac ngi dung chii ylu sau day.

a)Ten, dja chi try so chinh, so va ngay cap Gi^y phdp thdnh lap vd ho^t dgng, Giaychiing nhan dang ky doanh nghiep cua Maritime Bank;

b)Muc dich lay y kien;

c)Hg, ten va dja chi lien lac cua thanh vien Hgi dong Quan trj;

d)Van de can lay y kien;

e)Phuong an bilu quyet, bao gom: tdn thdnh, khong tdn thanh va khong c6 y kiln;

f)Thai ban gui philu lay y kiln da dupe trd lbi ve Maritime Bank;

g)Hg va ten, chii ky cua Chu tjch Hgi ding Qudn trj.

4.Philu lly y kien da dupe trd lai phai co chu ky cua thdnh vien Hgi dong Quan hi vd guivl Maritime Bank theo quy djnh cua Maritime Bank.

5.Thu ky Hoi ding Quan trj kilm philu vd lap bien bdn kilm phieu dudi _sp gidm sat cua t6ithilu mgt thanh vien Hgi ding Quan trj dgc lap. Bien ban kidm phi^u phai co cac ngidung chu yeu sau day:

a)Ten, dja chi try sd chinh, so vd ngay clp Gily phep thanh lap vd hoyt dgng, Giaychiing nhan dang ky doanh nghigp cua Maritime Bank;

b)Muc dich vd cac van de can lay y kiln;

c)Ting si philu bilu quylt gui di, ting so philu bilu quylt thu ve, so philu bieu quylthpp Ie, si philu bilu quyet khong hpp 1?. Bidn bdn phdi c6 phy lye danh sdeh thanhvien Hgi dong Quan trj dd tham gia bieu quylt;

d)Ting si philu tan thdnh, khong tan thanh vd khong co y kiln dli v6i tung vln dedupe xin y kiln;

e)Hg, ten, chu ky cua ngubi phy trach kilm philu, nguiri gidm sat.

Trang 46 64

"! Dieu 157 Luat Doanh nghi^p 2014 v^ DiSu 31 Di6u 1 m5u Cong ty Dai cluing119 Di^u 49 Lu^tCTCTD 2010; Dieu 157 Luat Doanh nghi^p 2014

6.Thir ky Hoi ding Qu^n trj tham gia vao viec l!y </ kien thanh vien Hoi dong Quan iribang van ban va ngucri giam sdt kiem phieu phai lien dai chju trach nhiem \e tinh trungthuc, chinh xac cua bien ban kiem phieu; lien ddi chiu trach nhiem ve cac thiet hai phutsinh ttr cac quyet d|nh dugc thong qua do kiem phieu khong trung thuc, khong chinh xac.

7.Bien ban kit qua kiem phieu kem nghi quyet, cjuylt djnh cua Hoi dong Quan tri thong quadua tren k^t qua kilm phieu phai dirge giri den cac thanh vien Hoi dong Quan tri trong

thdi han 15 ngay, ke tir ngay ket thuc kiem phieu.

8.Phieu lay y kien da dugc tra Ifri, bien ban kiem phieu, toan van nghi quyet da dugc thongqua va tai lieu c6 lien quan giri kem theo phieu lay y kien deu phai dugc lt.ru giir tai try sochinh cita Maritime Bank.

9.Quyet djnh dugc thong qua theo hinh thirc lay y kien thanh vien Hoi dong Quan tii bangvan ban co gia tri nhu quyet dinh dugc thong qua tai cuoc hop Hoi dong Quan tri.

CHl/ONG XTONG GIAM B6C

Bieu 62. Tong Giam doc va by may gitip viec"

1.Tong Giam doc la nguai ^ieu hanh cao nhat cita Maritime Bank, chju sir giam sat cua I lotdong Quan tri va Ban Kiem soat, chiu trach nhiym truoc Hoi dong Quan tri \a trtrac pltapluat ve viec thuc hien quyen va nhiem vu phit hgp quy dinh cua phap luat va Dieu le nayNeu dieu hanh trai vdi quy dinh nay ma gay thigt hai cho Maritime Bank thi Tong Giiimdoc phai chiu trach nhiem truac phap luat va phai boi thuong thiet hai cho MaritimeBank

2.Hgi dong Quan tri bo nhiem mgt trong so cac thanh vien cua mirth lam Tong Giam dochoac thue Tong Giam doc va se ky mot hgp dong lao dong co thai han quy djnh to nhiemvu, quyen han va trach nhiem cita Tong Giam doc phu hgp voi Bo lual lao dong, qu\ dinhcua Ngan hang Nha nude va ede quy djnh cua phdp luat.

3.Nhiem ky cua Tong Gidm doc do Hoi dong Quan trj quyet dinh nhung khong qua 05ndm. Tong Giam doc co the dugc bo nhiem lai voi so nhiem ky khong han che.

4.Luang, cac khoan boj thuang (neu co) va cac quyln lgi cua Tong Giam die phai dirge

bao cao vdi Bai hgi dong Co dong cua Maritime Bank.

5.Gitip viec Tong Giam doc co mot so Pho Tong Giam doc, Ke toan trtrdng va bo maychuyen mon nghiep vu. Hgi dong Quan trj quy djnh cu the co cau, chtic nang, nhiem v ucua bo may gitlp viec cho T6ng Giam die.

6.Ph6 Tong Giam doc la ngudi giup Tong Gidm doc dieu hanh mot hoac mot si ITnh \ irehoat dong cita Maritime Bank theo sir phan cong cua Tong Giam doc.

7.Ke to^n trudng giup Tong Giam doc chi dao thyrc hien cong tac kl toan, thing ke cuaMaritime Bank, co cac quyen va nhiem vu theo quy djnh cita phap luat.

Bieu 63. Quyen, nghla vu cua T6ng Gi^m doe"9

1.To chtic thuc hien cac nghj quylt, quylt djnh cita Bai hoi ding C6 dong. Hoi dong Quantri-

2.Quyet djnh cac van dl thugc thlm quyln lien quan din hoat dong kinh doanh hftng ngay

cua Maritime Bank.

Trang 47/64

sDiu44LutCTCTD2010' Khoan 2 Di^u 163 Luat DN 2014

CHlTONG XI

BAN KlfiM SOATDieu 64. Ban Kim soat v^ eff cau Ban Kiem soat120

1.Ban Kiem soat thuc hien ki^m todn npi bp, kiem so^t, ddnh gid vifc chap hanh quy djnhcua phap luyt, quy djnh npi bp, Bieu le va nghj quyet, quyet djnh cua Byi hpi dong C6dong. Hpi dong Quan trj.

2.Ban Kiem soat cua Maritime Bank co tir 03 den 05 thanh vien trong do phai co it nhat 1/2(mot phan hai) tong so thanh vien la thanh vien chuySn trach va phai thutag tru a ViptNam ; khong dong thfri dam nhifm chiic vy, c6ng vipc khac tai Maritime Bank ho5cdoanh nghiep khac.

3.Ban KiSm soat co b^ phyn giup vipc, bp phyn kiim to^n npi bp, dupe sir dyng ede nguonlye cua Maritime Bank, dupe thue chuyen gia va to chiic ben ngoai Ak thyc hipn nhipm vy

cua minh.

4.Nhiem ky cua Ban Kiem soat khong qua 05 nam. Nhipm ky cua thanh vien Ban Kiemsoat theo nhiem ky cua Ban Kiem soat. Thanh vien Ban Kiem soat co the dupe bau hocb6 nhiem lai voi so nhiem k^ khong han che. Nhiem ky cua thanh vien dupe bo sung hoac

3.Thiet lap, duy tri he thong kiem soat npi bp hoyt dpng c6 hipu qua.

4.Lap va trinh Hpi dong Quan tri thong qua hoac de bdo cao cap co tham quySn thong quabao cao tai chinh. Chju trachnhipm vk tinh chinh xdc, trung thuc ciia bao cao tai chinh,

bao cao thong ke. so lipu quyet toan va cac thong tin tai chinh khac.

5.Ban hanh theo tham quyen quy che, quy djnh npi bp; quy trinh, thu tyc tdc nghiep &k vanhanh he thong dieu hanh kinh doanh, he thong thong tin bao cao.

6.Bao cao Hpi dong Quan tri, Ban Ki6m soat, Dai hpi dong Co dong va ccr quan nha nudeco tham quyen ve hoat dpng va kSt qua kinh doanh cua Maritime Bank.

7.Quyet djnh ap dung bipn phap vuprt tham quyen cua mirth trong truong hpp thien tai, dich

hpa, hoa hoan, sy co v^ chiu trach nhiem ve quy^t djnh do v^ kjp thoi b^o cao Hpi dongQuan tri.

8.Kien nghj, de xuat ca cau to chiic va hoat dpng cua Maritime Bank trinh Hpi dong Qu^ntri hoac Bai hpi dong Co dong quyet dinh theo th^m quy^n.

9.Be nghj Hpi dong Quan tri hop bat thuong theo quy djnh cua Bi^u If nay.

10.B6 nhiem, mien nhiem, bai nhifm e^e chuc danh qu^n 1^, dieu hanh cua Maritime Bank,trir cac chuc danh thu^c tham quyen quyet dinh cua B^i hpi dong Co dong, Hpi dongQuan tri;

11.Ky ket hap dong nh&n danh Maritime Bank theo quy djnh cua Bieu le va quy djnh npi bpciia Maritime Bank.

12.Kien nghj phuang an sir dyng lpi nhu^n, xir ly lo trong kinh doanh cua Maritime Bank;

13.Tuyen dung lao dpng; quyet djnh luang va phy cap (n^u co) cua ngu^i Iao dpng theotham quyen;

14.Cac quyen va nhiem vy khac theo quy djnh cua phap luat va quyet djnh cua Hpi dongQuan trj.

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122Dieu 45 LuSt CTCTD 2010123Bi6u 46 Lujt CTCTD 2010

thay thl l^ thai han con lai cita nhiem ky. Ban Kilm soat cua nhiem ky vira k^t thuc tieptyc hoat dpng cho den khi Ban Kiem soat cua nhiem ky mai tiep quan cong viec.

5. Truang hpp so thanh vien Ban Kiem soat khong du 2/3 (hai phan ba) tong so thanh viencua nhipm ky hoac khong du so thanh vien toi thieu theo quy djnh cua Dieu le nay thitrong thai han 60 ngay, ke tir ng^y khong du so lupng thanh vien, Maritime Bank phai bosung du so lupng thanh vien Ban Kiem so<it.

Bieu 65. Nhipm vu v^ quyen han cua Ban Kiem soat'22

1.Giam s^t viec tuan thii cac quy djnh cua phap luat vii Dieu le Maritime Bank trong quantri, dieu hanh Maritime Bank; chiu trach nhipm truac Dai hoi dong Co dong trong viecthuc hien nhiem vu, quyen han dupe giao.

2.Ban hanh Quy djnh npi bo cua Ban Kiem soat; dinh ky hang nSm xem xet lai quy dinh npibp cua Ban Kiem soat, cac chinh sach quan trong ve ke toan va bao cao.

3.Thuc hien chiic nang kiem to^n npi bo; co quyln sir dung tu van doc lap va quyen dupe

tiep can, cung cap day du, chinh x&c, kip thai e^e thong tin, tai lieu lien quan den hoatdpng quan ly, dieu hanh Maritime Bank de thuc hien nhiem vu, quyen han dupe giao.

4.Thlm dinh bao cao tai chinh 06 thang dau n^m va hang nam cua Maritime Bank, bao gom

ca bao cdo titi chinh da dupe kiem toan biri to chiic kiem toan doc lap thuc hien. Bao caoDai hpi dong Co dong ve ket qua tham dinh bdo c^o tai chinh hang nam, danh gia linhhpp ly, hpp phap, trung thpc v^ miic dp can trpng trong cong tac ke toan, thong ke va lapbao cao tai chinh. Ban Kiem soat co the tham kh^o y kien ciia Hpi dong Quan tri tnrackhi trinh b^o cao va kien nghj len Dai hpi dong Co dong.

5.Kiem tra so ke to^n, cac tai lieu kh^c v^t cong viec quan ly, dieu hanh hoat dpng ciiaMaritime Bank khi x^t thay can thiet ho^c theo nghj quyet, quyet djnh cua Dai hpi dongco dong ho^c theo yeu cau ciia co dong ldn hope nhom co dong lcrn phii hop vai quy dinhcua phap luat. Ban Kiem soat thtrc hien kiem tra trong thai hpn 07 ngay Mm viec, ke tungay nhan dupe yeu cau. Trong thai hpn 15 ngay, ke tir ngay ket thitc kiem tra, Ban Kiemso^t phM b^o c^o, gMi trinh ve nhOng van de dupe yeu cau kiem tra den to chiic, ca nhanc6 yeu cau.

6.Kjp thai thong bao cho Hpi dong Quan tri khi phat hien Nguai quan ly Maritime Bank cohanh vi vi pham; yeu cau nguai vi pham ch^m dut ngay hanh vi vi pham va co giai phap

khSc phpc hau qua (neu co).

7.Lap danh s^eh Co dong sang lap, Co dong 16n, nhung nguai co lien quan ciia thanh vienHpi dong Quan trj, thanh vien Ban Kiem soat, Tong Giam doc ciia Maritime Bank, luugiti va cap nhat thay doi ciia danh sach ntly.

8.De n^hj Hot dong Quan trj hpp bat thuang hoac dl nghj Hpi d6ng Quan trj trieu tap Daihpi dong Co dong hpp bat thuang theo quy djnh tai Dilu le Maritime Bank va quy dinhcua phdp luat.

9.Trieu tap hpp Dai hpi dong Co dong bdt thuang trong truang hpp Hpi d6ng Quan tri coquylt djnh vi pham nghiem trpng quy djnh cua phap luat hoac co quyit djnh vupt quatham quyen dupe giao theo quy djnh tai Dilu le nay.

10.Cite nhiem vp va quyen han khdc theo quy djnh cua phap luat (neu co).

Dieu 66. Quyen, nghla vu cua Trtrong Ban Kiem so^t123

1. T6 chtic triln khai vi^c thuc hifn nhiem vp, quyln han cua Ban Kilm soat quy dinh lai

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l2< Dieu 47 LujtCTCTD 2010l2' Dieu 166 Luat Doanh nghi$p 2014

Bicu 65 Dieu If nay.2.Chuan bi chuomg trinh cho cdc cupc hop ciia Ban Kiem soat tren co so y kien de xult ciia

thanh vien Ban Kiem soat lien quan den nhifm vy, quyen han cua Ban Kiem soat; trifutap vd chii tQa cupc hpp Ban Kiim soat.

3.Thay mat Ban Kiem sodt ky cdc van ban thupc tham quyen cua Ban Kiem soat.

4.Thay mat Ban Kiem sodt trieu tap Bai hpi dfng C6 d6ng hpp bat thuang hoac de nghi Hpidong Quan tri hpp bdt thudng theo quy dinh tai Bieu If ndy.

5.Tbam dy cupc hop Hpi dong Qudn tri, phat bieu y kien nhung khong dupe bieu quyet.

6.Yeu cau ghi lai y kien cua minh trong bien ban cupc hpp Hpi dong Quan tri neu y kiencua minh kbac vai nghj quyet, quyet djnh cua Hpi dong Quan tri va bdo c^o truoc Bai hpi

dong Co dong.

7.Chuan bi kc hoach lam vifc v^ phan cong nhifm vy cho ede tMnh vien Ban Kiem sodt.

8.Bao dam cac thanh vien Ban Kiem soat nhfn dupe thfing tin day du, khdeh quan, chinhxac va co du thai gian thao luan ede van de ma Ban Ki^m soat phai xem xdt.

9.Giam sat, chi dao vifc thyc hifn nhifm vy dupe phan c6ng va quyen, nghla vy cua thdnh

vien Ban Kiem soat.

10.Uy quyen cho mpt thanh vien khdc cua Ban Kiem sodt thyc hifn nhifm vy ciia minh trong

thai gian vang mat.

11.Cac quyen va nghia vy khdc theo quy dinh cua phdp luft (neu c6).

Dicu 67. Quyen, nghla vy cua thdnh vien Ban Kiem sodt124

1.Tuan thu quy dinh cua phdp luat, Bieu if Maritime Bank vd quy dinh npi bp ciia BanKiem soat mot each trung thyc, can trpng vi lpi ich cua Maritime Bank va Co dong.

2.Bau mot thanh vien Ban Kiem sodt ldm Trudng Ban Ki^m sodt.

3.Ycu cau Trudng Ban Kiem sodt trieu tap hpp Ban Kiem sodt bat thufrng.

4.Kilm soat hoat dpng kinh doanh, ki^m sodt so sdeh k^ toan, tai san, bdo cdo tdi chinh vd

kien nghi bien phdp khac phyc.5.Bupc quyfin yeu cdu can bp, nhan vien ciia Maritime Bank cung cap so lifu vd gidi trinh

cac hoat dong kinh doanh dk thyc hifn nhifm vy dupe phan cong.

6.Bao cap Truang Ban Kiem sodt ve hoat dpng tdi chinh bdt thuang vd chju trdch nhifm cdnhan vg ddnh gia vd ket lufn ciia minh.

7.Tham dy cac cupc hpp cua Ban Kiem sodt, thdo lufn vd bieu quyet ve ede van de thupcnhifm vy, quyen han cua Ban Kiem sodt, trir nhftng vdn de co xung dpt lpi ich vai thdnh

vien do.

8.Cdc quyen vd nglua vy khdc theo quy djith ciia phdp luft (neu co).Dieu 68. Quyen dupe cung cap thong tin cua Ban Ki^m sodt125

1.Thong bao mai hpp, phieu lay <j kin thdnh vien Hpi ddng Quan trj vd cdc tdi lifu kdmtheo phai dupe gtri den thdnh vien Ban Kiem sodt Cling thai diem vd theo phuang thiicnhu doi vai thdnh vien Hpi d6ng Qudn tri.

2.Cdc nghi quydt, quyet djnh vd bien ban hpp ciia Byi hpi dong co dong, Hpi dong qudn triphai dupe giri den cho cdc kiem sodt vien cung th^^i dim vd theo phuang thiic nhu doi

' Th6ng tir s6 44/2011/TT-NHNN ng^y 29/12/2011 cua NHNN quy dinh v he thOng ki^m soSt n6i bo vaki6m to^n nqi bo ciia TCTD & Chi nh^nh Ngan h^ng nude ngoai.

7 Biu41 Lu^t CTCTD 2010; Khoan2 Bi^u 3 Thongtus644/2011/TT-NHNN' Bieu 13 Th6ng tu so 44/2011/TT-NHNN

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vai co dong, thanh vien Hoi dong quan tri.

3.Bao cao cua Tdng Giam doc trinh Hoi dong Quan tri hoac tai lieu khac do Maritime Bankphat hanh dupe gui din thanh vien Ban Kiem soat cung thai diem va theo phtrong thuc

nhu doi vai thanh vien Hoi dong Quan tri.

4.Thanh vien Ban Kiem soat co quyen tiep can cac ho so, tai lieu ciia Maritime Bank lintgiu tai tru so chinh, chi nhdnh va dja diem kMc; co quyen den cac dia diem nai ngudiquan ly va nhan vien cua Maritime Bank lam viec.

5.Hoi dong Quan tri, thanh vien Hpi dong Quan tri, Tong Giam doc, ngudi quan ly khacphai cung cap day du, chinh xac va kjp thdi thong tin, tai lieu ve cong tac quan ly, dieuhanh va hoat dong kinh doanh cua Maritime Bank theo yeu cau ciia Ban Kiem soal.

CHlTONG XIIHE THONG KIEM TOAN, KlEM SOAT NQl B0'26

MVC1KlEM TOAN NQl BO

Dieu 69. Bp phan kiim toan npi bp127

1.Kiem toan nqi bo cua Maritime Bank duqc to chuc thanh he thong thong nhat theo nganhdoc, true thuoc va chiu sy chi dao true tiep ctia Ban Kiem soat.

2.Kiem toan noi bo thuc hien ra soat, danh gia dpc lap, khach quan doi vdi he thong kiemsoat noi bo; danh gia doc lap ve tinh thich hpp va su tuan thu quy dinh, chinh sach noi bo,thu tuc, quy trinh da dupe thiet lap trong Maritime Bank; dua ra kien nghj nham nang caohieu qua cua cac he thong, quy trinh, quy djnh, gdp phan bao dam Maritime Bank hoatdong an toan, hieu qua, dung phap luat.

3.Ket qua kiem toan noi bp phai dupe bao cao kip thdi cho Hoi dong Quan tri, Ban Kiemsoat va gui Tong Giam doc Maritime Bank.

Dieu 70. Tieu chuan doi voi ngudi lam cong tac kiem toan noi bo128

1. Kiem toan vien noi bp phai co du cac tieu chuan sau:

a)Co pham chat trung thuc, y thtic chap hanh phap luat va su nhin nhan khach quan;

b)Co kien thtic, hieu biet chung ve phap luat, ve quan tri kinh doanh vk cac nghiep vungan hang;

c)Co bang Dai hoc cac chuyen nganh phu hpp, co kien thuc d^y du va ludn dupe cttpnhat ve cac ltnh vuc dupe giao thuc hien kiem toan noi bp;

d)Co kinh nghiem lam viec trong linh vuc tai chinh, ngan hang hoac lam cong tac kiemtoan toi thieu id 03 nam;

e)Co kha nang thu thap, phan tich, danh gia va tong hop thong tin;

f)Co kien thuc, ky nang ve kiem toan noi bp;

g)Tuan thu quy tac dao due nghe nghiep theo quy dinh ciia Ngan hang Nha nude;

h) Cac tieu chuan khac do Maritime Bank quy dinh.

IM Dieu 14 Thong tu sd 44/201 l/TT-NHNN110 DiSu 5 Thong tu s& 44/2011/TT-NHNN131 Di6u 4 Thong tu s6 44/2011AT-NHNN

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2.Doi vdi kiem loan vien cong nghp thong tin, ngodi cdc tieu chuan neu tpi khoan 1 Dieu

nay phai co kinh nghipm lam viec trong Hnh vpc cong ngh$ thong tin tfii thieu la 03 nam.

3.Nj^odi cac tieu chuan quy dinh tai diem a, b, e, f, g vd diem h khoan 1 Dieu nay, Trudng

kiem todn npi bp vd Ph6 trudng kiem toan npi bp toi thieu phai co bang dpi hpc thupc cacchuyen ngdnh ngan hdng, tai chinh^ke toan, kiem todn vd co kinh nghiem ldm viec trongITnh vpc tai chinh, ngan hang toi thieu la 05 n5m.

Dieu 71. Bo nhicm, mien nhiem cdc chu-c danh cua kiim toan ngi bg129

1.Ngudi diing ddu bp may kiem toan npi bp cua Maritime Bank (gpi tit la Trudng Kiemtoan npi bp) do Hpi dong Qudn tri bo nhiem, mien nhipm theo de nghi ciia Truong Bankiem soat.

2.Pho trudng Kiem toan npi bo vh cdc chiic danh khdc cua kiem todn npi bp do Hoi dongQuan tri bo nhiem, mien nhipm theo de nghj ciia Trudng Kiem toan npi bp.

MUC2kim soAt nOi bo

Dieu 72. Tliiet lap vii duy tri hoat dgng cua hg thing kiem soiit ngi bg13

1.To chirc tin dung, chi nhanh ngan h^ng nude ngoai ph^i xay dung he thong kiem so^t npibp giup Tong giam doc (Giam doc) dieu hdnh thong suit, an toan va diing phdp luat mpihoat dong nghiep vp ciia to chuc tin dpng, chi nhdnh ngan hang nude ngohi.

2.To chuc tin dung, chi nhdnh ngan hang nude ngohi phdi thudng xuyen kiem soat vifcchap hanh phap luat vh ede quy dinh npi bp; trpc tiep kiem soat ede hogt dpng nghifp vptren tat ca cac Hnh vpc tpi trp sd chinh, chi nhanh, vdn phong dai dien, don vj su nghippva cong ty con ciia to chuc tin dpng, chi nhdnh ngan hdng nude ngodi. To chdc tin dpngphai thudng xuyen kiem soat vifc chdp hanh phap lupt va cac quy dinh npi bp doi vdicong ty lien ket cua to chuc tin dpng theo quy dinh cua phap luat.

3.To chuc tin dpng, chi nhdnh ngan hdng nude ngodi khi phdt hipn nhtog sai phpm, vudngmdc trong hoat dpng kinh doanh phdi kip thdi hopch dinh vd thpc hien bien phdp khScphpe.

Dieu 73. Cac ycu cau va nguyen tdc hopt dgng cua h^ thong kiem sodt ni bg131

1.Cac rui ro co nguy ca dnh hudng xau den hipu qud vd mpc tieu hopt dpng cua Maritime

Bank phdi dupe nh^n dang, do ludng, danh gid thudng xuyen, li^n tuc de kip thai phdthien, ngan ngua vd cd bien phdp qudn ly riti ro thich hpp. Khi cd su thay doi ve mpc tieukinh doanh, san pham, djch vp vd hopt dpng kinh doanh mdi, Maritime Bank phdi rd sodt,nhan dang rui ro lien quan de xdy dung, sua doi, b6 sung cac quy trinh, quy dinh kiem

sodt npi bp phii hpp.2.Hoat dpng ciia h? thdng kiim sodt npi b$ Id mpt phan khong tdch rdi cac hopt dpng hdng

ngdy ciia Maritime Bank. Kiim sodt npi bp dupe thiit ke, cdi ddt, ti chtic thpc hipn ngaytrong mpi quy trinh nghiep vp tai tat cd ede don vj, bpt phpn cua Maritime Bank dudinhieu hinh thirc nhu:

a)Phan cap uy quyin ro rdng, minh bach; bdo ddm tdch bach nhipm vp, quyin han cuacac cd nhan, cac bp phan Pong Maritime Bank;

b)Quy dinh ve han mdc riti ro cp the doi vdi timg cd nhdn, bp phan trong vipc thpc hiengiao djch;

2 Di6u 136 Lut CTCTD 2010

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c) Quy trinh tham dinh, chap thuan va duyet cho phep thirc hien giao dich; bao dam motquy trinh nghiep vu phai co it nhat 02 can bo tham gia, mot nguai thirc hien giao dichva mot nguai kiSm soat giao djch, kh6ng co ca nhan nao co the mot mi nil thue hienva quyet dinh mot quy trinh nghiep vy, mot giao dich cu the, ngoai trir nhung giaodich trong han mtic dupe to chiic tin dyng, chi nhanh ngan hang nude ngoai cho phepphu hpp vdi quy dinh ciia phap luat.

3.Phan cap uy quyen phai dupe thiet lap, thyc hien hpp ly, cu the, to rang, tranh xung dotlpi ich; bdo dam mot cdn bp khong dam nhiem ciing mot luc nhfmg cuong vi, nhiem vuco muc dich, quyen lpi mau thuan hope chong ch^o vdi nhau; dam bao moi can bo trongMaritime Bank khong co dieu kien de thao tting hoat dong, khong minh bach thong tinphuc vu cho muc dich ca nhan hoac che gi^u hanh vi vi pham quy dinh cua phap luat vaquy dinh noi bo cua Maritime Bank.

4.Bao dam chap hanh che do hach toan, ke toan theo quy djnh va phai co he thong thong tinngi bo vS tai chinh, vS hoat dpng, ve tinh hinh tuan thu trong Maritime Bank \a tinh hinhkinh t^, thi truang ben ngoai hop ly, tin cay, kjp th^i nham phuc vu cho cong tac quan tri,dieu hanh hieu qu^.

5.He thong thong tin, cong nghe thong tin cua Maritime Bank phai dupe giam sat. bao \ehop ly, an toan va phai co co che quan ly dtr phdng doc lap nham xu ly kjp thai nhungtinh hufing bat ngd, bao gdm ca thien tai, chay, no, he thong bi xam nhap. dam bao tuiinthu cac quy dinh vS an toan, bao mat he thdng cong nghe thong tin cua nganh ngan hang,dam bao hoat dpng kinh doanh thudng xuyen, lien tuc cua Maritime Bank.

6.Bao dam cdn bo, nhan vien cua Maritime Bank dSu phai hieu dupe tarn quan trong cuahoat dpng kiem soat npi bo; vai trd cua tung ca nhan trong qua trinh kiem soat noi bo colien quan den chuc ndng, nhiem vu dupe giao va phai thyc hien day du, hieu qua cue quydjnh, quy trinh ki^m so&t npi bo lien quan.

7.Nguai dieu hanh bp phan, don vi nghiep vu va ca nhan co lien quan phai thudng M.ye.ixem xet, danh gia ve tinh hieu luc va hieu qua cua he thong kiem soat npi bp; cac ton l.u.bat cap ciia he thong kiem sodt npi bp phai dupe bao cao kjp thdi voi cap quan ly linetiep; cac ton tai, bit cap Ion c6 the gay tin thit ho^c nguy ca rui ro phai dupe bao cao

ngay cho Tong Giam doc Hpi dong quan trj, Ban kiem soat.

8.C&. nhan, bp phan 6 e^e cap ciia Maritime Bank ph^i thudng xuyen, lien tuc kiem ha va tukiem tra vipc thyc hien cac quy dinh, quy trinh npi bp co lien quan va phai chiu trachnhiem ve ket qua thyc hien hoat dpng nghiep vu dupe giao trudc Maritime Bank va trudcphap luat.

9.Lanh dao don vi, bp phan cua Maritime Bank phai bao cao ve ket qua tu danh giii ve hethong kiem soat npi bp tai don vj minh; de xuat bien phap xOr ly doi voi nhung ton tai, batcap (neu co) gui lanh dao cap quan ly true tiep theo djnh ky hoac dot xuat, theo yea cutecua lanh dao cap quan ly true tiep.

CHl/ONG XIIITAI CIliNH, KE TOAN, BAO CAO, THONG TIN VA BAO MAT

Bieu 74. Che do tai chinh132

Che dp tai chinh cua Maritime Bank dupe thyc hien theo quy djnh ciia phap luat.

Bieu 75. Nam tai chinh133

"' Diiu 137 LuSt CTCTD 2010"" Di^u 42 DiSu le m3u Cong ty Dpi chiing'" DiCu 141 Luat CTCTD 2010136 Dicu 171 Lu^it DN 2014

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Nam tai chinh ciia Maritime Bank bat dSu tvr ngdy 01 thdng 01 va k^t thuc vao ngdy 31thang 12 nam dirong ljch.

Dicu 76. He thong ke toan134

1.II? thong ke toan Maritime Bank sir dung la H$ thdng Ke toan Viet Nam (VAS) hoac h?thong ke toan khac dupe Bp Tai chinh chap thuan.

2.Maritime Bank lap so sdeh ke toan bang tidng Vi^t. Maritime Bank sS liru gift h6 so ketoan theo loai hinh ciia cac hoat dpng kinh doanh md Maritime Bank tham gia. Nhftng h6so nay phai chinh xac, cap nhat, co h? thflng va phai du de chftng minh va giai trinh edegiao dich cua Maritime Bank.

3.Maritime Bank sir dyng dong Viet Nam lam don vj tiSn t^ dung trong k^ toan.

Dicu 77. Bdo cdo135

1.Maritime Bank phai thyc hipn chd do bao cdo theo quy djnh cua phdp luat vg ke todn,thong ke va bao cao ho^t dgng nghi^p vu dinh ky theo quy dinh ciia NHNN. Hpi dongQuan trj, Tong Gidm d^c cua Maritime Bank chiu trdch nhi^m ve tinh chinh xac, trung

thuc cua cac bao cao nay.

2.Maritime Bank co trach nhi^m bao cdo kip thiri bang van ban voi NHNN trong cac trubnghap sau:

a)Phat sinh dien bien khong binh thuong trong ho^t d^ng nghiep v\i c6 thg anh huimgnghiem trong den tinh hinh kinh doanh cua Maritime Bank;

b)Co thay doi vg to chirc, qudn tr;, dieu hdnh, tinh hinh tai chinh cua Co dong 16n vdcac thay doi khac c6 anh huong nghiem trpng dgn hoat dpng kinh doanh ciiaMaritime Bank.

3.Cong ty con, cong ty lien ket cua Maritime Bank c6 trach nhiem giri bdo cao tai chinh,bao cao hoat dpng cua minh cho NHNN khi dupe yeu cku.

4.Trong thai han 90 n^dy, kg tir ngdy ket thuc nam tdi chinh, Maritime Bank phdi gftiNHNN cac bao cao hfing ndm theo quy dinh cua phdp lut.

Dieu 78. Cong khai thong tin136

1.Maritime Bank phai giri bdo cdo tdi chinh hdng nftm dft dupe Dai hpi dong co dong thongqua dgn ca quan nha nuac c6 tham quygn theo quy djnh cua phap luat ve ke todn vd phapluat co lien quan.

2.Maritime Bank phai cong bo trgn trang thong tin di^n tir cfta minh cac thong tin sau day:

a)Digu le;

b)So ygu ly lich, trinh dp hpc van va kinh nghipm nghe nghiep ciia ede thdnh vien Hpidong quan trj, Ban kiem soat, Tong giam doc;

c)Bdo cao tai chinh hang ndm dd dupe Dai hpi dong co d6ng thong qua;

d)Bao cao danh gia ket qud hopt dpng hang nam cua Hpi d6ng qudn trj va Ban kiemsoat.

3.Maritime Bank khong phdi id cong ty niem ygt phdi thfing bao cho Ca quan dang ky kinhdoanh cdp tinh nai cong ty c6 try s6 chinh ch^m nh^t 03 ngdy sau khi c6 thong tin ho^c

Trang 54 64

137Bieu 13Lu^tCTCTD2010138Bieu 37 Biu l mu Cdng ty Dai chiing

co thay d6i cac thong tin ve ho ten, quflc tich, so ho chieu, dia chi thudng trii, so co phanva loai co ph^n ciia c6 (long la ca nhan nude ngoai; ten, ma so doanh nghiep, dia chi titiso chinh, s6 c6 phn va lo^i co phan va hg ten, quoc tich, so ho chieu, dia chi thircmg triinguoi dai dien theo uy quyen cua co dong la to chiic nude ngoai.

4. Maritime Bank thuc hien cong b6, cong khai hda thong tin theo quy djnh cua phap luat ve

chiing khoan.

Bieu 79. Thong tin l37

1.Maritime Bank phai thong tin cho chu tai kho^n ve giao djch va so dir tien tai khoan taiMaritime Bank cho chu tai kho^n theo thda thuan voi chu tai khoan.

2.Maritime Bank dirge trao doi thong tin voi c^c to chiic tin dung khac ve hoat dong cuaMaritime Bank.

3.Maritime Bank co trach nhiem bao cao, cung cap c^c thong tin cho NUNN thong tin lienquan den hoat dong kinh doanh va dirge NHNN cung cap thong tin cua khach hang coquan he tin dung voi Maritime Bank theo quy dinh cua NHNN.

4.Maritime Bank co trach nhiem cong b6 thong tin theo quy dinh tai Dieu 101 cua Luat

Chung khoan nam 2006 da duoc stra doi, bo sung va cac quy djnh khac co lien quan cuaphap luat doi voi Cong ty dai chiing.

Bieu 80. Bao mat thong tin

1.Nhan vien, Ngudi qu^n ly, Ngudi dieu hanh cua Maritime Bank va nhung ngudi co lienquan khong dugc tiet 16 bi mSt kinh doanh cua Maritime Bank.

2.Maritime Bank phai bao d^m bi mat thong tin lien quan den tai khoan, tien gui, tai san guiva cac giao dich cua khach hang tai Maritime Bank.

3.Maritime Bank khong dugc cung cap thong tin lien quan den tai khoan, tien gui. tai sungui, cac giao dich khac cua khach hang tai Maritime Bank cho to chiic, cac nhan khtie. It ittrudng hgp co yeu cau cita ca quan nha nude cd tham quyen theo quy dinh cua phap luathoac dugc sir chap thuan ciia khach hang.

CHl/ONG XIVQUYEN BIEU TRA SO SACH VA HO SO138

Bieu 81. Quyen dieu tra so sach vii ho so

1.Co dong hoac nhdm Co dong de cap tai Khoan 2 BiSu 25 BiSu le nay co quySn true lii*phoac thong qua ngudi dugc uy quyen, giri vdn ban yeu cau dugc kiem tra trong gid lainvi^c va tai dia diem kinh doanh chinh cua Maritime Bank danh sach Co dong, cac biC'nban ciia Bai hoi dong Co dong va sao chqp ho^c trich luc cac h6 so do. Yeu clu kiem trado phia luat su dai dien hoiic dai dien dugc uy quySn khac ciia Co dong phai kern theogiay uy quyen hop le ciia Co dong ma ngudi do dai dien.

2.Thanh vien Hoi dong Quan trj, thanh vien Ban Ki6m soat, T6ng Giam d6c diu hanh vacan bg quan ly co quyn kim tra s6 dang ky C6 dong ciia Maritime Bank, danh sach Codong va nhung so sach va ho so khac ciia Maritime Bank vi nhung muc dich lien quan tdichiic vu ctia minh voi dieu kien cac thong tin nay phai dugc bao mat.

3.Maritime Bank se phii luu Biu le nay va nhung ban sira d6i bo sung Dieu le. Giav cluingnh^n dang ky doanh nghiep, cac quy che, cac tai lieu chiing minh quyen so hfru uii san.

bien ban hgp Dai hpi dong Co dong vd Hpi dong Quan trj, cdc bao cdo cfta Ban kiem sodt,bao cao tai chinh hang ndm, so sdeh ke todn vd bat eft gi&y to ndo khdc theo quy djnh cftaphdp luat tai ftp sft chinh hoac mpt nai khdc vdi diftu kien Id cdc Co dong vd ca quan dangky doanh nghiep dupe thong bao ve dja diem luu trft cdc giay tft nay.

4. DiSu le nay dupe cong bo tren website cfta Maritime Bank. Cdc Co dong c6 quyen dupenhan mpt ban Dieu lp mien phi do Maritime Bank cap, nu co yeu cau.

CHLTONG XVNGU^^l LAO DQNG VA C6NG DOAN

Dieu 82. Nguoi Iao dpng vd cong dodn'39

Tqng Giam doc phai ljlp ke hoach dft Hpi dftng Quan trj thong qua cdc van dft lien quandftn viec tuyen dung, Iao dpng, lucrng bftng, bdo hi^m x^ h^^i, phuc Ipi, khen thuftng vd kyluat dfti vfti can bp qudn ly vd ngufti Iao dpng cung nhu nhftng moi quan h^ cfta MaritimeBank vfti to chftc cong dodn dupe cong nhan theo cdc chuan rnpc, thong lp vd chinh sdehqudn ly tftt nhdt, nhftng thong lp vd chinh sdeh quy djnh tpi Diftu le nay, cdc quy chft cftaMaritime Bank vd quy djnh phdp luat hiftn hdnh.

CH^^ONG XVIPHAN CHIA LQfl NHUAN

Dieu 83. Tra cii tuc140

1.Co tuc trd cho eft phan pho thong dupe xdc djnh cdn eft vdo so Ipi nhupn rftng da thpc hipnva khodn clii trd co tftc dupe trich tft nguon Ipi nhudn gift lai cfta Maritime Bank.Maritime Bank chi dupe trd co tftc cho C6 dong khi Maritime Bank da hoan thanh nghtavu thuS vd cac nghta xy tai chinh khdc theo quy djnh cfta phdp luat; trich lap cdc quyMaritime Bank vd bft ddp dft lo truftc do theo quy djnh cfta phdp lupt vd Dieu 1? MaritimeBank; ngay sau khi trd het so co tftc da djnh, Maritime Bank van phai bdo dam thanh todndft cdc khodn np vd nghta vp tai sdn khdc den han.

2.Theo quyftt djnh cua Dpi hpi dftng C6 dong vd theo quy djnh cua phdp lppt, co tftc sft dupecong bo nhung khftng dupe vupt qud mftc do Hi dong Qudn trj de xuat sau khi da dupeDai hpi dong Co dong thong qua.

3.Hpi d6ng Qudn trj co the quyet djnh thanh todn co tftc gifta ky nBu xet thdy viec chi trdnay phu hpp vfti khd nang sinh lfti cfta Maritime Bank.

4.Maritime Bank khong trd lai suat hodc mpt khodn tien khdc co tinh chat ldi cho co tftc, trfttruang hpp co tftc dupe trd vdo tdi khodn tiBn gfti cfta Co dong tpi Maritime Bank141.

5.Hpi dOng Qudn trj co the dB nghj Dai hpi d6ng Co dong thfing qua viec thanh todn todn bphoac mot phan co tftc bang nhftng tai sdn cp the (nhu co phieu hoac trdi phieu da dupethanh todn day dft do cong ty khdc phdt hdnh) vd Hpi dong Qudn trj la ca quan thpc thinghj quyet nay.

6.Truang hpp co tftc hay nhung khodn tiBn khdc lien quan tfti mpt loai co phieu dupe chi trdbang tien mat, Maritime Bank sS phai chi trd bang ti^n dong Viet Nam vd eft the thanhtodn bang sec hoac lnh trd tien gfti qua buu dien tfti dja chi d dang ky cfta Co dong thu

'" Di6u 38 Dieu I^ tnlu Cflng ty D^i chungwo Dieu 132 Lu^t Doanh nghip 2014; Di^u 38 Nghi dinh s6 59/2009/ND-CP vd Biu 39 Di^u 1^ mlu C6ngty Dgi chung'•" Khodn 2 Di^u 38 Nghj djnh 59/2009/ND-CP

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hubng vd trubng hpp thg co rui ro phat sinh (tir dia chi da dang ky ciia Co dong) thi Codong do phdi chju.

7.Co Uic dupe thanh toan bang chuygn khodn ^ua ngan hang khi Maritime Bank da co duchi tiet ve ngan hang ciia Co dong de cb thg chuyen true tiep dupe vao tdi khoan nganhang ciia Co dong. Ngu Maritime Bank da chuyen khodn theo diing cac thong tin chi tiet

vg ngan hang nhu thong bao ciia Co dong thi Maritime Bank khong chiu trach nhigm vecac thiet hai phat sinh tu viec chuygn khodn do.

8.Trubng hpp cb sir chap thuan cua Dai hpi dong Co dong, Hpi dong Quan tri cb thg quyetdinh vd thong bao rang nhung ngubi sb huu co phan pho thong dupe nhan co tuc bang cacco phan pho thong thay cho co tire bang tien mSt. Cac co phan bo sung de tra co tuc nd)dupe ghi Id nhfing cb phan da thanh toan day du tien mua tren ca sb gid tri ciia cac cbphan trd cb tuc phdi tucmg duong vbi sb tien mdt trd cb tire.

9.Can cb Luat Doanh nghiep, Hpi dong Qudn tri cb the thong qua nghi quyet quy dinh motngdy cu thg ldm ngdy khod so hoat dong kinh doanh cua Maritime Bank. Can cir theo ngaydb, nhSng ngubi dang ky vbi tu each Cb dong hodc ngubi sb huu cac chirng khodn khacdupe quygn nhan cb tuc, lai suat, phan chia lpi nhuan, nhan cb phieu, nhan thong bdo hoactdi lipu khde. Ngdy khod sb nay cb the vao cung ngdy hoac vao thai digm truac khi edequygn lpi do dupe thuc hipn. Digu ndy khong dnh hubng tai quyen lai ciia hai ben tronggiao djch chuygn nhupng cb phigu hoac chung khodn lien quan. Co tuc trd cho cb phan uudai dupe thuc hien theo cac dieu kien dp dyng rigng cho mbi loai cb phan uu dai.

10.Hpi dong Qudn trj phdi lap danh sach Cb dong dupe nhan cb tuc, xdc djnh mire cb tiredupe trd doi vbi tung co phan, thai han va hinh thbc trd cham nhat 30 ngay trubc mbi Iantrd co Uic. Thong bao ve trd cb tuc phai dupe gbi bang phuang thirc bdo dam den dupe diachi dang ky tat ca Cb dong cham nhat 15 ngdy trubc khi thuc hien tra cb tire. Thong baophdi ghi ro tgn cong ty; hp, ten, dja chi thubng tni, quoc tjch, sb Giay chirng minh nhandan, Hb chigu hoac chung thuc ca nhan hpp phap khac ciia Cb dong la cd nhan; ten, diachi thubng tni, quoc tjch, sb quyet djnh thdnh lap hodc sb dang ky kinh doanh cua Cbdong la tb chiic; sb lupng cb phan tung loai ciia Co dbng; mire cb tire dbi vbi tung cb phiin

vd tbng sb cb tuc ma Cb dbng db dupe nhan, thai digm vd phuang thirc trd cb tire; hp, ten,chfl: ky ciia ChO tjch Hpi dbng Qudn trj vd ngubi dai dien theo phap luat ciia MaritimeBank.

11.Trubng hpp Cb dbng chuygn nhupng cb phan cua minh trong thai gian giira thai digm ketthiic lap danh sach Co dbng vd thai diem trd cb tire thi ngubi chuyen nhupng la ngubinhan cb tiic tir Maritime Bank.

12..Vigc thanh toan cb tiic dbi vbi ede cb phieu nigm yet tpi Sb Giao djch Chirng khodn cothg dupe tign hanh thong qua cong ty cluing khodn hodc Trung tarn Liru ky.

Dieu 84. Cdc van de khac lien quan den phan phoi lpi nhuan

Cac van de khac lien quan dgn phan phoi lpi nhuan dupe thuc hien theo quy djnh ciia phapluat.

CHLTONG XVIIKl^^M TOAN DQC LAP

Dieu 85. Kiem todn dpc lap

1.Maritime Bank phai lira chpn mpt tb chirc kiem toan dpc lap du digu kien theo quy djnhciia Ngan hdng Nhd nubc dg kigm todn cdc hoat dbng ciia minh trong nam tdi chinh.

2.Trong thbi han 30 ngdy, kg tu ngdy quyet djnh chpn tb chuc kigm toan dpc lap, MaritimeBank phai thong bdo cho NHNN vg to chuc kigm todn dpc lap dupe lira chpn.

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142Khoan 4 Dieu 45 Bi^u l mlu C6ng ty B^i chiing

144 Chi ap dung trong tru^ng hop Maritime Bank thay d6i con ddu theo Lu^t Doanh nghi$p 2014143Mpc 1 Chtrong VIII Lut CTCTD 2010r4(' Khoan 3 Dieu 146 Ludl CTCTD 2010

3.Maritime Bank phai thyc hien kiem todn doc lap lai trong tnrong hgp bdo cdo kilm todnco y kien ngoai tru cua to chiic kiem toan dpc lap.

4.Kiem toan vien dpc lap dupe phep tham du cdc phien hgp D^i hgi d6ng Co dong, thu thapcdc thong bao va cac thong tin khdc lien quan din bat ky phidn hgp nao md cac Co dong

dupe quyen nhan va dupe phdt bieu y kidn tai Dai hgi dong Co dong vd cdc van de c6 lienquan den kiem toan.'42

CHl/ONG XVIII

CON DAUDicu 86. Con dau'43

1.Maritime Bank co con dau rieng. S6 lupng con dau toi da 02 (hai) con dau.

2.Minh there con dau: Hlnh tron, mdu do.

3.Hgi dong Quan tri sS quyet djnh thong qua con dau chfnh thiic cua Maritime Bank v^ condau dupe khac theo quy dinh cua phap luat.

4.Con dau khac xong phai dupe thong bao v6i Co quan d&ng ky kinh doanh. Maritime Banksir dung con dau khi da dupe dang cong bo tr^n cong thbng tin cua B$ K& hoach va B^utu.144

5.Ngucri dai dien theo ph^p luat cua Maritime Bank chiu tr^ch nhiem quan ly, su dung condau cua Maritime Bank theo diing quy djnh cua phdp lut hien hanh.

6.Vice dong dau vao cac logi van b^n, gi^y to phai theo diing quy djnh cua phdp luat.

7.Con ddu phai dupe d tai trp sd Maritime Bank vd phdi dupe quan ly ch^t che. Truirnghpp can thiet de giai quyet cong vigc 6 xa try so Maritime Bank thi Ngubi dai dign theophap luat cua Maritime Bank c6 thi mang con dau di theo va phai chju trdch nhigm veviec mang con dau ra khoi Maritime Bank.

8.Con ddu dang su dung bj mon, h6ng hoac c6 sp chuyen doi hay doi ten thl Maritime Bankse tu khdc ddu va thong bdo vdri Co quan dang ky kinh doanh.

9.Hgi ding Quan trj co trdch nhifm ban hanh quy djnh qudn ly va sir dung con ddu phu hppvoi quy dinh ciia Phdp luat.

CHITONG XIXKIEM SO AT B^C BI^ T, PHA SAN, GlAl THE THANH LY

MUC1Kl^^M SOAT B^C Bl^ T145

Bicu 87. Bao cdo kho khSn ve kha ndng chi tra

Khi co nguy co mat khd ndng chi trd cho khdeh hdng cila minh, Maritime Bank phai bdocdo ngay voi NHNN ve thuc trang tai chinh, nguyen nhdn va bifn phdp dd dp dpng, bienphdp du kicn dp dung de khac phpe.

Bicu 88. Cac truong hgp Maritime Bank cd the dirge d^t vdo tinh traing kiem sodt ddc bi?t

1. Co nguy co mat kha ndng chi trd.

Di6u 150 Lu^t CTCTD 20108 Bieu 152 LuStCtCTD 2010

9Myc2ChirongVlII Lu^t CTCTD 2010

Trang 58 64

2.Np khong c6 kha nang thu h6i co nguy ca mat kha nSng thanh toan.

3.S6 16 luy ke cua Maritime Bank Ian han 50% gia tri thuc ciia Von dieu le \a cac qu\ dirtrtr ghi trong bao cao tdi chinh da dirge kiem toan gan nhat.

4.Hai nam lien tuc bi x6p loai ylu kdm theo quy dinh cua NUNN.

5.Khong duy tri dupe ty If an toan von toi thieu theo quy djnh cua phap luat trong thai hanmpt nam lien tuc hoac ty le an toan von toi thieu thap han 4% trong thai han 06 thang lientuc.

Bieu 89. TnSch nhiem cua Hpi dong Quan tri, Ban Ki6m soat, Tong Giam doc khiMaritime Bank trong tinh trang kiem so^t dac biet14^

1.Xay dung phuang an cung co to clitic va hoat d6ng trinh Ban Kiem soat dac biet thongqua va to chtlc trien khai thuc hien phuang an d6.

2.Tiep tuc quan tri, kiem soat, dieu hanh hoat dong va bao dam an toan tai san cua nganhang theo dting quy dinh cua ph^p luat trir truang hap bj dinh chi, tarn dinh chi quy enquan tri, di6u hanh, kiem soat ngan hang.

3.Chap hanh yeu cau cua Ban Kiem soat dac bi?t lien quan den to cht'rc, quan tri, kiem soat.dieu h^nh Maritime Bank.

4.Thuc hien yeu cau cua NHNN theo quy dinh cua phap luat.

Bieu 90. Khoan vay dac biet

1.Maritime Bank dugc vay dac biet cua NHNN va ede to cluic tin dung khac trong cactruang hap sau day:

a)Maritime Bank lam vao tinh trang m^t kha ndng chi tra, de doa sir on dinh cua heth6ng cac to chuc tin dung;

b)Maritime Bank c6 nguy ca mat kha n&ng chi tra do cac sir co nghiem trong kliitc.

2.Khoan vay dac biet dugc uu tien hoan tra trudc t^t ca cac khoan ng khac, ke ca cac khoanng co tai san bao dam cua Maritime Bank hodc dugc chuy^n d6i thanh ph^n v6n gop, v6n

co phan tai Maritime Bank lien quan quy dinh tai Bieu 149 cua Luat Cac to chuc tindung.

Bieu 91. Cham dirt kiem soat dac bietI4S

1.Viec kiem soat dac biet dugc ket thuc trong truang hgp sau:

a)Hoat dong cua Maritime Bank tra lai binh thuang;

b)Trong qua trinh kiem soat ddc biet, Maritime Bank dugc sap nhap, hgp nhdt vao motto chuc tin dung khdc;

c)Maritime Bank khong khoi phuc dugc kha nang thanh toan.

2.Ngan hang Nha nuoc ban hanh quyet dinh ket thuc kiem soat dSc biet. Quytlt dinh naydugc thong bao cho cac ca quan co lien quan.

M^JC2PHA SAN, GIA1 TH, THANH LY149

Bieu 92. Pha san ngan hang

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eu 50 Dieu le m5u C6ng ty Dai chdng2Dieu 161 Lu^t DN 2014

1.Sau khi NI INN co van ban cham dirt kiim sodt ddc bi|t hoijc van ban cham dut dp dunghoac van ban khdng ap dung cdc bifn phdp phyc hoi kha ndng thanh todn ma MaritimeBank van lam vdo tinh trang pha san, thi Maritime Bank phai lam don yeu cdu Toa dn mothu tuc giai quyet yeu cau tuyen b6 pha san theo quy djnh cua phap luat ve pha san.

2.Vice pha san Maritime Bank duyc thuc hien theo quy djnh ctia phap luft ve pha san.

Bicu 93. Cac truong hyp giai the ngan hang150

1.Ttr nguyen xin giai the neu c6 kha nang thanh todn hit ny vd duyc NHNN chap thuanbang van ban;

2.I lit thdi ban boat dyng nhung khong xin gia h^n hoijc xin gia han nhtmg khong duycNHNN chap thuan bang van bin.

3.Bi thu hoi Giay phep thanh lap va hoat dyng.

Bicu 94. Thanh ly tai san cua ngan hang

1.Trong truong hop ngan hang bj tuyen bo phd sdn, vi^c thanh ly Maritime Bank duyc thuc

hien theo quy djnh cua phap lu^t ve pha san.

2.Khi giai thd theo quy djnh tai Bieu 93 BiSu If nay, Maritime Bank phdi tien hdnh thanh lydudi sir giam sat ciia NHNN vd theo trinh ty, thu tyc thanh ly tdi san do NHNN quy djnh.

3.Mgi chi phi lien quan den vifc thanh ^^ tdi sdn do Maritime Bank thanh todn.

CHlTONG XXGIAI QUVB1T TRANH CHAP NOl BQ

Bicu 95. Giai quyct tranh chap nyi b151

1.Truong hyp phat sinh tranh chap hay khieu nai c6 Ii6n quan toi hoat dyng cua MaritimeBank hay tcri quyen cua ede Co dong phat sinh tir Bieu If hay tir bat cu quyen hoac nghia

vu do Luat Doanh nghif p hay cac luft khdc hodc ede quy djnh hanh chinh quy djnh, giua:

a)Co dong voi Maritime Bank hofc

b)Co dong voi Hyi dong Qudn trj, Ban kidm sodt ho|c T6ng Giam doc hay chtic danhquan ly khdc theo quy djnh ciia Maritime Bank.

Cac ben lien quan se co gdng gidi quyet tranh chap d6 thong qua thucrng luyng va hodgiai. Trir truong hyp tranh chdp lien quan toi Hyi dong Qudn trj hay Chit tjch Hoi dongQuan trj, Chii tjch Hyi dong Qudn trj sg chu tri vifc giai quyet tranh chip va se yeu cautirng ben trinh bay cac yeu t6 thyc tien lien quan din tranh chip trong vbng 30 ngay ldmvifc ke tir ngay tranh chap phdt sinh. Truong hyp tranh chdp lien c^uan tdi Hyi ding Qudntrj hay Chii tjch Hyi dong Qudn trj, bat cu ben ndo cflng cd quyen yeu ciu co quan nhdnude co tham quyen chi djnh myt chuyen gia dfc lfp de hanh dyng vdi tu edeh Id trong taicho qua trinh gidi quyet tranh chap.

2.Truong hyp khong dyt duyc quyet djnh hod gidi trong thdi h^n 6 tuan tir khi bit dau qudtrinh hod giai hodc neu quyet djnh cda trung gian hod gidi khong duyc ede ben chap nhan,bat cu ben ndo cung co the dua tranh chip dd ra Tryng tdi ho^c Tod dn.

3.Cac ben se tu chju chi phi cua mlnh cd lien quan tdi thu tyc thuong luyng vd hod gidi.Cac chi phi cua Tryng tdi, Tod dn sS do Tryng tdi, Tod phdn quyet ben ndo phai chju.

Bicu 96. Quyen khoi kifn doi vdi thdnh vien Hf i d^ng Quan trj, Tong Gidm doc152

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CHlTONG XXI

BltV KHOAN THI HANH

Dieu 97. Sira d6i, b6 sung Dieu I?

1.Viec sua doi, bo sung Dieu le nhy phai dugc Dai hgi dong Co dong xem xet quyel dinh.

2.Trong truang hap co nh&ng quy dinh cua phdp luat co lien quan den hoat dong ciiaMaritime Bank chua dugc de cap trong ban Dieu le nay hoac trong truang hgp co nhung

quy djith moi cua ph^p luat khac vai nhiing dieu khoan trong Dieu le nay thi nhung quydinh ciia phap luat do duong nhien dugc ap dyng vh dieu chinh hoat dong ciia Maritime

Bank.

Dieu 98. Dieu khoan thi hiinh

1.Dieu 1^ nay co hieu lye ke tir dugc Dai hgi d6ng Co dong thuang nien Maritime Bank 13nthu 24 thong qua..

2.Dieu 1^ dugc lap thanh 10 bhn, co gia tri nhu nhau, trong do:

a)01 b^n nop cho NHNN Vift Nam;

b)01 ban npp cho NHNN Viet Nam Chi nhanh Thanh ph6 Ha Noi;

c)08 b^n luu tru tai Try s^ chinh Maritime Bank.

3.C^e bhn sao hoac trich lye Di^u le Maritime Bank phhi co chir ky ciia Chii tjch Hoi d6ngQuan trj moi co gia tri. ^.^

1.Co (long, nhom Co dong so hilu it nhat 1% so c6 phan pho thong lien tyc trong thai Iran

06 th^ng co quyen ty minh hoac nhan danh Maritime Bank khai kien trach nhiem dan sird6i v6i thanh vien Hoi dong Quan tri, Tong Giam doc trong cac truang hap sau day:

a)Thanh vien Hoi dong Quan tri, Tong Gihm doc khong thyc hien diing cac quyen vanhiym vu dugc giao; khong thyc hien, thyc hiyn khong day dii, khong kip thai quyeldjnh ciia Hgi dong Quhn trj; thyc hign chc quyen vh nhiem vu dugc giao trai vai quy

djnh cua phap luat, Dieu le nay hoac nghj quyet, quyet dinh ciia Dai hoi dong Codong;

b)Thanh vien Hoi dong Quan tri, Tong Giim d6c da sir dung thong tin, bi quyet, ca hoi

kinh doanh cua Maritime Bank dS tu lyi rieng ho^c phuc vu cho lori ich cua to chirc.

ch nhan khac;

c)Thanh vien Hoi dong Quin tri, Tong Giim d6c da lam dung dia vj, chirc vu va tai san

cua Maritime Bank de tu lgi rieng hoac phuc vu lgi ich cua to chirc, ca nhan khac;

d)Cdc truimg hgp kh^c theo quy dinh cua phhp luat (neu co).

2.Trinh ty, thu tyc khdi kien thyc hien tuong ting theo quy dinh cua phap luat ve to tung

dan sy. Chi phi khai ki^n trong truang hgp co dong, nhom co dong khai kien nhan danh

cong ty se tinh vao chi phi ciia cong ty, trir tru^ng hgp thanh vien khoi kien bi bac yen

c^u khoi kien.

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TM. D^I HQI D6NG C6 dQNG

CjnJTICH HQI BQNG QUAN TRI

MUC LUCNGAN HANG THUONG MAI C6 PHAN HANG HAI VIET NAM 1

DlfiULE1Di^u 1. Djnh nghia cac thuat ngu trong Dieu le2

Dieu 2. Ap dung dan chieu5

Di6u 3. Ten, dia chi va thai han hoat dong5

Dieu 4. Muc tieu hoat dgng6

Di6u 5. Ngi dung hoat dgng7

DiSu6. Gop von, mua co phan y

Dieu 7. Bao dam an toan trong hoat dong10

DiSu 8. V6n di^u le eua Maritime Bank10

Di^u9. Thay doi V^ndi^ile10

Di6u 10. Von hoat dong cua Maritime Bank11

Di6u 11. Sir dpng v6n, tai san 11

Dieu 12. Bao d^m an toan von11

DiSu 13. Cac loai c6 phSn12

Dieu 14. Ty le sdhiru co phan12

Dieu 15. Cophigu13

Dieu 16. Chimg chi chvmg khoan khac13

Dieu 17. Chao ban co phan13

DiSu 18. Chuyen nhuong co phan 13

Dieu 19. Mua lai co phan theo yeu cau cua Co dong 14

Dieu 20. Mua lai co phan theo quyet dinh cua Maritime Bank14

Dieu 21. Dieu kien thanh toan va xii ly cac co phan duorc mua lai14

Di^u22. Phat hanh trai phi^u 15

Dieu 23. Co cau to chiic quan ly15

Di^u 24. So d^ng ky C6 dong va xac lap danh sach Co dong15

Dieu 25. Quyen cua Co dong16

Dieu 26. Nghia vu cua Co dongpho thong Maritime BankIS

Di6u27. Dai hgi d6ng C6 dong19

Dieu 28. Tham quyen trieu tap hop Dai hoi d6ng C6 dong20

Dieu 29. Danh sach C6 dong co quy^n du hgp Dai hgi dfing Co dong21

Didu 30. Chuong trinh va ngi dung hgp Dai hgi dong C6 dong22

Di6u 31. Moi hgp Dai hgi d6ng C6 dong 22

Dieu 32. Quyen du hgp Dai hgi d6ng C6 dong23

Dieu 33. Dieu kien tin hanh hgp Dai hgi d6ng C6 dong24

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Dieu 34. The thiic tien hanh hpp Dai hpi (long Co (long24

Dieu 35. The thiic bieu quyet thong qua quyet djnh cua Dpi hpi (long Co (long26

Dieu 36.Tham quyen va the thiic lay y kien C6 dong bang van ban de thong qua quyet dinhcua Dai hpi dong Co dong 27

DiSu 37. Bien ban hpp Dpi hpi dong Co dong28

Dieu 38. Hicu lire nghj quyet, quyet dinh cua Dai hpi dong Co dong29

Dieu 39. Yeu cau huy bo cac nghi quyet, quyet dinh cua Dpi hpi dong Co dong29

Dieu 40. Nhiem vy va quyen han chung30

Dieu 41.Thu tuc bdu, bo nhipm ede chiic danh thdnh vien Hpi d6ng Quan trj, thanh vien BanKi^m soat, T6ng Gidm doc30

Dieu 42.Nhung ngudi khong dupe tham gia qudn trj, kiim sodt va khong dtrpc gift chiicdanh T6ng Gidm doc, Ph6 Tong Giam d6c vd chiic danh tuong duong31

Dieu 43. Nhung trudng hpp khong ciing dam nhipm chiic vp 32

Dieu 44. Tieu chuan vd dieu kipn de dtrpc bau, b6 nhipm32

Dieu 45. Tieu chudn, diSu kipn ve tinh dpc lpp cua thanh vi^n dpc lap ciia HDQT 34

Dieu 46. Duong nhien mat ttr edeh34

Dieu 47. Mien nhipm, bSi nhi$m35

Dieu 48. Thay the T6ng Gidm doc trong trudng hpp kh^n c^p36

Dieu 49. Dinh chi, tam dinh chi36

Di^u 50.Thu lao, tien lucrng va lpi ich khdc cho Thdnh vi^n Hpi dong Qudn trj, Ban Kilmsoat36

Dieu 51. Cong khai cac lpi fch lien quan37

Dieu 52. Quy^^n, nghTa vu cua Ngudi quan ly, Ngudi dieu hdnh Maritime Bank37

Di^u 53. Tranh xung dpt quyen lpi38

Di^u 54. Trach nhiem va boi thudng38

Difiu 55. Hpi d6ng Quan trj vd co ciu Hpi d6ng Qudn trj38

Dieu 56. Nhiem vti vd quyen hpn cua Hpi dong Quan trj39

Dieu 57. Quyen, nghTa vy cua Chu tjch Hpi dfing Qudn trj41

Dieu 58. Quyen, nghTa vy cua thdnh vien Hpi dong Qudn trj41

Di6u 59. Hpp Hpi dong Qudn trj42

Dieu 60. Bien ban hpp Hpi dong Qudn trj44DiSu 61.Thdm quyen va th thiic liy y ki^n thdnh vien Hpi d6ng Qudn trj bang van ban.... 45

Dieu 62. T6ng Giam doc vd bp mdy giup vipc46

Dieu 63. Quyen, nghTa vy cua Tong Giam doc46

Di^u 64. Ban Ki^m soat vd ca cau Ban Ki^m soat^.47

Dieu 65. Nhiem vy vd quyen hyn cuaBanKiem sodt,48

Dieu 66. Quyen, nghTa vy ciia Trtrdng Ban Kiem sodt48

Di^u 67. Quy6n, nghla vy cua thdnh vi^n Ban Kiem sodt49

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Bieu 68. Quyen dupe cung cap thong tin cua Ban Kiem soat49

Bieu 69. Bp phan kilm toin npi bo50

Bieu 70. Tieu chuan doi voi ngu^i lam cong tac kiem toan npi bo50

Bieu 71. Bo nhiem, mien nhipm cac chiic danh cua kiem toan noi bo51

Bilu 72. Thilt lap va duy tri hoat dong cua he thong kilm soat noi bo51

Bilu 73. Cac yeu ciu va nguyen tac hoat dong cua he thong kiem soat n6i bo5 I

Bieu 74. Che dp tai chinh52

Bi6u 75. Nam tai chinh52

Bieu 76. He thong ke toan53

Bi6u77. Bdocao53

Bieu 78. Cong khai thong tin 53

Bi8u 79. Thong tin54Bi^u 80. Bao mat thong tin54

Bieu 81. Quyen dieu tra so sach v^ ho so 54

Bieu 82. Ngtroi lao dong va cong doan55

Tracotiic55

Cac van de khac lien quan den phan phoi lpi nhuan56

Bieu 85. Kiem toan doc lap56

Bieu 86. Cond^u57

Bi6u 87. Bao cao kho khSn vekhanang chi tra57

Bieu 88.Cac truong hop Maritime Bank co the dupe dat vao tinh trang kiem soat dac biel 57

Bi8u 89.Trach nhiem cua Hpi dong Quan tri, Ban Kiem soat, Tong Giam doc khi MaritimeBank trong tinh trang kiem soat dac bipt58

Bilu 90. Khoan vay dac biet5S

Bilu 91. Chdm dut kilm soat ddc biet58

Bilu 92. Pha s^n ngan hang 58

Bieu 93. Cac truong hap gi^i the ngan hang59

Bieu 94. Thanh ly tai sin cua ngan hang59

Bieu 95. Giai quyet tranh chap noi bo59

Bi^u 96. Quyen khai kien doi v6i thinh vien Hpi ding Quin tri, Tong Giim doc59

Bilu 97. Sua dli, bl sung Bilu le60

Bieu 98. Bilu khoan thi hanh 60