_SHB CQNG HoA xA HQI cmr NGHiA VI~T NAMDQcI~p- T" do - Hanh phuc

NGAN HANG TMCPsAl GON - HA NQI

SA:..tJ2/HDQT

BAo cAo TINH HlNH QUAN TRJ CONG TY NIEM YET( 6 thang nam 2020)

HiJN9i, ngay2f thong 07 nam 2020

Kinh gm: Uy ban chung khoan Nha mracSa Giao djch chimg khoan Ha NQi

Ten chUng khoan: Ngan hang TMCP Sai Gon- Ha NQiBfa chi tr1}SO' chinh: Sa 77 Trin Hung B\lo, Hoan KiSm, Ha NQiBien thoai: 02439423388 Fax: 02439411086Va'n di~u'l~: 17.558.331.260.000 dAngMil chimg khoan: SHB

I. Hoat dQngciia D\li hQidAng c8 dong

Thong tin v€ cac cuoc h9P va Nghi quyStiQuyStdinh cua Dai hQid6ng cd dong(bao g6m ca cac nghi quyet cua Dai hQid6ng e6 dong duoc thong qua diroi hinh thirc l~yykien bfuIgvan ban).

Stt S6 Nghi quySti Ngay NQidungQuyet dinh

1. Thong qua Bao cao kSt qua hoat dQngnam2019 va phirong huang hoat dQngnam 2020ella HQi d6ng Quan tri Ngan hang TMCPSai Gan-Ha.

2. Thong qua Bao eao kSt qua ho~t dQngkinhdoanh nam 2019 va kS ho~eh kinh doanhnam 2020 ella Ngan hang TMCP Sai Gan-Ha NQi.

3. Thong qua Bao eao kSt qua thfun diM tinhhinh tfliehinh nam 2019 eua SHB, kSt qua

1 S601INQ- 15/06/2020 ho~t d9ng nam 2019 va phU,onghuang ho~tDHDCD d9ng nam 2020 eua Ban Kiem soat Ngan

hang TMCP Sai Gan - Ha NQi.4. Thong qua Phuong an phan ph6i lQ'inhu~n

nam 2019 va trieh l~p cae quy.5. Thong,quavi~e,Tang ~6n D!€u 1~nam 2020illnguon ehia co rue bang co phieu.

6. Thong qua vi~e Sua d6i, b6,s~g Di€u 1~euaNgan hang SHB va Quy ehe To ehuc vaho~t dQngeua Ban Ki€m soat SHB.

7. Thong qua vi~cMiSn nhi~m thanh vien HQid6ng Quan tri, thanh vien Ban Ki€m soat,

1

thay d6i co d.u thanh vien Ban KiSm soatSHB nhiem ky 2017-2022.

8. Thong qua viec Thoai v6n cua SHB taiCong ty Tai chinh TNHH MTV Ngan hangSHB (SHB FC).

9. Thong qua viec Chuyen dang Icy niern y8t c6phieu cua SB:B sang Sa Oiao dich Chungkhoan TP. ne Chi Minh.

10. Thong qua viec LVa chon dan vi kiem toandQc l~p kiem toan bao cao tai chinh nam2020 cua SHB.

11.Thong qua k8t qua bft~ ba NguyBn TN Hoatlam thanh vien HQi dong Quan trio

II. Hoat dQng cua HQidAng quan tr]

1. Thong tin vi thanh. vien Hpi ilang Qulin trj

Stt Thanh vien Chirc vu Ngay b~t S6 Ty l~ Ly do khongHDQT dftulkhong con bu6i tham tham du hQP

la thanh vien hQP du hQPHDQT HDQT

thamdV

1OngD6Quang Chu tich B6 nhiem kS nr 2/2 100%HiSn HDQT ngaY27/04/2017

Ong ve Duc Ph6 Chu BAnh'" etir2 o iem e 2/2 100%Ti8n tich HDQT ngay 27/04/2017

Ong Nguyen Van Thanh vienB6 nhiem kS nr3 HDQT kiem 2/2 100%Le

TOD ngay 27/04/2017

Ong Thai Qu6c Thanh vienV~ng m~t vi a

B6 nhi~m kS tir nu&c ngoai do4 Minh HDQT ngay 27/04/2017 112 100% anh huang cuadich Covid-19

Ong D6 Quang Thanh vien Mi€n nhi~m kS5 Huy HDQT tir ngay 112 50%

15/06/2020

6 OngPh~Cong Thanh vien B5 nhi~m kS tir 2/2 100%Doan HDQT ngay 27/04/2017

7 Ba NguyBn Thi Thanh vien B5 nhi~m kS tir 1/2 50%Ho~t HDQT ngay 15/06/2020

Thanh vien B5 nhi~m kS tir8 Trinh Thanh Hai HDQTdQc 2/2 100%l~p

ngay 23/04/2018

2

2. Hoat dpng gidm sat cua HDQT dai vai Ban Tang Gidm dae

HQi d6ng Quan tri dtroc Dai hQi d6ng c6 dong bAu va trao quyen d~ thuc hien vi~cquan tri Ngan hang, HQi d6ng Quan tri SHB luon thea sat moi diSn bi~n hoat dQng kinhdoanh cua Ngan hang, don d6c, giam sat Ban T6ng Giam d6c tlnrc hien cac chu truong,chinh sach da duoc Dai hQi d6ng c6 dong, HQi d6ng Quan tri thong qua. Theo do, SHB t~ptrung d~y manh phat tri~n thi phan d6i voi cac mang kinh doanh chinh cua Ngan hang, chutrong cong tac kiem tra, kiem scat chat che rui ro tren tit ca cac linh V\lChoat dQng kinhdoanh cua SHB. Ngoai ra, HQi d6ng Quan tri cling yeu du Ban T6ng Giam d6c chi daocac don vi kh~ truang xu ly thu h6i nQ'xiu, nQ'qua h~, tang cUOng cong mc ki~m tratruoc, trong va sau khi cho yay nh~m h~n ch~ nQ'xiu moi phat sinh, nang cao chit lUQ'ngtin d\lI1gtren toan h~ th6ng nh~m dam bao S\l 6n dinh, phat tri~n bBn vfrng va hoan thanhcac k~ ho~ch cua D~i hQi c6 dong giao.

HDQT thucyog xuyen tham gia cac cUQchQP voi Ban T6ng giam d6c, Cac don vikinh doanh trong M th6ng nh~m n~m b~t tinh hinh ho~t dQng kinh doanh cua don vi, kipthai thao go kho khan t~o dQng l\lc phat tri~n kinh doanh. M~t khac, cac Uy ban trl,lc thuQcHDQT cling thuang xuyen bao cao HDQT cac vk dB thuQc ph~ vi trach nhi~m cua Uyban nh~m dao bao cung cip thong tin cho HQi d6ng Quan tri dAy du va toan di~n rihit vBtinh hinh ho~t dQng cua Ngan hang, dam bao wan thu dUng quy dinh phap lu~t va Nghiquy6t cua D~i hQi d6ng c6 dong.

HQi d6ng Quan tri da phan cong cong vi~c C\lth~ d6i voi timg Thanh vien HDQT.Mdi thanh vien HDQT duQ'c giao th\lc hi~n cong tac giam sat, quan tri thea timg linh V\lCho~t dQng trQng y6u cua Ngan hang d~ kip thai co y ki6n chi d~o Ban T6ng giam d6c diBuchinh cac ho~t dQng kinh doanh phu hQ'pthea timg giai do~n, thai di~m d~ dam bao hoanthanh cac k6 ho~ch da duQ'cD~i hQi d6ng c6 dong giao.

3. HO{ltdpng eua cae tiiu ban trlfc thupc HDQT3.1. Uy ban Nhan S1/:

Uy ban Nhan S\l la ca quan tham muu, tu vk, giup vi~c HDQT trong vi~c th\lchi~n nhi~m V\l, quyBn h~n Clla HDQT vB cac yin dB lien quan d6n cong tac quan tri, phattri~n ngu6ri nhan l\lc, nhan S\l, tiBn thuang, thu lao, ... va cac vk dB lien quan d~n nhanS\l thea Quy dinh vB T6 chuc va ho~t dQng cua Uy ban. Cac nQi dung tham muu, tu yincua Uy ban Nhan S\l d6i voi HDQT 06 thang dAunam 2020

- Tham gia y ki~n d6i voi mo hinh t6 chuc cac Kh6i nghi~p V\l ~i Tf\l sa chinh;- Tham muu quy trinh b6 nhi~m cac chuc danh thuQc thb quyBn cua H9i d6ng quan

tri;- Tham muu cho HDQT trong vi~c ban hanh cac quy ch6, quy dinh, chinh sach lien

quan d~n cong tac nhan S\l thea quy dinh cua phap lu~t va DiBu l~ SHB;- T6 chuc th\lc hi~n giam sat, ki~m soat toan di~n cong tac nhan S\l, rui ro nhan S\l

dam bao phu hQ'Pvai dinh huang, kS ho~ch ho~t dQng kinh doanh cua SHB;

.i

.,

3

- Chu dQng xay dung cac phuang an b8 tri nhan S\I lam viec thea ch~ dQ luan phienhoac tai cac trung tam du phong nham irng pho voi dich Covid-19, dam bao b8 tridu nhan S\Icho moi hoat dQng nghiep vu cua Ngan hang an toan hieu qua.

3.2. Uy ban Quan [f rui ro:

Dy ban Quan ly rui ro diroc t6 chirc va hoat dQng thea Quy ch~ v8 t6 chirc va hoatdQng cua Dy ban Quan ly rui ro do HDQT ban hanh. Hoat dQng cua Dy ban Quan ly ruiro trong 6 thang nam 2020 nhu sau:

- Tnrc ti~p gop y xay dung va thong qua vi~c di8u chinh khau vi rui ro trinh HDQTphe duyet phil hQ'Pvoi cac quy dinh moi cua NHNN va yeu cau hoat dQng kinhdoanh cua SHB; Cling voi khAu vi rui ro moi, UBQLRR dii tham gia gop y vathong qua h~n muc rlii ro tin d\1I1g,rlii ro ho~t dQng dBT6ng giam d8c ban hanh

,t ,thea tham quyen;

- Ti~n himh giam sat vi~c triBn khai danh gia mc dQng; xay d\IIlg, di8u chinh cac quydiM nQi bQClla SHB dBdam bao man thu Thong tu 22/2019/TT-NHNN CllaNganhang nha nu6c;

- Chu dQng bao cao danh gia tac dQng cua dich COVID-19 v6i ho~t dQng kinh doanhClla SHB va cac d8 xu~t (rng pho v6i HDQT;

3.3. Uy BanALCO:- Dy ban ALCO co nhi~m V\l tham muu cho HDQT v8 quy mo, co cau va t8c dQtang

tru6ng tlii san nQ',tM san co cua SHB phil hQ'Pv6i quy mo ho~t dQng va chi~n luQ'cphat triSn cua SHB trong timg thai kY, d\I bao va phan (rng kip thai v6i cac thayd6i cua thi truang. Ra soat dam bao cac tY l~ va gi6i h~n an toan trong ho~t dongkinh doanh thea quy diM cua Ngan hang Nha nu6c va quy dinh cua SHB

- Tham muu cho HBQT trong vi~c xay d\IIlg chi~n luQ'c phat triBn thi truang, chinhsach phat triBn v8n, quan tri rlii ro thanh quan, quan tri rlii ro thi truang .

3.4. Cae H6i il6ng nghi?p v~:- HQi d6ng BAu tu: th\Ic hi~n cac chuc nang tham muu, giup vi~c cho HDQT vS vi~c

th\Ic hi~n ho~t dQng dAu tu. T6 chuc thAm dinh phuang an, d\I an dAu tu va triBnkhai ho~t dQng dAutu thuQc cac lInh V\ICduQ'c phep dB tang doanh thu va lQ'inh~ncho SHB;

- HQi d6ng Quan ly va Xu ly nQ'co v~n d8: th\Ic hi~n chuc nang tham muu, giup vi~ccho HDQT trong vi~c dS ra cac bi~n phap phong ngira h~ ch~ va giam th~p nQ'quah~n, nQ'x~u nhim d~t duQ'ccac m\lc tieu an toan, hi~u qua ho~t dQng tin d\1I1g,nangcao ch~t lUQ'ngva phat triBn bSn viing d8i v6i ho~t dQng cua SHB; chi d~o di8uhanh cong mc quan ly va xu ly nQ'trong toan h~ th8ng, pM duy~t cac bi~n phap xuly nQ', t6 chuc xay d\IIlg chi~n luQ'c phong ngira xu ly nQ'co vk d8 trong toan h~th8ng SHB;

- HQi d6ng Tin d\1I1g:Tham muu cho HDQT dinh huang va co cau du nQ'tren toanh~ th8ng thea m~t hang, lInh V\IC,nganh ngh8, dia ban kinh doanh; phe duy~t chinhsach tin d\1I1gg6m: liii su~t, phi, cac di8u ki~n tin d\1I1g,cac bi~n phap phong ngirarlii ro tin d\1I1gd8i v6i tUng d8i tuqng khach hang va nhom khach hang co lien

4

.-,;;

.~:::

quan. Phe duyet cac khoan tin dung virot thb quyen cua T6ng Giam d6c. TrinhHDQT cac khoan tin dung vuot tren 10% v6n nr co cua SHB va cac khoan vayvirot gioi han tin dung,

4. Cae Ngh] quyit ella Hpi tlfmg qudn tri:

STT Sa N2hi quy~t Thiri 2ian NQidun2Chot DS co dong d~ thuc hi~n quyen tra co nrc

1 OlINQ-HDQT 09/0112020 nam 2017,2018 bkg c6 phieu va quyen mua c6phieu, quyen irng cir, d~ bAu b6 sung thanh vienHDQT nhiem icy 2017-2022

2 02INQ-HDQT 30101/2020 Thong qua phuong an mua lai trai phieu SHB phathanh cho SCBKy ket hop dong sua doi va l~p la voi Ngan hang

3 03INQ-HDQT 21/02/2020 Commerzbank AG va phe duyet Phuong an vayv6n va su dung v6n vay

4 04INQ-HDQT 21/02/2020 L~p danh sach c6 dong va t6 chirc phien hQPDHDCD thuong nien nam 2020Thay doi nhan su HDTV va BKS Clla Cong ty Tai

S OSINQ-HDQT 21/02/2020 chinh TNIlliMTV Ngan hang TMCP Sai gan - HaNQi nhi~m leY 2016-2021

6 06INQ-HDQT 03/02/2020 Thong qua vi~c rna LlC cho cong ty c6 phArr ~pdoan T&T

7 07INQ-HDQT 13/03/2020 Xac dinh lo~i ch(mg khoan lUll kY

8 08INQ-HDQT 18/0312020 Th6ng nhAt giai thi~u nhan S\l dS bAu b6 sungthanh vien cua HDQT nhi~m leY 2017-2022

09INQ-HDQTThay d6i don vi quan ly cac phang giao dich trl,lc

9 18/03/2020 thuQc SHB Ha NQi sang trl,lc thuQc cac chi nhanhkhac

10INQ-HDQTXu ly c6 phi6u khong phat hanh hSt va gia h~ thai

10 20103/2020 gi~ phan ph6i c6 phiSu eua dqt: phat hanh c6phieu ra cong chUng

11 IIINQ-HDQT 04/0912020 Th6ng nhAt giam thu lao cua thanh vien HDQT doanh huang cua dieh Covid 19

1211.IINQ-

14/04/2020 Thong qua phuong an ph<it hanh trai phiSu l~n 1HDQT nam 2020 eua SHB

Huy DS c6 dong co quySn d\l hQPDHDCD thuemg

13 12INQ-HDQT 16/04/2020 nien 2020 l~p ngay 16/312020 va phe duy~t l~ingay dang kY cu6i cung, ngay t6 ehuc phien hQPDHDCD thuemg nien 2020

14 l3INQ-HDQT 16/04/2020 Xu ly c6 phi8u Ie, c6 phiSu khong phat hanh hStcua dqt: phat hanh cp ra eong chUng

IS 14INQ-HDQT OS/12/2020 Thanh l~p ban kiSm tra tu cach c6 dong t~i PhienhQp D~i hQi dang c6 dong thuemg nien l~n thu 28

16 ISINQ-HDQT 27/0S/2020 Xac diM lo~i ch(mg khoan lUll kY5

17 16INQ-HDQT 29/05/2020 Th6ng nh~t giam thu lao thing 5/2020 cua thanhvien HDQT do anh hironz cua dich Covid 19

18 17INQ-HDQT 12/06/2020 Thong qua phirong an phat hanh trai phieu IAn2nam 2020 cua SHB

III. Ban kiim soat1. Thong tin v~ thanh vien Ban kiim soat

Stt Thanh vien Chirc vu ,Ngay b~t s6 Ty l~ Ly do khongBKS dau/khong con bu6i tham tharn du hop

la thanh vien hQp du hQPBKS BKS

tharnd\I

1 6ngPh~ Truong Ban B6 nhiem k~ ill 212 100%HoaBinh Ki~rn soat ngay 27/04/2017

B6 nhiem k~ ill

Ba Nguyen Pha Ban ngay 27/04/20172 Thi HOl}.t Ki6rn soat - Khong con la 2/2 100%

TV .BKS k~ illngay 15/06/2020

B6 nhiem k~ ill

Ong Nguyen Thanh vien ngay 27/04/20173 Ban Ki6rn - Khong con la 212 100%Hfru Duc soat TV .BKS k~ ill

ngay 15/06/2020

4 te Thanh Thanh vien B6 nhiem k~ ill 2/2 100%CAm BanKi~rn ngay 27/04/2017

soat

5 Pham Thi Thanh vien B6 nhiem k~ ill 2/2 100%BichH6ng BanKi~rn ngay 27/04/2017

scat

2. Hoat dQng giam sat cua BKS dAi vOi HDQT, TAng Giam dAe va eAdong

2.1. Hpi dang Qulin trj SHB:

- HDQT th\Ic hi~n dAy du quy~n hl}.llva nhi~rn V\l theo cac quy dinh: Tl}.iDi~u 45(Quy~n hl}.llva nhi~rn V\l cua HDQT), Di~u 47 (Quy dinh v~ Chu tich HDQT), Di~u 48(Quy dinh v~ thanh vien HDQT) trong Di~u l~ SHB; tl}.iDi~u 2 (cac nguyen t~c quantri co ban), Khoan 2, Di~u 4 (Co c~u quan tri), Di~u 15 (trinh tl,l t6 chuc hQPHDQT),Di~u 17 (thAm quy~n va th~ thuc l~y y ki6n thanh vien HDQT bfutg van ban), Di~u 18Nghi quy6t, Quy6t dinh cua HDQT), Di~u 27, Di~u 28 v~ ph6i hQ'PhOl}.tdQng gifraHDQT, BKS va TGD tl}.iQuy ch6 quan tri nQi bQ cua SHB, ban hanh kern theo Quy6tdinh s6 262/QD-HDQT ngay 26/6/2018 cua HDQT SHB; tuan thu th\Ic hi~n theo Quy

6

chS t6 chirc va heat dQng cua HDQT SHB, ban hanh kern thea Quyet dinh s6 263/QD­HDQT ngay 26/6/2018 cua HDQT SHB; thuc hien nhiem V\1 duoc phan cong voi tinhth.1ntrach nhiem va hieu qua eao trong cong tac quan tri h~ th6ng SHB.

- HDQT dffxac dinh ngay illd&unam 2020, dinh huang, chien luoc, kS hoach phat trientrung, dai han va kShoach kinh doanh nam 2020 cua SHB va cac nhiem vu, quyen hankhac thea quy dinh trong Di6u l~ va cac quy dinh cua phap lu~t lien quan. Dffchi daotoan h~ thong SHB hoat dQngthea cac dinh huang Ian cua HDQT d6 ra la: TriSnkhaicac giai phap kinh doanh hieu qua, phil hop voi diSn bi~n cua thi tnrong, nham hoanthanh cac chi tieu kinh doanh nam 2020, cling nhu dS dat duoc cac m\lc tieu dai h~ncua SHB ill nay d~n nam 2025; thl,Ichi~n chiSn lUQ'ehi~n d~i h6a cong ngh~ nganhang, chuO'ngtrinh ph.1nm6m nhb phat triSn eae san phfun ngan hang mang tinh ch~tcong ngh~ hi~n d~i phil hQ'Pvai xu thS CllacUQccach m~ng 4.0; hoan thi~n cO'cAut6chuc bQmay Ngan hang thea huang tinh gian, gQn nhy, ho~t dQngminh b~ch, hi~uqua, an toan va hoan thi~n Khung quan ly rui ro thea cac chuAnmvc Basel II; tuan thucac quy dinh v6 quan tri cong ty thea cac chu.1nml,Iequ6c t~.

- Tren eO'sa nhi~m V\1 duQ'Cphan cong cae thanh vien HDQT thve hi~n quy6n va nghiaV\1 gicimsat, quan tri d6i vai mQiho~t dQngcua Ngan hang thea rung linh Vl,ICduQ'cphan cong C\lthS; tren cO'sa d6 d6 xu~t HDQT di6u chlnh cac ehinh sach, phuanghuang ho~t dQngC\lthS lam cO'sa dSBDH triSn khai thvc hi~n.

- HDQT thl,Ichi~n hQpdiM ky hang quy thea quy dinh va tham dv cac cUQchQpvaiBan Di6u hanh dS chi d~o ho~t dQngkinh doanh cua SHB rung thai kY dUngvai dinhhuang phit triSn do HDQT dSra tren day.

- HDQT SHB dffthl,Ichi~n cae nhi~mV\1 khae thea quy dinh t~i Di6u l~ SHB va cae quydinh cua phap l~t c6 lien quan.

2.2. Dai vUi TGDSHB:- Dff thve hi~n d&ydu nhi~m V\1 va quy6n h~ cua TGD (TGD) thea eac quy diM t~i

Di6u l~ SHB va cac quy diM nQibQ.

- Dfft6 chilc, chi d~o triSn khai thl,Ichi~n cac m\lc tieu chi~n lugc va dinh huang phattriSn SHB do HDQT d6 ra. Chu dQngtri6n khai cac giai phap trong 6 thing d&unam2020 dS thl,Ichi~n KS ho~ch kinh doanh (KHKD) nam 2020 cua SHB dffduQ'cHDQTva DHDCD thuOng nien l&nthil 28 cua SHB t6 chilc VaGngay 15/6/2020 t~i Ha NQithong qua.

- Dffchi d~o Ban TriSn khai Dl,Iin Basel II ho~t dQngthea kS ho~eh, tiSn dQdffd6 ra,chi d~o phan cong cae dan vi t~i Tf\l sa ehinh triSn khai huang d~n t6 chilc thl,Ichi~n,xay dl,Ing,sua d6i b6 sung cac Quy eh~, quy dinh nQibQSHB phu hQ'Pquy dinh theaThong tu s6 13/2018/TT-NHNN cua NHNN; chi d~o cac Ban Dl,Iin triSn khai thl,Ichi~n cac ph.1nm6m quan ly e6 lien quan dffduQ'cHDQT phe duy~t trong eong tac hi~nd~i h6a cong ngh~ ngan hang.

- Dff chi d~o kip thai, xem xet, giai quySt cae vuang m~e trong HDKD t~i cac dan viSHB trong 6 thing d&unam 2020, dSHDKD eua cac dan vi dUQ'cthong su6t, an toan,

I..I

.~.(

~....

7

hieu qua. Da chi dao cac don vi chile nang quan 1y thea nganh doc (cacKh6i1BaniTrung tam) tai .Tru sa ehinh va thong qua Kh6i KiSm toan nQihQ(KTNB)thuc hi~n vise giam sat eh~t che hoat dQngcua cac don vi va xu 1ykien quyet d6i voinhimg t6n tai, sai pham cua cac ca nhan va don vi co vi pham, thea cac khuyen nghicua Kh6i KTNB va de xufrtcua cac don vi chile nang quan 1ythea nganh doc.

- Da chi dao cac don vi trong M thong SHB thuc hien cong tac ra soat cac co eh~, quyeh~, quy dinh nQihQcua SHB, dS xay dung moi hoac sua d6i, h6 sung cac nQidung,quy dinh khong con phil hop d~ han hanh hoac trinh HDQT han hanh thea thfunquyen, Trong 6 thang d~u nam 2020, TGD va HDQT da han hanh nhieu van him dinheh~ eua SHB, nhfun e~p nh~t cae quy dinh ella phap 1u~t,eua NHNN va dam hao hanhlang phap ly, dS ho~t dQngeua SHB dUQ'ethong su6t, an toan, hi~u qua, phong, tranhrlii roo Ngoai ra, TGD da chi d~o cae Kh6ilBaniTrung tam t~i Tf\l sa ehinh SHB thammuu hoan thi~n va nang eao chAtluqng eua h~ th6ng KSNB thea quy dinh t~i Thongills6 13/2018/TT-NHNNeua NHNN'

- Da th\Ie hi~n d~y du eh~ dQbao cao eho HDQT, BKS, eho cae Co quan quan ly Nhanuae ve ho~t dQngva k~t qua kinh doanh SHB dinh Icy h~ng thang, quy, nam thea quydinh ella phap l~t, eua cae Co quan quan ly Nha nuae cAptren va eua SHB.

Da th\Ie hi~n cae nhi~mv1,lkhae thea thfun quyen, thea chi d~o eua HDQT, Nghi quy~tella DHDCD, Dieu 1~eua SHB va cae quy dinh ella phap lu~t co lien quan.

2 3 D ,{·,. e;J. A"• • 01VOl 0 uong:

- Van phong HDQT da 1~pdanh saeh thea d5i cae e6 dong 160va nhiing nguai co lienquan eua thanh vien HDQT, thanh vien BKS, TGD SHB, cae e6 dong t6 chile va caee6 dong ea nhan khae eua SHB tham gia gop v6n e6 ph~n. BKS ph6i hqp vai Vanphong HDQT l~p, luu giu va e~p nh~t thay d6i eua danh saeh nay thea quy dinh t~iDieu l~SHB.

- Qua vi~e th\le hi~n eong tae tren, eho thay trong 6 thang d~u nam 2020, nhiing nguaico lien quan eua thanh vien HDQT, thanh vien BKS, TGD SHB, cae e6 dong t6 chileva cae e6 dong ea nhan khae eua SHB da tham gia gop v6n e6 phk VaGSHB khongvup't tj If gop van thea quy dinh eua phap 1u~tva eua NHNN.

3. S" phai hQ'phO\lt dQng gifra BKS dai vOi hO\lt dQng ciia HDQT, Ban TGD vacac can bQquan If khac:3.1. Dai veriHDQT:

- Truang BKS/ho~e nguai dUQ'eTruang BKS uy quyen tham d\l d~y du cae eUQehQPdinh Icy eua HDQT thea quy dinh t~i Dieu l~SHB.

- Ngoai nhi~m V1,l giam sat ho~t dQngva vi~e tuan thu cae quy dinh eua phap 1u~t,euaNHNN, Dieu l~ SHB trong vi~e quan tri d6i vai HDQT; BKS da cling hQmay giupvi~e eua SHB h6 trQ'HDQT trong vi~e ki~m tra, giam sat toan hQho~t dQngeua SHB,de xuat, tham van cae dp co thAm quyen cae vk de, giai phap nhfun hoan thi~n h~th6ng KSNB, dam hao ho~t dQngeua SHB an toan, hi~u qua.

- BKS co cae Bao eao vai HDQT dinh Icy thea quy dinh t~i DiSu 1~SHB. Ngoai ra, co

8

:-::::

,NI./~

tham khao y kien cua HDQT truce khi trinh cac Bao cao hang nam len DHDCDthuong nien cua SHB.

- BKS thuc hien viec xem xet cac vk dS do HDQT yeu cau co lien quan hoat d<)ngkiem toan n<)ib<)(KTNB), trong do co viec kiSm tra tinh tuan thu cua cac dan vi, canhan SHB theo n<)idung cac don thu khiSu nai cua khach hang giri HDQT va do Chutich HDQT chuyen eho BKS (neu co) dS xem xet theo dung quy dinh cua phap lu~t vaDiSu l~ SHB.

3.2. D8i vcri Ban TGD, Truong cac don vi cua SHB:

BKS SHB duoc quyen yeu cau Bah TGD, Truong cac Dan vi trong h~ thong SHBeung dp cac thong tin va h6 tro nguon luc, cac diSu kien efuI thiSt khac phil hop ehoheat d<)ng cua BKS va Kh6i KTNB true thuoc BKS SHB theo chirc nang, nhiem VI,l,

quyen han, trach nhiem cua BKS diroc quy dinh tai DiSu l~ eua SHB.

BKS SHB trao d6i v6i Ban TGD, Truang cae Dan vi eua SHB vS cae phat hi~n tiSmAn rui ro trong ho~t d<)ngngan hang, dS xuAt,kiSn nghi Ban TGD xem xet xu ly kipthai, gop phfuIdam bao an toan h~ th6ng SHB.

- BKS SHB thl,lehi~n vi~e xem xet cae vAndS do TGD SHB dS nghi, trong do co vi~ekiSm tra tinh tuan thu eua cae dan vi, ea nhan SHB theo n<)idung cae dan thu khiSun~i ella khaeh hang do TGD ehuySn t6i va BKS da chi d~o Kh6i KTNB SHB thammuu TGD tiSn hanh kiSm tra, xae minh dS xem xet giai quySt theo dUngquy diM euaphap l~t va SHB.

3.3. D8i vcYiKh8i KTNB SHB:

- BKS lanh d~o toan di~n ho~t d<)ngeua Kh6i KTNB tuan thu theo DiSu l~ SHB, QuyehS t6 ehue va ho~t d<)ng eua Kh6i KTNB ban hanh theo QuySt dinh s642A/20191QD-BKS ngay 06/6/2019, cae quy dinh n<)ib<)khae eua SHB va eua phaplu~t co lien quan; trt,retiSp chi d~o, diSu hanh, giam sat ho~t d<)ngeua Kh6i KTNB.

- Chi d~oKh6i KTNB thl,lehi~n ra soat, danh gia m<)teach d<)el~p, khaeh quan d6i v6ih~ th6ng KSNB, trong do bao g6m M th6ng nh~n d~g va quan ly rui ro; phuongphap danh gia v6n; h~ th6ng thong tin bao eao tai ehinh va thong tin quan ly; cae quytrinh, quy dinh n<)ib<)ella SHB.

- Phe duy~t ehinh saeh KTNB nhu Quy diM ho~t d<)nggiam sat sau KTNB ~i SHBban hanh kern theo QuySt dinh s6 18/20201QD-BKS ngay 07/4/2020. TiSp tl,lechi d~oKh6i KTNB thl,le hi~n nghien eUu b6 sung, hoan thi~n Quy trinh KTNB ban hanhtheo QuySt dinh s6 107/2018/QD-BKS ngay 27/12/2018 eua BKS SHB, Cfun nangKTNB ban hanh theo QuySt dinh s6 20/QD-BKS ngay 03/3/2010 eua BKS SHB; Quydinh vS xu ly vi ph~ trong ho~t d<)ngKTNB ban hanh theo QuySt diM s6 4491QD­HDQT ngay 2917/2013 eua HDQT SHB, eho phil hqp v6i Thong tu s6 13/2018/TT­NHNN eua NHNN va Quy ehS TCHD eua Kh6i KTNB SHB ban hanh theo QuyStdinh s6 42A/20191QD-BKS ngay 06/6/2019 eua BKS SHB.

- Xem xet, phS duy~t KS ho~eh va diSu ehinh kS ho~eh KTNB hkg nam theo dS nghieua Giam d6e Kh6i KTNB; bao dam eong tae t6 ehue, thl,lehi~n K8 ho~eh KTNB d~t

9

ch§t luang, hieu qua, cac ki~n nghild~ xU§tdua ra gop phfrnd~ phong, ngan chan duoccac rui ro, gop phfrndam bao hi~u qua, an toan cho HDKD trong toan h~ thong SHB.

- Ra cac quyet dinh v~ rmrc luang, thuong va cac IQ'iich khac; cac quyet dinh h8 nhiem,miSnnhiem, khen thuong, Icy lu~t d5i voi cac nhan S\Ithuoc Kh5i KTNB.

- BKS ClI dai dien tham du d~y du cac cuoc hQPdinh Icy h~ng thang cua Kh5i KTNB dSn~m h~t tinh hinh, kip thai co chi dao, huang Xli ly d5i voi cac vtrong m~c phat sinhtrong hoat dl)ngcua Kh5i KTNB.

IV. Biw tao v~ quan tr] cong tyNgan hang thirong xuyen ClI cac can hI) Quan ly tham gia cac khoa dao tao do S6 Giao

dich chirng khoan va Uy han clnrng khoan nha nu6c t8 chuc dinh Icy v~ quan tri Cong ty.Ngoai ra, SHB cling ClI can hI) tham gia cac hu8i hl)i thao, ~p hu§n do S6 Giao dich chungKhoan, Uy Ban ChUngkhoan Nha nu6c t8 chuc nh~mc~p nh~t cac thay d8i cua phap l~t colien quan cling nhu t8 chuc cac khoa dao t~o v~ Icy nang quan ly, di~u hanh, quan tri cho canhI)nhan vien.

V. Danh sach v~ ngU'01co lien quan eua cong ty niem y~t theo quy djnh t:;tikhoan 34Bi~u 6 Lu~t ChUng khoan (Bao cao nam) va giao djch cua ngU'01co lien quan euacong ty vOichinh Cong ty

1. Danh sach v~nguai co lien quan cua cong ty: khong thay d8i2. Giao dich gifra cong ty v6i nguai co lien quan cua cong ty; ho~c gifra cong ty v6i c8

dong lan, nguai nQihQ,nguai co lien quan Clla nguai nQihQ:khong3. Giao dich gifra nguai nl)i hI) cong ty niem ySt, nguai co lien quan Clla nguai nl)i hI) v6i

cong ty con, cong ty do cong ty niem y~t n~mquy~nkiSm soat: khong4. Giao dich gifracong ty v6i cac d5i tuqng khac: khongVI. Giao djch e8 phi~u eua ngU'irinQibQva ngU'01lien quan cua ngU'01nQibQ

1. Danh sach nguai nQihI)va nguai co lien quan cua nguai nl)i hI): danh sach dinh kern2. Giao dich cua nguai nl)i hI)va nguai co lien quan d5i v6i c8 phi~u cua cong ty niem y~t:

S"< ~ h!! • Sa c8 phi~u sa hfru Ly do tang,o co p leu sO'NgU'01 hfru diu ky ..<. kY giam (mua,

Quan h~ vOi CUOI

Stt th\fc hi~n ban,giao djch ngU'01nQibQ So co Ty So c5 phieu Ty l~ h ~ d~·

phi~u l~ e uyen 01,

thU'ang...)

Th\Ic hi~n,

1)6Vinh Con trai cua mua, co tuc1 Quang Chu tichHQi 0 0% 52.378.100 2,98% dUQ'~nh~,

d8ng Quan tri quyenmuathem

10

VII. Cac vAn d~ cAn lU'U y khac: khongSHB tran trong bao CaD!

Noi ohio:

- Nhu tren;- Luu VT, VP HDQT

11

NGAN HANG TMCP sAl GON -IIA NQIMA cmrxc KHOA.N: SHB

DANH SACH CO DONG NQI BQ vA NGUOI co LIEN QUAN(THOI DIEM L~P BAo cAo T~I NGA.V30 THANG 06NAM2020)

STT TENCOD6NG Chile v\I tl}iNgin hang SLc6 phiiu Ty l~ So' hihl c6 phiiuGhi chiinim giii' cu6i ky

1 D6 Quang Hi~n Chii ttch HDQT 48,147,620 2.742._.

2 Db Dang Thanh

3 LeThi Thanh--

4 Le Thanh Hoa--

5 Db Vinh Quang 52,378,100 2.983~ --_.

6 Db Quang Vinh-- - -

7 DbThi ThuHa 36,007,828 2.051--

8 Db Th] Minh Nguyet 12,447,145 0.709-

9 Cong ty C5 phfulH-P Doan T&T 175,046,110 9.969

10 Cong ty C5 phful Chung khoan Sai Gon - Ha NQi 27,118,106 1.544--.---

11 Cong ty Quan ly Quy SAiGon - HANQi (SHF)

12 T5ng Cong ty e5 phful Bao hi~m Sai Gon - He.NQi

13 Vo Dllc Tiin PM Chii tich HDQT 71,380 0.004_.

14 Trful Thi Thanh._- _._--_

15 VoD\iiUm-- ---------

16 vs Thuy Trang---_---

17 VONgoc Quang------ .- --------------_. ---_._---_._--- --

18 VODue Minh-----------------_-- -_._--_._--- .------ .•. - ---_.- -_ .._. ---------_._---'-----. __ . • ____ _J

Page1

- ,---- -_--- ---

19 ve ruas----------_._-- --

20 ve ru Vinh

21 VoKimOanh

22 VoThuH~h

23 Nguyen VinLe Thaah vien HDQT kiem TGD 3,972,914 0.226

24 Nguyen Vlin Tong

25 Luang Th] Nganh

26 Vii Thj L~Quyen 538,045 0.031

27 Nguyen Vii Phuong Vy -_28 Nguyen Minh KMi

29 Nguyen Vlin Khoa

30 Nguyen Ngoc Phung 441,365 0.025

31 Nguyen Th] Phuong

32 Trinh Thanh Hai Thanh vien HDQT dQc I,p

33 Nguyen Thi Duyen

34 Bach Tuyet Huang

35 Trinh Duy Thanh

36 Christine Mclaughlin---

37 Trinh Duy Linh

38 Trinh Thanh Hi~n

39 Trinh Viet Thanh-

40 Trinh Thanh Hoa--_- ---

41 Trinh Vi~t TUdn------------ -_

42 Nguyen Thi Ho,t Thimh vien HDQT

Page 2

- -~-.--.--- ----.. . -

43 Nguyen Quang Huy--

44 Nguyen Ngoc Han.-

45 Nguyen Van Hi~u

46 Luang Thi TMt----_-

47 Nguyen Chi Linh

48 Pham Cong Doan Thanh vien HDQT

49 Pham Van Him. --

50 T~ThiKMi

51 Trinh Thi Nu

52 Pham Trung Thanh

53 Pham Thi Thu Hien

54 Pham Van Cling

55 Pham Van Tfulg

56 Pham Trung TiSp--

57 Pham Van Lieu

58 Pham Thi KSt--

59 Thai QuAe Minh Thanh vien HDQT

60 TM.iVanAn

61 Bui Thi Tuoc

62 Thai Duong._---

63 Thai Quynh My

64 Thai Hung-----

65 Thai Dung

66 Thai Blnh-

.)

.-!tIl.;..

Page 3

---

67 Thai Thj Thanh HA

68 Thai Vi~t Ouan

69 Ph\lm Hoa Binh TrllOng ban KS 96,603 0.006

70Pham VWllacIm~TrAnTh~nhHIli) -

71 Nguyen Thj Hai--

72 Pham Thi Loan

73 Pham Truong San--_

74 Pham Ngoc Thu

75 Pham H6ng -Phuong

76 Nguyen Kim Hoang

77 Pham Ngoc Hoang Lan

78 UThanhC§m Thanh vien Ban KS

79 LSTi8nBan

80 Nguyen Th] Luc

81 LSThi Minh Qui

82 i.e Thj Thu Vinh -_83 LeThjHien

84 Nguyen H6ng Lam

85 Nguyen CfunLinh

86 Nguyen Lam TUng---

87 Ph\lm Th] Bieh HAng Thanh vien Ban KS--~

88 Ph~BaThan

89 Luang Thi cce- ------

90 Pham van Tuyen'-- -_

·.1

.,,

Page 4

91 Pham Anh Quan-

92 Ph~NMtMinh

93 Pham Ba Trung

94 Ph~ThiHu~--f---

95 Pham Ba Hung

96 Pham Ba Dting

97 UDlingKhoa PhOT8ngGD

98 Nguyen H6ng Hanh

99 r.e Trong Khue

100 te Trung Kien

101 Ha Thi H6ng

102 t.e Trong Khoi

103 Le Huang Giang

104 NgoThuHa Ph6T8ngGD 1,274,440 0.073

105 Nguyen Tuan Hung

106 Ngo An Uy

107 Trfut Thi Thoa

108 Ngo Trung Dung

109 Nguyen Ha Minh

110 Nguyen Ha Minh Ngoc

111 Ninh Th] Lan Phuong Ph6T8ngGD 63,624 0.004

112 Ninh Vlin Vi~t

113 Luu Thi Suu-- --

114 Ninh Lan Huang 5,000 0.000

J

\NI

')A'~".,I

Page 5

115 Pharn Thanh Nam 46,147 0.003

116 Pham Thuy Linh

117 Pham Ngoc Hung

118 Nguy@nHuy Tai PhOT6ngGf>~---- ._-

119 Nguyen Vi~t Luong.---~-.-----.--

120 Trfut Thi Hu~

121 Nguy~n Huy Thanh

122 Nguyen Thi Minh Hai

123 Nguy~n Thi Thu Hien

124 Pham Thi Nguyet

125 Nguy~n Dien Thao

126 Nguy~n Thanh Huy--

127 Ngo Tbi Van KTT 3,256 0.000

128 Nguy~n Hilu Dong

129 Nguy~n Thi van Anh

130 Nguyen Hilu Liru Phuc

131 Ngo Dang Lam

132 Dinh Thj Quy

133 Ngo Thi Thu Hien

134 Ngo Dang Dung

135 Ngo Dang Manh

136 Nguy@nDlnh Duong enKh6i KTNB 32,920 0.002

137 TrfutThi Thuy __ -138 Nguy~n Dinh Phu

Page 6

139 Bui Thi Liem -_. --140 Nguyen Thi Hlii

- ---- f------------- r- -----

141 Nguyen Dlnh Tu§n- --

142 Nguyen Anh Chuc

Nguyen Dinh Phuc--

143.-~.-~ --

144 VOXuan Thtiy San Ph6 GD Kh6i KTNB

145 Trdn ThiHue--

146 Vii Xuan Duong

147 Trdn Thi Trli

148 Vii Thi Thu Giang----

149 Vii Xuful D~i

150 Vii Trdn Nam KMnh

151 Vii Trdn Ngoc Diep

NGU<nL~P KIEMsoAT

~

~guy~n Thanh ThuyNguy~n Thi Hili Y~n

Page 7

,

NGAN HANG TMCP sAl GON - HA NQIMACmJNGKHOAN: SHB

THAY DOl DANH SACH vI:NGUm CO LIEN QUAN(THOI DIEM L~P BAo cAo T~I NGAV30TRANG 06NAM2020)

STT TEN Co DONG Clnrc V\l tai Ngan hang (n~u co)Tho; di~m bit diu la Tho; di~m khOng

LydoNCLQ con laNCLQ

1 D8QuangHuy Thanh vien HDQT

2 D6 Dang Long Nguoi c6 lien quan Thanh vien HDQT Thang 04/~0 17 Thang 06/2020

3 Nguyen Phuong Thorn Ngiroi c6 lien quan Thanh vien HDQT Thang 04/2017 Thang 0612020 Mi8n nhiem

4 Le Thi Lan Hirong Ngiroi co lien quan Thanh vien HDQT Thang 04/2017 Thang 06/2020clnrc vu d6i voi

~ong D6 Quang--

5 D6 Quang Dat Nguoi co lien quan Thanh vien HDQT Thang 04/2017 Thang 06/2020 Huy t~

~N

6 D6 Kim Oanh Ngiroi co lien quan Thanh vien HDQT Thang 04/2017 Thang 06/2020 THUaNIlI~

~

~.--

~7 D6 Quang Thai Nguoi co lien quan Thanh vien HDQT Thang 04/2017 Thang 06/2020

8 Nguy~n Hfru Duc Thanh vien BKS

.

--

9 Nguyen Htru Nhiem Ngiroi co lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020-- ~-

MiSn nhiem10 D~ngThi Ncr Nguoi co lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020 chirc vu d6i voi

---- -- - -- ------ong Nguyen

11 Nguyen Hiru ch6 Nguoi c6 lien quan Thanh vien BKS Thang 0412017 Thang 06/2020Htru Duc- ._o'_ --

12 Nguyen Htru Dang Nguoi co lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020---,-.--.--------.-~-- -----------_._- '---------------- ----------------

13 Nguyen Thi N\l Nguai c6 lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020--------- '---- --_._-,--,--_._

Page 1

.'-:-.",~.

---

14 Nguyen Thi Bup Nguoi co lien quan Thanh vien BKS Thang 04/2017 Thimg 06/2020

15 Bui Thi Thanh Ngiroi co lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020Mi~n nhiem

chirc vu d6i voi_- I----~-----------------ongNguySn

16 Nguyen Duc Minh Nguoi co lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020Htru Duc

17 Nguyen Huyen Chi Ngiroi co lien quan Thanh vien BKS Thang 04/2017 Thang 06/2020------

18 D~ngT6Loan Pho T6ng Giam d6c-

19 D~ng Van Long Nguoi co lien quan Pho Tong Giam d6c Thang 10/2012 Thang 05/2020

20 Pham Thi Miti Nguoi co lien quan Pho T6ng Giam d6c Thang 10/2012 Thang 05/2020-- MiSn nhiem

21 Dang Sy Lam Ngiroi co lien quan Pho Tong Giam d6c Thang 10/2012 Thang 05/2020 chirc vu d6i voiba D~ng T6 Loan

22 Dang Sy Luan Nguoi co lien quan Pho T6ng Giam d6c Thang 10/2012 Thang 05/2020

23 D~ngHoaLy Ngiroi co lien quan Pho T6ng Giam d6c Thang 10/2012 Thang 05/2020 :~.~~

24 Vo GiaLinh Nguoi co lien quan Pho T6ng Giam d6c Thang 10/2012 Thang 05/2020 dAN(:\-;',," '):.g

,~V rN, N

~ONGQUANT~ HANQI.~ *NGU"mL~p KIEMSoAT

. NH~b1

~..-.i....it'·. _"

Nguyen Thi Hili Y~n Nguy~n Thanh Thuy

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