DI./THAOQUY CHE

TO CHlTC VA HOAT DQNG CUA BAN KIEM SOAT(Ban hanh kern theo Quyit djnh s6/2018/EIB/QD-BKS ngdy .../.. J2018 cua Ban

kiem sodt Ngdn hang TMCP Xudt Nhap khdu Vi$t Nam)

Chirong I

QUY DJNH CHUNGDieu 1. Pham vi dieu chinh

Quy che nay quy djnh ve ca cau to chiic va hoat dpng ciia Ban kiem soat Nganhang TMCP Xuit Nhap khiu Vipt Nam ("Ngan hang/Eximbank").

Dieu 2. Vj tri, vai tro cua Ban kiem soat

1.Ban kiem soat la ca quan trpc thupc Dai hpi dong co dong, do Dai hpi d6ngc6 dong bau.

2.Ban kiem soat thuc hipn chuc ndng kiem toan npi bp, kiem soat, danh giavifc chap hanh quy djnh ciia phap luat, quy dinh npi bp, Dieu lp va nghj quyet cua Daihpi dong co dong, Hpi dong quan trj.

3.Ban kiem soat th^c hipn giam sat ho^t dpng cua Hpi ddng quan trj, Tonggiam doc trong vipc quan ly, dieu hanh Ngan hang; chju trach nhipm truac Dai hpid6ng c6 dong trong vipc thuc hipn nhipm v\i dupe giao.

4.Mpc tieu hoat dpng ciia Ban kiem soat la phat hipn, ngan ngira vi phpmphap luat va cac quy dinh npi bp nham nang cao hipu qua quan ly, dieu hanh ho^t dpngcua Ngan hang. Dong thai d6 xuit, khuyen nghj cong tac quan ly, di^u hanh Ngan

hang nham dam bao ho^t dpng an toan, hipu qua, diing phap luat.

Dieu 3. Nguyen t^c to chuc va hoat dng

Ban kiem soat to chiic va hoat dpng theo nguyen tdc: dpc lap, khach quan, trungthpc, minh bach va tuan thii cac quy djnh ciia phap lu^t, Dieu lp, Nghj quy^t ciia Daihpi d6ng co dong va cac quy djnh cua Ngan hang.

Dieu 4. Giai thich tir ngfr

Cac tu ngu, thuat ngu dupe sur dung trong Quy che nay dupe hieu nhu trongDieu lp ciia Ngan hang va phap luat co lien quan.

Chuong II

CO CAU TO CHtTC BAN KIEM SOAT

Dieu 5. So hrpng thanh vien Ban kiem soat

1. S6 lupng thanh vien Ban ki6m soat phai co tir 03 (ba) d^n 05 (nSm) thanhvien. So thanh vien Ban kiem soat chuyen trach khong it hom 1/2 (mpt phdn hai) tongso thanh vien, khong d6ng thai dam nhipm chiic vp, cong viec khac tai t6 chuc tin

dpng hoac doanh nghipp khac. Cac thanh vien Ban ki^m soat bau mpt thanh vien lamTruang ban theo nguyen tic da s6.

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2. Truang hqp so luqng cac ling vifn Ban kilm soat thong qua dl cu va ling

cu khong du so luqng can thift, Ban kifm soat duong nhifm co the de cu them lingvien hoac tl chiic dl cu theo ca chl quy dinh, tai Bieu If va Quy chl nqi bq ve quan tri

ciia Ngan hang.

Dieu 6. Nhifm ky cua Ban kiem soat, thanh vien Ban kiem soat

Nhifm ky cua Ban kiem soat khong qua 05 (nSm) niim. Nhifm ky cua thanhvien Ban kilm soat theo nhifm ky ciia Ban kilm soat. Thanh vien Ban kiem soat cothe duqc bau lai vdi so nhifm ky khong han che. Nhifm ky ciia thanh vien duqc bl

sung hoac thay the la thai han con lai ciia nhiem ky. Ban kiem soat cua nhifm ky viraket thiic tiep tuc hoat dqng cho den khi Ban kiem soat ciia nhiem ky mai tiep quancong viec.

Dieu 7. Nhfmg trircrng h^p khong du -̂c dam nhif m chiic vu

Nhung nguai thuQC doi tu^ng quy dinh tai khoan 2 Dieu 63 Bieu 1^ Ngan hangva quy dinh ciia phap luat co lien quan khong duqc la thanh vien Ban kiem soat.

Dieu 8. Nhung tructng hpp khong cung dam nhif m chuc v^

Cac quy dinh vk khong cung dam nhifm chuc vu cua thanh vien Ban kilm soat

thuc hien theo quy dinh tai khoan 1 Bi^u 64 Di^u If Ngan hang va cac quy dinh ciiaphap luat co lien quan.

Dieu 9. Tieu chuan va dieu kifn de duqc bau, bo nhifm thanh vien Bankiem soat

Tieu chuan va dieu kifn de duqc bau, bo nhifm lam thanh vifn Ban kiem soatthuc hif n theo quy djnh tai Dieu 60 Dieu If Ngan hang va cac quy dinh ciia phap luatco lien quan.

Dieu 10. Duong nhien mat tu each, bai nhifm, miin nhifm thanh vien Ban

kiem soat

Cac tnrang hqp duang nhifn mat tu each, bai nhifm, miln nhifm thanh vifn

Ban kiem soat va cac quy djnh co lien quan duqc thuc hifn theo quy dinh t^i Dieu 61Dieu If Ngan hang va quy djnh cua phap luat co lien quan.

Dieu 11. Thay the thanh vien Ban kiem soat

1.Trong thai han toi da muoi 18m (15) ngay lam vifc kf tu ngay Trudng Bankiem soat bj duang nhien mat tu each thanh vien Ban kiem soat, cac thanh vien Bankifm soat co trach nhifm t6 chiic hqp Ban kiem soat Ak bau mqt thanh vien lamTnrang Ban kilm soat.

2.Tnrang Ban kiem soat muon tvr chiic phdi co dan giii din Hqi ding qu8n triva Ban kilm soat. Trong thai h^n toi da sau muai (60) ngay kl tu ngay nhfn dan, Ban

Kiem soat ph8i to chiic hqp de xem xet, quyet dinh va tien hanh cac thii tuc miennhifm, va blu Tnrang Ban kilm soat thay the theo quy dinh hifn hanh.

3.Thanh vien Ban kilm soat muln txr chiic ph8i co dan giii din Hqi dong

quan tri va Ban kiem soat. Hqi dong quan trj co the to chiic hqp Dai hqi dong co dongbat thuang hoac trinh Dai hqi dong co dong gan nhat quyet dinh.

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4.Trucmg hpp bi giam qua mpt phn ba si thanh vien Ban kiem soat hojickhong du s6 thanh vien t6i thilu theo quy dinh cua phap luat va Dieu 1? Ngan hang thi

trong thai han khong qua 60 (sau muoi) ngay ke tu ngay khong du so thanh vien Bankilm soat theo quy dinh, Ban kilm soat phai dl nghi Hpi dong quan tri tripu tap Daihpi dong co dong de bau bo sung cho du so lirpng.

5.Trong cac truang hpp khac, cupc hpp gan nhat ciia Dai hpi dong co dong sebau thanh vien Ban kiem soat mai de thay the cho thanh vien Ban kiem soat bj miennhipm, bai nhipm hoac bo sung nhung thanh vien con thieu.

Dieu 12. Cong khai cac lpi ich co lien quan

Vipc cong khai cac lpi ich lien quan cua thanh vien Ban kiem soat dupe thpchipn theo quy dinh t^i Dieu 65 Dieu 1? Ngan hang va cac quy djnh cua phap luat colien quan.

Dieu 13. Thu lao, den luong va lpi ich khac cua thanh vien Ban kiem soat

Thu lao, tien lucmg va lpi ich khac cua thanh vien Ban kiem soat dupe thuc hientheo quy dinh tpi Dieu 59 Dieu 1? Ngan hang va cac quy dinh cua phap luat co lien

quan.

Chuong III

HOAT DONG CUA BAN KlfiM SOAT

Dieu 14. Nhifm vy, quy en han cua Ban kiem soat

1.Giam sat vipc tuan thu cac quy dinh cua phap luat va Di^u 1? Ngan hangtrong vipc quan trj, dieu hanh ngan hang; chiu trach nhipm truac Dai hpi dong co dongtrong vipc thuc hipn nhipm vp, quyen h^n dupe giao.

2.Ban hanh quy dinh npi bp cua Ban ki^m soat; dinh ky h^ng n&m xem xet laiquy dinh npi bp cua Ban kiem soat, cac chinh sach quan trpng ve ke toan va bao cao dl

sura doi, bo sung cho phu hpp.

3.Bo nhipm, mien nhipm, ky luat, dinh chi va quyet dinh muc luang, lpi ichkhac doi v6i cac chute danh thupc bp phan ki^m toan npi bp theo quy ch6 tuy^n dung,

quy che luang, quy che khen thuang, ky lu^t cua Ngan hang.

4.Chiu trach nhipm doi vai kiem toan npi bp, bao gom:

a.True tiep chi dao, dieu hanh, giam sdt hoat dpng ciia bp ph^n Kiem toan npibp tit xay dpng ke hoach hoat dpng, trien khai kiem toan dinh ky, kiem toan theochuyen de, kiem toan theo yeu cau, theo doi, danh gia chat lupng kiem toan.

b.Phe duypt, dieu chinh ke hoach kiem toan npi bp hang nam theo de nghi ciiaTruang Ban kiem toan npi bp sau khi thao lu^n vai Tong giam doc va tren ca sa thongnhat vai Chu tjch Hpi dong quan trj.

5.Thuc hien chiic nang ki6m toan npi bp; co quy^n sii dung tu vin doc lap va

quyen dupe tiep can, cung cap du, chinh xac, kip thai cac thong tin, tai lipu lien quand6n hopt dpng quan ly, di^u hanh Ngan hang dl thpc hipn nhipm vp, quyln han dupegiao.

6.Tham dinh bao do tai chinh 06 thang dau n3m va hdng nam ciia Ngan hang;bao gom bao cao tai chinh da dupe Idem toan bdi to chiic kiem toan dpc lap, bao caoDai hpi dong co dong ve ket qua tham djnh bao cao tai chinh, danh gia tinh hpp ly,hop phap, trung thuc va mure dp cin trpng trong cong tac ke toan, thong ke va lap bao

cao tai chinh. Ban ki6m soat co the tham khao y ki^n cua Hpi dong qu^n trj truac khitrinh bao cao va kien nghi len Dpi hpi d6ng c6 dong.

7.Kiem tra so ke toan, cac tai lieu khac va cong vipc quan ly, dieu hanh hoatdpng cua Ngan hang khi xet thdy can thiet hoac theo nghi quyet, quy^t dinh cua Dai

hpi dong co dong hoac theo yeu cau cua co dong hoac nhom co dong theo quy dinh taidiem 1, kho^n 1 Dieu 26 Dieu lp Ngan hang. Ban kiem soat thuc hipn kiem tra trongthai han 07 (bay) ngay lam viec, kl tvr ngay nhan dupe yeu cau cua co dong hoac

nhom co dong neu tren. Trong thai han 15 (muai ISm) ngay, ke tir ngay ket thuc kiemtra, Ban kiem soat ph^i bao cao, giai trinh v^ nhung van de dupe yeu cau kiem tra denHpi d6ng qu^n tri va c6 dong ho^c nhom c6 dong yeu cau.

8.Kip thai thong bao bang van ban vai Hpi dong qu^n tri trong vdng 48 gia khiphat hien truong hpp vi pham cua nguai quan ly Ngan hang va nguai dieu hanh Nganhang khac theo quy dinh tpi Dieu lp nay va quy dinh phap luat hien hanh co lien quan,dong thai yeu cau nguai vi pham cham dut hanh vi vi pham va co giai phap khac phychau qua (n6u co).

9.Lap danh sach co dong sang lap, co dong 1cm va nguai co lien quan cua thanhvien Hpi d6ng quan tri, thanh vien Ban ki^m soat, T6ng giam doc va co dong sang lap,

co dong Ian cua Ngan hang; luu gift va cap nhat thay doi cua danh sach nay.

10.Be nghj Hpi dong quan tri hpp bat thuang hope de nghj Hpi dong qun tritripu tap Dai hpi dong co dong bat thuang theo quy dinh tpi Dieu lp va phap luat.

11.Tripu tap Dpi hpi dong co dong bat thuang trong truang hpp Hpi dong quantrj cd quyet djnh vi pham nghiem trpng quy djnh tai Dieu lp hoSc co quyet dinh vuptqua tham quyen dupe giao va truang hpp khac theo quy djnh ciia phap lupt.

12.Be xu^t va kign nghj Dpi hpi d6ng co dong phe chuan to chiic kilm toan

doc lap thuc hien kiem toan Bao cao tai chinh cua Ngan hang; Giam sat qua trinh thuekiem toan dpc lap; giam sat qua trinh thuc hien cong viec cua kiem toan dpc lap; xemxet bao cao tai chinh djnh ky ciia Eximbank do to chiic kiem toan dpc lpp thuc hien.

13.Giam sat tinh hinh tai chinh ciia Ngan hang, tinh hpp phap trong cac hoatdpng cua thanh vien Hpi dong quan trj, Tong giam doc, nguai quan ly khac, sir phoihop hoat dpng giura Ban kiem soat vai Hpi dong quan tri, Tong giam doc va co dong.

14.Cac nhipm v\i, quyen han khac theo quy djnh tai Dieu lp Ngan hang.

Dieu 15. Quyen, nghia vu cua Truong Ban Idem soat

1.To chiic trien khai thuc hien nhipm vu, quyen han cua Ban kiem soat quydinh tai Dieu 15 ciia Quy che nay.

2.Chuan bj chuong trinh hpp cua Ban kiem soat tren ca sd y kien de xuat cuathanh vien Ban kiem soat lien quan den nhipm vp, quyen hpn ciia Ban kiem soat; triputap va chii tpa cupc hpp Ban kiem soat.

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3.Thay mt Ban kiem soat ky cac vSn b^n thupc tham quyen cua Ban kiemsoat.

4.Thay m^t Ban kiim soat tripu typ Dai hpi ding co dong bit thuang quy djnhtyi Dieu 14 cua Quy che nay hoSc de nghi Hpi dong quan tri hpp bat thuang.

5.Tham dy cupc hpp Hpi dong quan tri, phat bieu y kien nhung khong dupebieu quyet.

6.Yeu cau ghi lyi y kien cua minh trong bien ban cupc hpp Hpi d^ng quan trjniu y kiin cua minh khac voi nghi quyet, quyit djnh cua Hpi ding quan trj va bao caotrudc Dai hpi dong co dong.

7.Chuan bj ke hoach lam vipc va phan cong nhipm vy cho cac thanh vien Bankiem soat.

8.Bao dam cac thanh vien Ban kiem soat nhan dupe thong tin diy du, khachquan, chinh xac va co dii thai gian th^o luan cac vin di ma Ban kiim soat phdi xem

xet.

9.Giam sat, chi d^o vipc thuc hipn nhipm vy dupe phan cong va quyen, nghiavy cua thanh vien Ban kiem soat.

10.Uy quyen cho mpt thanh vien khac cua Ban kiem soat thuc hipn nhipm vycua minh trong thai gian vSng mat.

11.Cac quyen, nghia vy khac theo quy dinh tyi Dieu 1? cua ti chuc tin dyng.

Dieu 16. Quyen, nghia vy cua thanh vien Ban kiem soat

1.Thyc hipn cac nhipm vy va quyen han cua thanh vien Ban kiim soat theo

diing quy djnh cua phap luat, Dieu lp Ngan hang va Quy che nay mpt each trung thyc,thyn trpng vi lpi ich cua Ngan hang va co dong.

2.Bau mpt thanh vien Ban kiem soat lam Trudng Ban kiem soat.

3.Kiem soat cac hoat dong kinh doanh, kiem tra so sdeh ki toan, tai san, baocao tai chinh va kiin nghi khic phyc cac sai pham niu co.

4.Dupe quyen yeu cau can bp, nhan vien cua Ngan hang cung cdp so lipu va

giai trinh cac hoyt dpng kinh doanh de thyc hipn nhipm vy dupe phan cong.

5.Bao cao Truang Ban kiem soat vi nhftng sy kipn tai chinh bit thuang, chjutrach nhipm vi nhung danh gia va kit luan ciia minh truac Dyi hpi dong co dong.

6.Yeu cau Truang Ban kiim soat tripu tap hpp Ban kiem soat bat thuang.

7.Tham dy cac cupc hpp cda Ban kiim soat, tham gia gop y va biiu quyit ve

cac van de thupc nhipm vy, quyen hyn cua Ban kiem soat, trir nhung van de co xungdpt lpi ich vdi thanh vien do.

8.Thyc hipn cac nhipm vy va quy in hyn khac theo quy dinh cua phap luat va

Dieu lp Ngan hang.

Dieu 17. Hpp Ban Kiem soat

1.Cupc hop Ban kiem soat dau tien ph^i dupe to chiic trong vdng 07 (bay)ngay sau bau cii Ban kiem soat. Cupc hpp nay do thanh vien co so phidu bau cao nhattripu tap. Trudng hpp co nhidu hon mpt thanh vien co so phieu bau cao nhat va ngangnhau thi cac thanh vien bau theo nguydn tdc da so 01 (mpt) nguai trong so hp de triputap hpp Ban kiem soat.

2.Ban kidm soat hpp dinh ky va bat thudng. Cac cupc hpp dinh ky cua Bankiem soat to chuc it nhat moi quy mpt Ian do Trudng Ban kiem soat ho^ic nguai tarnthai giO chiic Trudng Ban kiem soat tripu tap.

3.Cupc hpp bat thudng cua Ban kiem soat dupe tien hanh theo de nghj cua:

a.CM tich Hpi dong quan trj;

b.Hai thanh vien Hpi dong quan trj;

c.Trudng Ban kiem soat;

d.Hai thanh vien Ban kiem soat;

e.Tong giam d6c;

f.Theo ydu cSu cua NHNN.

4.Trong thai han 15 (mudi lam) ngay kd tit ngay nhpn dupe vSn ban de nghihpp Ban kiem soat b^t thudng cua mpt trong cac ddi tupng neu tpi cac Diem a, b, d, e

va f khoan 3 Didu nay, Trudng Ban kidm soat phdi trifu t^p va ti^n hanh cupc hpp Bankiem soat bat thudng. Trudng hop sau hai Ian de nghi ke tiep ma Trudng Ban kiemsoat khdng trieu tap cupc hpp Ban kiem soat, Hpi dong quan trj va cac thanh vien Bankiem soat pMi co ngay v^n ban bao cao chi nhanh NHNN tinh, thanh phd trpc thupctrung uang nai Ngan hang ddt tru sd chinh va tien hanh hpp Ban kiem soat de xu lycdng viec, ddng thai quy^t dinh vipc miln nhipm, bai nhipm chiic danh Trudng ban,

b^u mpt thanh vien Ban kidm soat dam b^o cac dieu kien gift chiic danh Trudng bantheo dung quy dinh hien hanh, hoac quyet dinh to chiic Dai hpi dong co dong batthudng de xii ly nhung ton t^i, vudng mac chua the giai quyet (neu co).

5.Thong bao va chuang trinh hpp: Trudng Ban kiem soat hoac ngudi triputap hpp Ban kiem soat phai giii thong bao mdi hpp cham nhat 03 (ba) ngay lam vipctrudc ngay hpp tru mpt sd trudng hprp kh^n cip hoac de xii ly kjp thai cac npi dung

quan trong. Thong bao vd cupc hpp Ban kidm soat dupe lam bang van bdn tidng Viet,trong do neu rd vd: chuang trinh hpp, thai gian va dja diem hpp va phai dupe kem theonhung tai lieu c&i thidt ve nhung vdn de se dupe ban bpc va bieu quydt tai cupc hppBan kidm soat va ca cac phidu bdu cho nhung thanh vien Ban kidm soat khdng the duhpp. Nhung thanh vien Ban kidm soat nay se gui phidu bau cho Ban kiem soat trudckhi hpp.

6.Sd thanh vien tham du yeu cdu: Cupc hpp Ban kiem soat dupe tidn hanhkhi cd tir hai phdn ba sd thanh vien Ban kidm soat trd ldn true tiep tham du hoac quangudi thay the la mpt trong cac thanh vien Ban kidm soat dupe uy quyen. Trudng hoptrieu tap hpp Ban kiem soat dinh ky Ian dau nhung khdng du sd thanh vien tham dutheo quy dinh, Trudng Ban kidm soat pMi trieu tap tiep cupc hpp Ban kidm soat Ianhai trong thai gian khdng qua 15 ngay tidp theo. Sau hai Ian tripu t^p cupc hpp Ban

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kiem soat khong du s6 thanh vien tham dp, Trudng Ban kiem soat phai thong bao cho

Hoi dong quan trj biet va de nghi tripu tap Dai hpi dong co dong bat thubmg trong thaih^n khong qua 30 (ba muai) ngay ti^p theo di c6 dong xem xet tu each ciia thanh vienBan kiem soat.

7.Bi^u quyet:

a.Moi thanh vien tham dp cupc hop Ban kiem soat s6 co mpt phieu bieuquyet tai cupc hop Ban kiem soat. Neu thanh vien Ban kiem soat khong the tham ducupc hpp thi ce th liy quy&i bi^u quyet cua minh bang v^n ban cho mot thanh vienBan kiem soat khac (la doi tupng dupe phep tham gia bieu quyet) thpc hipn bieu quyetthay.

b.Thanh vien Ban kiem soat co quyen lpi lien quan tai van de dupe dua raBan kiem soat quyet djnh s6 khong dupe phep tham gia bieu quyet doi vdi van de dova khong dupe tinh vao s6 lupng dai bi^u yeu cdu co mpt tpi cupc hpp, dong thai cung

khong dupe nhan liy quySn ciia thanh vien Ban kiem soat khac de tham gia bieu quy^tvan de do ngopi tru quy dinh tai khoan 2 Bieu 17 Quy die nay.

c.Neu co nghi nga nao nay sinh tqi mpt cupc hpp lien quan den quyen lpi ciiathanh vien Ban kiem soat hope lien quan den quyen dupe bieu quyet ciia thanh vienBan kiem soat va nhung nghi nga do khong dupe thanh vien Ban kiem soat do tpnguypn giM quyet bang each chip thuan tu bo quy^n bieu quyet, thi nghi nga do se

dupe chuyen tai chii tpa cupc hpp. Phan quyet cua chii tpa se co gia trj cuoi ciing va cotinh ket luan trir truang hpp khi ban chat ho^c muc dp quyen lpi cua thanh vien Bankiem soat co lien quan do chua dupe biet rd.

d.Bat ky thanh vien Ban ki^m soat nao co lien quan den mpt hpp dong dupeneu tai khoan 1 Di6u 120 Lu^t doanh nghipp se dupe coi la co quyen lpi vat chit d6i

voi hpp d6ng do.

8.Tuyen bo quyen lpi: Thanh vien Ban kiem soat neu theo sp hieu biet cuaminh thiy co lien quan du la trpc ti^p hay gian tiep tai mpt hpp d6ng, mpt thpa thuan

hay mpt hpp dong dp kien, mpt thoa thuan dp kien giao ket vdi Ngan hang phai khaibao biin chat quyen lpi lien quan tqi cupc hpp Hpi dong quan trj va cupc hpp Ban kiemsoat, tpi day Hpi dpng qu^n trj va Ban kiem soat se xem xet vipc co giao ket cac hopdong hoac thoa thu^n do khong, niu nhu sau nay mai biet ve sp ton tai quy^n lpi do

cua minh hay Pong bat cii truang hap nao khac, thanh vien do phai thong bao ngay taicupc hpp gan nhat cua Hpi dong quan tri va cupc hpp gan nhat cua Ban kiem soat saukhi thanh vien do biet dupe da co quyen lpi lien quan.

9.Bieu quyet da so: Quy^t dinh cua Ban kilm soat dupe thong qua neu dupe

da so thanh vien Ban kiem soat co quyen tham gia bieu quyet dp hpp chap thuan.Truang hpp so phieu ngang nhau thi quyk dinh cu6i cung thupc Ve phia co y kien ciia

Truang Ban kiem soat hoac thanh vien Ban kiem soat dupe Truang Ban kiem soat uyquyen chii tpa cupc hpp (truang hpp Truang Ban kiem soat vlng mat).

10.Truang hpp Ban kiem soat lay y kien b^ng v3n bin de thong qua quyetdjnh \h mpt vin d thi quy^t dinh dupe coi la co gia tri tuang duang vdi mpt quy6t

dinh dupe thong qua bdi cic thinh vien Ban kiem soit tai mpt cupc hpp dupe trieu tapvi to chiic thong thuang, neu:

a.Dupe s\r nhat tri bing vin b^n cua da so cac thanh vien Ban kiem soat coquyen tham gia bieu quyet doi vdi van de dua ra xin y kien;

b.So lupng thanh vien Ban kiem soat co quyen tham gia bieu quyet bang vSnban phii dap ling dupe dieu ki?n ve s6 lupng thanh vien bit bupc phii co di ti^n hinhhpp Ban kiem soat.

Vipc lay y kien bang vSn ban co gia tri nhu to chiic hpp Ban kiem soat. Cac vande dupe quyet djnh bdi cupc hQp Ban kiem soat deu co the dupe quyet dinh bing hinh

thiic lay y kien bang van ban.

Dieu 18. Bien ban hqp Ban kiem soat

Cupc hop Ban kiem soat phii dupe ghi day du vio so bien ban. Bien bin hppBan kiem soit dupe l^p bing tieng Viet vi phii dupe tat ci cic thanh vien Ban kiem

soit tham du cupc hpp ky ten vi phii lien ddi chiu trich nhipm ve tinh chinh xac vitrung thuc cua Bien bin hpp Ban kiem soit. Chu tpa cuOc hpp co trich nhiem b6 trilap vi giii Bien bin hpp Ban kiim soit cho cic thinh vien Ban kiem soit vi bien bindo sS dupe coi li bing chiing mang tinh ket luan ve cong vipc tien hinh t^i cupc hpp,tru trubng hpp co nhung khieu n^i lien quan den npi dung cua Bien bin hpp Ban kiemsoit trong thbi han 10 ngiy ke tit ngiy guti bien bin do.

Dieu 19. Bp may giup vi^c cua Ban kiem soat

Ban Kiim soit co bp phan giup viec, bp phan kiem toan npi bp, dupe sir dung

cic nguon luc ciia Ngan hing, dupe thue chuyen gia vi cic to chiic ben ngoii de thuchien cic nhipm v\i cua minh.

Churrng IV

QUYEN DlTQC TIEP CAN, CUNG CAP THONG TIN, BAO MAT THONG TINVA MOI QUAN H^ CUA BAN KIEM SOAT

Dieu 20. Quyen dupe tiep can, cung cap thong tin

1.Thinh vien Ban kiem soat co quyen tiep c^n tat ci cic thong tin vi tii lieulien quan den tinh hinh ho^t dpng ciia Eximbank. Thinh vien Hpi dong quin trj, Tonggiim doc vi cic cin bp quin ly khic co trich nhi^m cung cap cic thong tin theo yeucau cua Thinh vien Ban kilm soit.

2.Hpi dong quin tri, thinh vien Hpi dong quin tri, Tong giim doc vi cic cinbp quin ly khic phii cung cap day du, chinh xic vi kip thai tit ci cic thong tin vi tiilieu ve cong tic quin ly, dieu hinh vi hoat dpng kinh doanh ciia Eximbank theo yeuciu ciia Ban kiem soit vi phii dim bio rang toin bp bin sao cic thong tin, tii lieu vicic thong tin khic dupe cung cap cho cic thinh vien Hpi dong quin tri se phii dupecung cap cho thinh vien Ban kiem soit vio cung thai diem vi theo phuang thuc nhudoi vdi thinh vien Hpi dong quin trj.

Dieu 21. Bio mat thong tin

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1.Cic thinh vien Ban kidm soit khdng dupe tiet lp ra ben ngoii, cong bd hoaching cich khac cung cip cho ben thd ba cic thong tin mpt, cac vin bin tii lipu cuaEximbank vi cic thong tin khac lien quan den hoat dpng cua Ngan hing, hoac cacthong tin mi Eximbank chua cong bd ra ben ngoii.

2.Vipc bio mat thong tin vin dupe thpc hipn sau khi thinh vien Ban kiem soitda het nhiem ky.

3.Cic thinh vien Ban kidm soit cd trich nhipm tuan thu bio mat thong tin theoDieu lp Eximbank, Quy che niy vi quy djnh cua phip luat cd lien quan.

Dieu 22. Cac moi quan hp cua Ban kiem soat

1.Nguyen tic phdi hpp Pong quan hp cong tic

a.Ludn ludn trung thinh vi lpi ich cua Eximbank.

b.Phdi hpp cong tic vdi tinh than vi Pich nhiem cao nhit, trung thpc, hpp ticPen ca sd chiic nang, nhipm vp vi quydn han cua Hpi ddng quin trj, Ban kidm soit,Ban Bidu hinh vi cic Dan vj thupc Ngan hing dupe quy djnh tai Bidu lp, cic quy chd,quy djnh npi bp cua Eximbank vi quy djnh phip lupt cd lien quan.

2.Quan hp cong tic vdi cic ca quan quin ly nhi nude

Ban kidm soit thpc hipn che dp bio cio cho cic ca quan quin ly Nhi nude theoquy djnh hipn hinh.

3.Quan hp cong tic vdi co ddng

a.Ban kiem soit thpc hipn bio cao co ddng ket qui giim sit hoat ddng cuaEximbank tpi ky hpp Dai hpi ddng co ddng thudng nidn theo quy djnh tpi Bidu lpEximbank.

b.Ban kidm soit thpc hipn kiem Pa dpt xuat khi nh^n dupe yeu cau tir cdddng ldn hoac nhdm co ddng ldn vi gui bio cio theo quy djnh tpi Quy chd niy viBidu 1? Eximbank.

4.Quan hp cong tic vdi Hpi ddng quin Pj

a.Ban kiem soit phdi hpp chit chd vdi Hpi dong quin trj, hd Pp Ian nhau dehoin thinh nhipm vp theo quy djnh phip lupt vi Dieu lp Eximbank. Hpi ddng quin trjphii tao dieu kipn, ca chd de Ban kidm soit phit huy vai Pd, tic dung ciia cong tickidm Pa, giim sit. Bong thai, Hpi ddng quan Pj bio dim cung cap thong tin, tii lieu,nghj quydt cic phidn hpp cua Hpi ddng quin trj de Ban kidm soit thpc hipn giim sat.

b.Ban kidm soit thpc hipn giam sat, kiem toin npi bp hing nim theo kdhoach, theo yeu ciu cua Hpi ddng quin Pj, ciia co ddng vi thpc hipn bio cio kdt quigiim sit, kidm toin npi bd theo quy dinh. Khi nhan dupe kdt qui giim sit, kidm toinvi nhiing dd xuit, kin nghj cua Ban kidm soit, Hpi ddng quin Pj se xem xet de dua rakdt luan. Ban kidm soat theo doi vipc thpc hipn cic ket lu^n cua Hpi dong quin Pj.

c.Truing Ban kidm soit dupe tham gia cic cupc hpp cua Hpi ddng quin Pj.Bdi vdi cic van de can thiet, Trudng Ban kidm soit dupe de xuat cic y kidn de Hpiding quin Pj phdi hpp thpc hipn.

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d. Ban kiem soit thpc hipn tham dinh cic bio cio cua Hpi dong quin trj trinhDai hpi dong co dong tpi cupc hpp thudng nien theo quy dinh tpi Dieu lp. Ban kiemsoat tham khao y kien cua Hpi dong quan tri ve cac van de dupe neu trong bao cao ciiaBan kiem sodt trudc khi trinh Dpi hpi dong co dong.

5.Quan hp cong tic vdi Ban Bieu hanh

a.Ban Dilu hanh dim bao che dp cung cap thong tin cho Ban kilm soat theo

Quy che nay, Bieu lp Ngan hang va cac quy djnh co lien quan.

b.Trong qua trinh lam vipc, Ban kiem soat va Ban dieu hanh phai ph6i hpp

chat che, khong gay can trd Ian nhau trong khi thpc hipn nhipm vp va quyen han cuaminh.

c.Ban dieu hanh va cac chute danh quan ly khic chiu sp kiem tra, giam sat cuaBan kiem soat doi vdi vipc thuc hipn nhipm vu dieu hanh cua minh. Ban dieu hanh vaNgufri quan ly thuc hipn bao cdo trpc tiep hoSc cung cap cac thong tin, bao cao co lienquan den hoat dpng cua Eximbank theo yeu cau cua Trucmg Ban kiem soat.

d.Ban dieu hanh cung cap kip thai, day du cho Ban kiem soat cac van ban vb

ca che chinh sach, quy che, quy dinh cua Eximbank, v8n bdn chi dao cua Ngan hangNha nude va van ban phap lupt co lien quan.

e.Ban kiem soat thpc hipn kibm tra, giam sat va thpc hipn kilm toan npi bp va

thuc hipn bao cao ket qud kiem tra, giam sat, kiem toan npi bp theo quy djnh. BanDieu hanh thong bao cho Ban kiem soat nhflng chi dao, y kien ctia minh doi vdi nhungvan de Ban kiem soat da co bao cao, kien nghj de Ban kiem soat theo doi.

f.Khi thuc hipn nhipm vp kiem tra kiem soat, cac thanh vien Ban kiem soatphdi thong bao trudc ke hoach lam vipc bang v^n bdn cua Trudng Ban kilm soat cho

Ban di^u hanh nhdm dam bdo khong anh hudng d^n hopt dpng kinh doanh cua Nganhang.

6.Quan hp cong tie vdi cac Don vj trpc thupc Eximbank

a.Cac dan vj trong hp thong Eximbank thuc hipn ca che phoi hpp hoat dpngvdi Ban kiem soat theo quy djnh, dam bao cung cap day du thong tin, tai lipu phpc vpcong tic kiem tra, giim sit, kiem toin npi bp theo yeu cau cua Ban kiem soit.

b.Linh dpo cic Dan vj dupe kiem tra, kiem toin chiu trich nhipm \b tinh diy

du, trung thpc, hpp phip ciia cic thong tin, tii lipu cung cap cho Ban kiem soit va cicdoan kiem tra, kiem toin ciia Ban kiem soit; thpc hipn cic ki^n nghj ciia Ban kiimsoit doi vdi nhung van de neu trong bio cio ciia Ban kiim soit theo chi dao ciia Hpidong quin tri va Ban dieu hanh; thpc hipn cung cap thong tin phin hdi cho Ban kilm

soit ve vipc thpc hipn cic kien nghj ciia Ban kiem soit theo quy dinh.

Chuoug V

QUY DINH VE KHEN THUdNG VA KY LUAT DOI VCH BAN KIEM SOAT,TRACH NHI^M CUA BAN KIEM SOAT DOI VOT HOAT DQNG

NGAN HANGDieu 23. Khen thvdng va ky luat

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1.Thanh vien Ban kiem soat dupe khen thuang va ky luat theo Quy che, Quydjnh vh khen thuang va ky luat ciia Eximbank trong tirng thai ky.

2.Hang nSm, Trudng Ban ki^n soat tihn hanh to chuc danh gia hoat dpng cuacac thanh vien Ban ki^n soat va Ah xu^t hinh thuc khen thuang, ky luat dS Hpi d&ig

quan trj thong qua va trinh Dai hpi dong co dong xem xet, quyet djnh.

3.Trudng Ban kiem soat danh gia ket qua hoat dpng cua can bp thupc bp phankiem toan npi bp va can bp giiip vipc ciia Ban kiem soat theo quy dinh ciia Eximbank.

Dieu 24. Trach nhipm tuan thu quy djnh vi cong khai Ipi ich lien quan,

tuan thu nghia vy cua thanh vien Ban kiem soat

Thanh vien Ban kiem soat phai tuan thu cac quy dinh ve cong khai Ipi ich lienquan, tuan thu cac quy dinh ve nghia vp cua thanh vien Ban kiem soat theo quy dinhciia Quy che nay, Dieu 1? Ngan hang va cac quy dinh ciia phap luat co lien quan.

Dieu 25. Trach nhipm ciia thanh vien Ban kiem soat trong trirong hppkhong tuan thu cac quy djnh ve cong khai Ipi ich lien quan, nghia vu cua thanhvien Ban kiem soat

1.Thanh vien Ban kiem soat vi pham cac quy dinh ve cong khai Ipi ich lienquan, cac quy dinh ve nghia vp ciia thanh vien Ban kiem soat, ngoai viec bi bai nhiem,mien nhipm theo quy dinh tpi Dieu 10 Quy che nay con phai chiu trach nhipm hoSclien dai chiu trach nhipm \& nhung thipt hpi ciia Ngan hang do hanh vi vi phpm ciiaminh gay ra.

Mpi thu nhpp va Ipi ich khac ma thanh vien Ban kiem soat true tiep hoSc giantiep co dupe do vi phpm nghia vp ciia minh deu thupc so him ciia Ngan hang.

2.Nguyen tac boi thuong va xac dinh thipt hai dupe thuc hipn theo quy dinhcua phap lupt co lien quan.

3.Ngoai trach nhipm phai b6i thuang thiet hai theo quy dinh tai Di^u nay, thanhvien Ban kiem soat con co the ph^i chiu cac trach nhipm khac theo quy dinh cua Quyche nay, Dieu lp Ngan hang, Quy che quan trj npi bp va quy dinh cua phap luat co lienquan do hanh vi vi pham cac quy dinh ve cong khai Ipi ich lien quan, cac quy dinh venghia vp ciia thanh vien Ban kilm soat.

Chirong VI

DIEU KHOAN THI HANH

Dieu 26. To chuc thpc hipn

1.Cac Thanh vien Hpi dong quan tri, Ban kiem soat, dan vi trpc thupc Banki^m soat, Ban di^i hanh, cac Kh6i, Phong, Ban Trp sa chinh, cac Dan vj va toan the

can bp cong nhan vien Eximbank co trach nhipm thpc hipn Quy che nay.

2.Nhung v^n Ah lien quan dhn co cau to chiic va hopt dpng cua Ban kiem soatkhong dupe neu trong Quy chh nay thi thuc hipn theo quy djnh ciia phap lupt va Dieulp Eximbank. Trong truang hpp co mau thuln, quy djnh khac nhau giua Quy che nayvdi Di6u 1? vh ciaig mpt van Ah, thi cac quy djnh cua Dieu lp sS dupe uu tien ap dung.

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TRAN LE QUYET

Dieu 27. Hif u lye tbi hanh

1.Quy che nky co hi^u lye ke tit ngay dupe Dpi hpi d6ng co dong thong qua vathay th^ Quy dinh ve to chiic, ho^t dpng cua Ban kiem soat ban hanh kem theo Quyetdjnh s6 580/2010/EIB/QB-BKS ngay 02/12/2010.

2.Mpi sua doi, bo sung hoac thay the Quy ch^ nay do Ban kiem soat xem xet,

de xuat va trinh Dpi hpi dong co dong quyet dinh thong qua.

TM. BAN KIEM SOATTRlTdNG BAN