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CHUNG KHOAN DAU Kill PEMOVIETNAIA SECURITIES INC.

BAO CAO THONG NIEN TEN CONG TY iDAI CHONG

GONG TY CO PHAN CHUNG KHOAN BAH KHI

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Mani bao cao: 2014

PSI

CHUNG KHOAN DAU I011 1- 7170VP. 7,47.0.1 SE( IIH":1-S IN( SOO

PSI

BAO CAO THUtiNG NIEN Cong ty CO phAn Chivng khoan Dau Khi

Nam bao cao: 2014

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MIX LVC • Trang

THONG TIN CHUNG 4

THONG TIN KHAI MAT 4

■ QUA TRINH HINH THANH VA PHAT TRIEN 4

Thanh lap 4

• Qua trInh ghat trien 4

Nganh nghe va dja ban kinh doanh 5

MO hinh quail trj. T6 chiirc kinh doanh va BO may quanI9 6

11 DINH !WONG PHAT TRIEN

Can Muc lieu ChO yeu 8

Chien loon Pluid Wen Trung va Dai hen 8

Can Wan lieu dee vCri Mdi truths Xa hpi va Ong d&ng cue Con° ty 9

■ CAC RCII RO 10

ROI ro ve Kinh to 10

Bien Ong ye tang Intern kinh to 10

• Lam phat 10

■ Rip ro Lai sulk 10

Rai ro It gia Hai doal 11

Rai ro ye Phap !oat 11

ROI ro Ngudn nhan lye 1 11

Rai ro ye Cann tranh 11

TINH HINH KINH TE Vi MO VA THI TRUCVNG CHONG KHOAN VIET NAM 2014 12

Tinh hinh kinh t6 vi mei nam 2014 12

Thi Outing chOng khoan 2014 12

■ TINH HINH HOAT DQNG TRONG NAM COA PSI 13

TINH HINH HOAT EKING SAN XUAT KINH DOANH 13

Danh gla chi lieu Doanh thu va can ;ming hoot Ong chlnh 13

Danh gia Chi lieu chi phl 14

11111 Loi nhuan va Chi tieu An ban Tel chiral 15

TO CHUM VA KHAN St/ 15

111 TINH HINH DAU TU. VA TINH HINH THVC HIeN CAC DV AN 17

• TINH HINH TAI CHINH 17

111 CO CAu CO DONG, THAY DOI VON DAU Tlf COA CHIT SC? HC7U 17

BAO CAO VA DANN GIA CUA BAN GIAM Dec 18

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■ ■ 11. ■ DANH GIA KET QUA HOST DONG SAN XUAT KINH DOANH 18

Hoot dOng m6i gieri, luu ky. quan ly 06 dOng va dich vy lei chlnh 18

• Hoot Ong by yin 19

• Hoot dOng dAu tu I 19

■ Lot nhuen va chl tiau an town tat chlnh 19

NH SPIN TAI CHINH 20

• Tlnh Nth tai san 20

• Tlnh hIrth ng ghat tra 20

■ Nhang cal an v6 co au t6 ch&c, chlnh sack cyan It 20

Ke hooch phat tan trong nam 2015 21

• that trinh cUa Ban Giam MSc 061 v&i y kian lam loan 23

• DANH GIA COA Ho DONG QUAN TRI VE HOST BONG COA CONG TV 24

■ Dant, gia cUa Wu dong quart tn v6 cac mat hoot dOng cOa COng ty 24

Cac Ica hooch, djnh huong cUa HOi 66ng !wan tn 25

• QUAN TRI CONG TY 26

• Hui Bang quan try 26

■ Hoot dOng cga HOi d8ng quart to 26

Hoot dOng cua cac TiAu ban trongliOld6ng Quasi tn 27

• CAC GIAO DICH, THO LAO VA CAC KHOAN LOI ICH COA HOI BONG QUAN TRI, BAN GIAM DOC ■ VA BAN KIEM SOAT 29

WONG, THONG, THO LAO VA CAC KHOAN LQI ICH 29 • GIAO DICH CO PHIEU COA CO DONG NOI BO 29

• CAC GIAO DICH KHAC.. 29

•VIEC THI,TC HIEN CAC QUY DINH VE QUAN TRI CONG TY 29

BAO CAO TAI CHINH 30 •

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I us num Mg pa TIOPIMbeat SIKVittlEt

PSI

• TH•NG TIN K I QU T

■ • Ten giao dich: Cong ty CO phan Chung khoan Dau khi

• nutt cap ngay 19/12/2006 • Clay citing nhan Bang ky doanh nghitp so: 26/UBCK-GPHIDKCI do Uy ban ChOng khoan Nha

•• Van dieu 10: 598.413.000.000 oldng

• Von du to dm cher sr? hem: 598.413.000.000 dog

• • Dia chi: Tang 2 Ida nha 18 Ly Thvang Kitt. Ha Ndi

• • Sd dien thoat 04 39343888

■ • Sid fax: 04 39343999

• Website: www.osi.vn

• • Ma co poieu: PSI

• QUA MINH HINH THANH VA PHAT TRIEN

■ Thinh lap

Gong ty CO phan Chirng khoan Dau khi la tang ty thong khoan duy nhet thudc Tap down Dau khi Du& • gia Viet Nam - Tap doan kinh le Ian nhat Vitt Nam. Nam trong Da an hinh thenh Tap doan Dau khi au&

gia Viet Nam duct Thu twang Chinh phi phe duyet. COIN ty Ca phan Chang khoan Dau khi (PSI) duoc • thanh lap va duct Uy ban Chang khoan Nha neat cep gley phep hoat Ong se, 26/UBCK- GPHDCK vat,

ngay 19/12/2006 vai cac nganh nghe kinh doanh: Mai gitri chOng khoan. Ty van tai chinh 8 Dau tv thing • khoan. Ty doanh thong khoan, Luu k9 chung khoan. Bac lanh phat hanh chang khoan.

■ Qua trinh phat tri4n

Cong ty chinh that di vac) hoat dOng vao ngay 07/02/2007 vial Hqi sa chinh tai HA Noi va 01 chi nhanh • tai TP H6 Chi Minh. se yen dieu 10 IA 150 ty deny. TO- mOt tang ty Chung khoan non tit, bat chap nhang

kh6 khan dm ea tnytmg. (hang tram cua nen kinh to Viet Nam thtn gian qua. PSI da kh6ng ngOng (hay • deli va phat Men.

■ Hien nay, Gong ty da xac lap dvqc vi the virng chap tren thl Voting va tao ra Sc' khac biet Ian so vai cat tong ty chi:mg khoan khac, thong qua:

• Sc, Wei trOt ve Pith <10 chuyen men. chat Ivang to yen. djch vu vai clOi no chuyen gia hang dau.

■ • La dau mei men khai cat thoong vu Itrn vai cat don vj trong nganh Dau khl, gay bang yang ea ra trong va ngoai nutc, zing clang thuang hieu nganh Dau khi.

II • La deli tac hang dau Viet Nam coa cat dinh ch4 (Ai chinh Ion the gkai trong cat thvang vu ye du to. to yen tai chinh... tai Viet Nam.

• airr

• 2006 Chinh that duvet cep phep hoat dOng

• 2007 Chinh that di yea hoat dOng va ra dtri chi nhanh TP HO Chi Minh

• 2009 • Thanh lap hai chi nhanh rotri Tai VOng Thu va Da Mktg

• Cling tyd thuong hieu mei PSI

■ • Ap dyng he theng giao djch trot toyer hien dai cCia TongYang - Han Cluck.

• 4 •

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■ • 1111 cleat HS Mu KM

rt Tfl T 1Y M WinitS Pk

■ PSI

• zoio

• Tang Von Dieu le caa Cling ty tit 150 ty (long len 485 ty ((Ong vac) thang 612010. ve len 509,25 ty- ye° (hang 10/2010.

• Niern yet c6 phieu tren So Giao clich chOng khoan Ha NOi vao thang 7/2010

• • ThuOc nh6m 5 cling ly chang khoan co doanh thu dich \Ai tv vAn lOn nhet th; trudng ■ nem 2010. thorn 10 cac tong ty chOng khoan Ai lai nhuen cao nhet thi truing nem

2010.

• • Dal giai thvong thuang hitu noi tieng Ou6c gia nem 2010 ve danh hiOu Doanh nhan suet sec DAt vie! nam 2010 danh cho 02 ca nhen Ong BOINgoc Theng - Chia tick

• HOOT ve Ong Pham Quang Huy -- Giarn dot

• 2011 • Tang von dieu ie len 598.413 t9 clang thong qua viOc chao ban thanh cling 14,9% c6 phen cho tong ty SMBC Nikko (Nhet Ban)

• • Dal giai binh akin Cong ly to yen M&A tau biau va giai Cong ty c6 Thvang Yu phet henh deny le lieu bleu (vtri doi lac What Ban) tai Dien dan Mua ban - Sap nhep

• doanh nghiep 2011.

• • Dal gia' thuOng binh chon 'Bac) cao thutrng nien tot nhet 2010".

• Nhan giai thvong -Thvang hiOu nOi tong nhet ngenh chiing khoan tai Viet Nam • nem 2010 do ngvtri lieu dung binh chin" do VCCI t6 chem.

• Phoi hap yeti Dal hoc Newyork - Hoa Ky va don v; bao Ira fru* thong la Bao Deu • tv ChOng khcKin t6 chin thenh cling hdi than 'Chien IliSC SAP ceu cua cat doanh nghiep Viet Nam trong b& cant) kinh to hien nay'. •

• Nhart giai thvOng CAng ty Tv yen M&A lieu bieu gal clo?ri 2009 - 2013 do Dien dan • 2013 M&A 2013 trao tang.

• • Tr& thanh thanh vien chinh thin tham gia deu Neu trai phi& chinh phi nem 2014 2014

• • Doanh thu tie hoat Ong men giOi Val phi& trong Top 10 cera IN taking.

• • DAi tv yen tai ceu lruc cho town bO Tap Doan Deu khi

• Dan vj tht.rc hien thanh ding do an to yen IPO gen lien yed niem yet cho Cong ty • Phan ben Deu khi CA Mau (Dam Ca Mau) - and hinh Ten deu lien ditcm ap dung tel

Th; tnyang Chong khaki Viet Nam. • •

NOM) nyhe ye did ban kinh doanh • • •

•

•

•

MA gitri thing khoan:

TV doanh ch&ng khoan:

Tu vAn deu ttr, Iv yen lai chinh:

Lou ky chOng khoan:

Bao lanh phet hanh chOng khoan.

o

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Thanh ph6 Ha NOi

Thanh phi H6 Chi Minh

Thanh 61)6 Wing Thu

Thanh phi De Nen°

• • • • •

kinh doanh Dia ban kinh doanh

■ ■ CMAIG MOM DAUM

■ PSI

■ Me hinh quan tri, T6 chirc kinh doanh va Be may quan ly

■ MO hinh quan trj

■ D$i /76i a6ng c6 (long

hei ding c6 ding la ca quan quyen Nrc cao nhet dia Gong ty. baogem tat ca cac co deng so; hOu ■ c6 phap co quyen bieu quy6t Cong ty. Dai hOi d6ng c6 den c6 quyen: theng qua djnh hutng phat

trign caa COng ty: quyet djnh beu. men nhiern, bai nhiem thanh vien HOi deng Quail trj, thanh vien Ban ■ Kiem seat; quyet dinh ye viOc tang giarn von dieu les Cong ty: quyet dinh t6 chin va giai the COng ty va

cac quyen. nghia vv khac Theo quy dinh cua ph& loot va Dieu 10 t6 chic va hoot Ong COng ty

■ /10) (long Q1111111 FII

■ HOi &mg Quan trj le ca quan quail ly cao nhet ctia Cong ty. bao gem 7 thanh vier, co loan quyen nhan ■ danh Cong ty guy& djnh va thvc hien cac quy6n va Igi Ich herp phap cOa Cong ty. ngooi trio can yen

de thuCc th6ni quyen cua Doi hei &rig c6 Ong HOi dung Quail In do Doi hei (long co &mg beu ra veri ■ nhiem ky khong qua 5 nam. Quyen va nghia VcIctia HOi dung Quan tri dugs guy dinh co the toi Di&

le via Cong ty.

■ Ban Maim soar

■ Ban Kiem scat gbm 03 trial:1h vien do Doi hol bong cb tieing beu re, nhiem kt cua Ban Kiem soat khOng qua 5 nam. Ban Kiem soat dirqc DHDCD giao thvc hien quyen giam sat HOi deng Quart Tr!, Ban Giam

■ des trong viOc dieu halt quan ly Cong ty; chiu trash nhiem truerc phap lust va Dal HOi (Jong C6 deng ■ ye viec thvc hien cac quyen va nghia vy cea minh.

Ran Giam dot

■ Ban Giam 46c cOa COng ty do HOi dung Quan trj b6 nhiem. bao gon, 06 nguitri: 01 Giam d6c va OS Giam MC.

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Nam 2014. °Ong ty Ivan thank vitae tat cau trite tong ty chuyan sau han, tap trung vac) 03 khan Khat Djch At thing khoan. Khai Tu, An, KnOi van hank.

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DISH WONG PHAT TRIEN

Cac Myc troy Chu y6u

Tr& thenh cang ty chting khoan hang (I& Vet Nam trong cac linh vyc tu van, phan tfch va djch vy chung khoan. la 06i tat hang deu tai Viet Nam de cac to chic tai chlnh woo té

PSI cam ket thvc hien va then khai hey qua chief" luvc va 4 ho4ch kinh doanh trung va dai han nham bao tan va phat Men nguan van - tat san cOa Cang ty clang than too ra nhOng nguen 101 nun tOi tau va ben vOmg cho tet ca cac CO ding.

• PSI cam ket la mat dinh ohi tar chinh chuyen nghielp va fluting den vi trr hang deu ye djch vitt chOng khoan cho nhieu (Jai tuvng khach hang tren pham vi toan qu6c.

• PSI cam ket kik khat cac hoot (tang kinh doanh Neu qua dem lei nhUng 10 fch thvang mai va kinh to dal han va filet (hut cho tat ca khach hang - tong vai khach hang xAy dying va to ra nhOng tai san ben vileg.

• PSI cam kit the hien met net van haa Van acing va dap ON nhu ciu phat then sy nghtep lau dai va quyen Itn chinh Bang cUa tap the nhan nen PSI.

• La Cling ty chting khoan duy nhat thuac Tap (loan Deu khi Choc gia Viet Nam. PSI c6 nhiem vy hi tra tfch cunt cho djnh hvang phat than cOa Tap doan.

• Phat then tvang ximg vai thvang hieu. tam vac cua nganh Diu khi, lay nganh Day khi lam bong tarn, tang babe canh Vanh veri cac tong ty chi:mg khoan trong nverc va wan ra tam khu vac

• Tao ra sy khac bet gifts PSI va cac clang ty chi:mg khoan khac thong qua:

Sy vvcrt trai ye trinh dO chuyen men. chat lacing tv yin. Bich vu vai dpi ngO chuyen gia hang day trong ngAnh, sy am hieu Von von dal nal Doanh nghiep Dau khi;

c La du mai than khai cat thvang vy lan vbi cac dan vi trong nganh Deu khi. to d6 se day manh djch vy ra ngoar nganh, dac bet cac kit& doanh nghiep nha nuerc va coo doanh nghiep khac tren co so Mac/ cOacac C6 dang chien luvc vong va ngoai nut:

La dal tat hang dab Viet Nam Dia cac djnh cho tai chinh Ian ma trong cac thvang vu ye dau tv, iv yin... to Viet Nam, clic bet la cac thuang vu Yong nganh va khat Doanh nghiep Ian tai Viet Nam.

Chien !vac Phat trien Trung va Dal han

• Lay Tap doan Diu khi Vet Nam la (rang tarn.

• Lay djch vy va ken thine churl man say va nganh Diu khi lam nen tang ben \ming, la yew t6 (twat djnh sy {Mac het so vdri cat Gong ty chring khoan khac:

• Ley dau tv de tang tec phat Men khi c6 din ur kien;

• Lay al! twang phla Nam la myc lieu. deu tv phat then chi nhanh TP HCM thank diu tau phat than djch vy dac bet la mang djch vy kinh doanh cluing khoan.

• Ley nhan t6 con ngtrati lam hat (Man, cot con ngvai la tai san qi4nhat ciza Doanh nghiep. Cling ty djnh Wang phat then then ma hinh learning organization', vier

Quan dam chill luvc

Tam nhin

Sir menh

Chan diem phat thin xuyen suet

MANkNI D111RfI

hpc tap nang cao trinh dQ chuyen men duct khuyen khich. Van hoa hpc se dupe

xay dvng Wan toan he thong PSI:

• Ay ceng ngh0 thong tin la Gang cu quan trong, la xvong song ttong boat deng cea Gang ty.

• La mel trong nhOmg ding ty chivng khoan uy tin hang du tei Viet Nam. lb dal tat tot nhat dm cat nha ciao tt, quek to Lai Viet Nam. la nhjp tau kat n6i cac co hex clau tv tat Viet Nam:

• LA cOng ty mai glee trong nhem Top 20 thj trutmg va chat Ivcmg dick vu va thi phan.

• La ding ty chlYng khoan hang deu Viet Nam bong tinh vve to yen. lutIn c6 ten trong Danh sash cat nha tit van duct mai tham gia cat thuvng vv et An Ian tai Viet Nam. la doi tat hang deu tai Viet Nam cho cac to chin Lai thigh queic te:

• La t6 chin phan tich hang deu Viet Nam trong linh vve dau khi. nang Ivong, co Ipe luvng phan tich du manh do c6 the phan tich dint tat ea cac diem ben trong nganh, co hang Nei tren cat dien dan dau tis tai Viet Nam va khu vvc:

• Xay dung mar tasting lam viec chuyen nghiep vdri cat san phern, dich ye. guy trinh dap (mg dvcrc cat lieu chum va thong 10 tea Vi0t Nam cling nhv guck tac

• LA cOng ty ma cac nhan sv gi6i tren thi tatting mong muon &roc lam viec:

• LA Gong ty mang lai cab gia trj gia tang ye uy tin cho cat khach hang

Cat Myc ban ddi yen Moi trtrang, Xa hai va COng thing cern Cong ty

Thom gia va Clang gap tich cvc cc& vai viec bao ve mei trutng, vai phong trao an sinh xa hei cua Chinh phi} va cua Tap dean Deu khi Qv& gia Viet Nam.

Gal !loon 2014-2016

9

■ • II CHUNG IOWAN flu KM

■ PSI

• CAC ROI RO

•Rtii ro ve Kinh te

Rut ro ye kinh te IA mOt loan nil ro he thong c6 tac dOng aye Sep va gian bop den hot dQng san xuat kinh

• doanh dm tat ca cat doanh nghidp haat Ong trong nen kinh te, thOng qua cac ca the lac dOng den t6c dO tang truing GDP, lam phat lei suet ngan hang va ty gia hei doai.

• Hau het cac doanh nghiep trong nen kinh te deu c6 nherng rill ro lien quan den Wing bien Ong bet lei

•c0a nen kinh a Dec biet dei vbi cat t6 civic host dOng tren thj trtrtyng cn&ng khoan (TTCK)nhe cac tO chef tat chinh, quy au tv; °Ong ty chetng khoan so- bien Ong cCia nen kinh te se co anh twang tett thi

•tai sty thanh bai caa cac tong ty trong nganh.

Bien Ong ye tang trutng kinh te

• Tang truing kinh to la chi tieu kinh te tong hap ant) huerng trvc sap den thi truang cheng khoan. Trong

•thtri ky nen kinh te tang truing tte cling yeti nheng teen %tong sang sua se kat) theo sv tang truing va phat trien Giza Wong chi:mg khoan. Trong b6i canh nay, cat nha eau to. cac doanh nghiep kinh doanh

III trong linh vvc thing khaki deli duet huemglot Tuy nhien, nen kinh te va thi truing cheng khoan khOng

phal lac nao gang ghat trien thean kyi ma ludo tern An nheng nit ro nh6t djnh. Khi cO mS de cloa den sv

•On djnh va phat triOn kinh te, thi tretrng cluing khoan At se c6 Oar, eng lieu CVC. d6 la so suy giam ca ye chi se gia, ca ye tinh thanh khoan ctia thi treeing.

• Haat don cua cac tong ty cheng khoan trong met axing moo nao dO se bj anh huong nha doanh the caa host dQng mei gibi se bj giam set trait lien do thanh khoan &a us Strang kern hem.

• Ben canh deo. boat deny tut yen tat chinh doanh nghiep nht I . Kr yen cO phan boa, tv van phat hanh. niem

•yet cluing khoan... cling se bj anti twang. Float dOng tv doanh cheog khoan c6 the se de tat khoan 16 neu vec mua, ban kh6ng thing thin diem do khOng nhan eh dung diet' bien tea thj twang. Tuy nhien,

•thbi ky nen kinh te khi khan la' la co hOi tot cho mOt 56 d!ch vv tv van nha mua ban, sap nhap doanh nghlep, bao lank phat hanh. va (ham chi la co hei rat tot cho host dOng tv doanh thong khoan nhb du

•te b tiling gia thAp va hien tturc hoe lot nhean a Wing gia cao.

Lam Oat • Lam ghat la met Song nheng y4u to kinh te VI mO quan tong, ch mei quan he mat thiet vbi sv On dinh va

•phat tri4n via nen kinh te. Nen kinh te phat tritm thutrog di ddt vbi lam phat. Tuy nhien, lam phat cao 1st la nguy co gay bet On de vbi skit phat then kinh te, xa hex. do de tac dOng rat bee cvc den thi truing

•thing khoan va cac doanh nghiep hoot dOng trong anh vvc cluing khoan. Lam phat cling la mOt loci nii ro he thong, do d6 vuot ngoai pham vi dies) chinh dm doanh nghiep. Bien phap phOng nwia reit ro IA lam

•tot Gong lac dv bao, ben lieu cac tinh huong ye chit dOng trong host dOng kinh doanh cea minh, tranh bi anh hutting do Ism phat gay ra. De Ranh nil ro nay. COng ty co Oen Chung khoan Dau khi da c6 del ngei

•cheyen gia dv bao kinh te vi mb de thuteig xuyen cap nhat cat thOng tin lien quart. phan tich, danh gia kha nang lam ghat tact, de oo chien luoc kinh doanh phi) hap. Them nii•a. IA dan vi trong Nganh Dee khi

•di (boo Chien Ivac tea Tap loan Deli khi, PSI c6 ca hei titip c4n vbi cac nguen se liOu va luong thOng tin

Bang tin c$y cho ding lac dv bao tea minh.

• ROI ro L5i suet

• Lai stet la mot yeu te rat nhay cam <16i vbi nen kinh te, anti huong trvc tiOp den Het kiem, va deu Iv. san

suet kinh doanh tea cat doanh nghiep not chung va cat doanh nghiep kinh doanh trong linh vvc cheng

211 khoan ndi rieng, tang nhv cac nha clau Kr cheng khoan.

Doi yeti cat doanh nghiep kinh doanh thong theerng, nit ro lei suet >tale ra khi lei suet thj Inking tang. lam

• tang chi phi boat dOng va giam kyi nhuan tea cac doanh nghiep. Rieng dei vbi cac moan hang thvong mat va cat to diet tin dung, rei ro lai suet con c6 the xuAt hien ngay ca khi lai suet thj truing giam 01

• nget ',goat do tinh. (061 yeti cac Ctog ty cheng khoan tham gia thj truing vbi tut oath la mot nha clAu tv &Ong khoan, khi lei suit tang se tat nit ro vl gia co phAn sut giam do tac thing kep to hieu qua kinh doanh

• cue cat doanh nghiep giant va dOng yen vact thj twang cluing khoan gam sat.

• 1 0 • • •

■ Nis ski Mu NM ■

• R' ro Tt gIA Hbi doSI

■ COlig ty ChOng khoan Dau khi it O tat Ong trvc tiOp a's so bier Ong ti gia. Tuy nhien, hot Ong kinh doanh c6 tha bj anh hvbng 6 mOt met dO nhat djnh thong qua sv tao Ong den thj Putting chirng khoan.

• Ti gia hOi doai lac dOng dang Ice den nen kinh le va (hi (rating chimg khoan Meng qua lac dOng tai cac

doanh nghiep xuat nhap khAu, can can thanh toan ve sv di city* cua cac nguOn von dau hr Theo ca

• the quan 19 hien tat II gia than anh quan he cung cau giCra cac don vj ten te khac nhau va dst dual sv

quan ly. Bleu bet cite Nha nverc. Wren vy cOng tat (pan 19 ti gia la bao darn sv 6n dinh tier te va Ii gia,

• phyc sv nghiep that trier kinh te xa hOi.

■ Rol ro ve Phan lust

PSI hoot dOng Wong linh vvc chting khoan, mOt linh vvc con meri va nhay cam. co anh twang den dbi

• song kinh te xa hOi. Hoat dOng cua tong ty chirng khoan bl diau chinh trvc bleb beri he thbng cac van ban 04 It* cua Qv& hoi, Chinh phi), B0 Tai chinh, cac BO nganh va cac ca quan chOc nang lien quan. Do

• chCrng khoan la mOt linh vvc meri 6 Viet Nam non he Sing 'vat con dang dukrc (hay dbi, PO sung va hoan thin. Mac 0 Nha nverc da ban hart!, va ap dyng mOt se chinh sach bat Ici cho hoat dOng kinh doanh nhv chinh sach thus thu nhap dta 01 hoat dOng dau tv, nhung TICK van khOng giam di sv hAp dAn,

thanh khoan cua (hi truong van gia tang. Nhin chung, loci rui ro nay thatmg it xay ra vi xu huong chung

• IA Nha ntrOm ngay tang ban hanh cac quy djnh phap luAt thong thoang, lao dieu kien thuan lai han cho cac doanh nghiep va hoot Ong kinh doanh

• Ngoai ra, hoat dOng cua PSI sung nhv cac doanh nghiep khac Pen trt Inferno chung khoan chju sv chi ■ phbi trvc fiep cua he thong ;Map lint lien quan nhv Luat Doanh nghiep. Luat ChOng khoan, Luat Diu fir.

Lust Tnue.... Do vay, ngoti nit ro lien quan den sv thay del. di& chinh cac van ban lust ye link vvc chOng

•khoan, con ton tai nhirng rui ro khac lien quan clan vise thieu tinh &Ong b0 va nhet quan gi&a Luat chOng khoan va cac lust lien quan.

• De phOng thong nit ro nay, PSI luth c6 60 Phan Phap the theo dol. barn sat qua trinh xay dung cac van ban phap lust de don dau co hOi ve phong tranh troac rill ro.

Canh tranh IA quy lust tat you trong nen kinh 14 efi tratmg, nO luort tOn Lei trong bet ar mei throng host

•Ong kinh doanh nao. Theo thong ke cua Cling ty c6 phAn Chung khoan Dau khi, tinh den that diem hien tat tit 105 Ong ty chung khoan nay chi cOn 81 tong ty Ming khoan aa duct cap phOp va boat Ong.

•Tuy Mien, cuOc canh tranh gianh (hi phep dang dien ra kha gay gat. co to&

CuOc canh tranh ve giam met phi djch vy nhAm thu hid khach hang, gianh thj phap: • Canh tranh chiem linh dia ban kinh doanh thuen

Canh tranh ye viec dau tu. trang lac cOng nghe Meng tin hien dal, • Canh tranh trong vise sang too ra cac son pham. dish la) men. hap dAn cac nha dau tu: ■ Cant, tranh nhan sv c6 chat lacing cao

tt

• • •

PITOOVIIMUAI RCIPeTtlit INC

• Ngoar rUi ro phap ly ye lust phAp not chung, trong hoat dOng cua cac pang ty chting khoan can 0 losi rei

■ ro phap ly phat sinh tv sv xung dot ye buyer, va loi ich giCra COng ty va cac &Si tac hay khach hang 0 the gay nhirng bet Icti cho Gong ty. De phOng tranh rei ro, Carlo ty C8 phan Chling khoan DAu khl luen

•0 thai dO (On trong va chip hanh phap lust mOt each nghiem luc. Cdng ty c6 cac chuyen gia phap ly giOi, giau kinh nghiem fro 910 cho Ban Lath dao Gong ty va cac 60 phOn. phong ban cua COng ly hoat Ong

•theo dung cac quy dinh 0a phap !oat, thao ger nhOng khO khan ve phap 19 CO the xay ra trong qua tr1nh

hoat Ong. Vi nhirng 19 do d6. COng ty co toe kiem soot, han the ter da duct Ioai rUi ro nay.

• Rai ro Ngu8n nhan Ivc

■ Trong linh vvc kinh doanh chOng khoan, nhan t6 con ngu6i c6 vai tit suyet djnh. Chong khoan la! la mOt

nganh kinh doanh mdri nen nguen nhan hic c6 kinh nghiem con rat thieu. Do d6, nguen nhan No cOrrg la

•met yeti t6 canh tranh kha manh. Trong &Au kiln canh tranh kha gay gat ve than sv trong nganh chung

khoan, PSI An darn bao Sc, 8n djnh va phat then nguen nhan Ivc 0 chat !yang cao, tinh than down ket,

•On 0 vai Ceng ty, va dap Ong you cau boat dOng kinh doanh ngay tang phat then.

■ ROI ro ■re Conti tranh

■ ■ cxipfCISxSW me

•PSI

TINH HINH KINH TE VT MO VA THI TRITeiNG CHUNG KHOAN VIET NAM 2014

■ Tinh hinh kinh to vi me nam 2014

LAI qua bac tranh toan canh nen kinh le vi me Viet Nam 2014 co nhOng diem sang ben canh nhOng

• kh6 khan, thach tht nhut:

■ Nam 2014 GDP ce nuac at tang 5.98%, cao han so vex' chi Ilk Chinh ph0 dat ra lit du ram 2014 ye cao turn tat ca moi da bao cua cac t6 chile trong va ngoei mac. CPI (hang 1212014 tang 1,84% so yeti

■ cOng ki nam ngoai, rnt lam ghat nam 2014 la Map nhat trong %trig 10 nam tree lai day.

Tong thu ngan sach Nha ntrc tit: du ram den thor Cam 15/12/2014 dat 814,1 nghin 19 dng. bang 104%

• du loan nam. thu tie diu the dot 98,1 nghin t9 deng. bang 115,2%; thu can ddi ngan sech tO hot dOng xuat. nhOp khau dt 160.3 nghin t9 dong, bang 104,1%. Gia dau tho giam manh chi) yau (Cr thang 12.

• cram kip c6 tac dog anh hutng tan thu ngan seek. Tong chi ngan sach Nha nut ta dau nam den th6i

diem 15/12/2014 ut tinh dat 968.5 nghin tip dang, bang 96.2% dv loan nam, trong Q6 chi tre no ve vien

• op' 120 nghin tjr deng. bang 100%.

•Tinh chung ca nam 2014, kim ngach hang h6a xuat khau dat 150 t9 USD. tang 13,6% so veri nam 2013. trong Q6, khu vac kinh to trong nut Qat 48,4 09 USD. khu we pa van eau Its nut ngoai dal 101,6 19

•USD (gem ca du the), va dat 94.4 1.9 USD (khOng ke du the). Tfnh chung nam 2014. kim ngach hang hOS nhap kheu uac tinh dat 148 19 USD, tang 12.1% so vai nam Out, trong 66 khu we c6 von ciau tv

•nverc ngoai doi 84,519 USD. tang 13,6%; khu vac kinh to trong mac dat 63,519 USD . nhu vey ca nut nam 2014 xuat sift 2 t9 USD. rieng khu vvc kinh te trong nut nhap slat, han 1519 USD. phan xuat Neu

•yeu nam a khu vac du Iv mac ngoat

Tee dau nam den that diem 15/12/2014. du Iv trvc tiep cOa nut ngoai thu hOt 1.588 dv an Out cap • phep mai vai sa von dang k9 dat 15.642,6 trieu USD, tang 24.5% ye so da an va tang 9.6% ye so von so

vai cOng ky nam 2013. Deng then c6 594 Vat do an da cap phep tit cac nam tat Qat cap von b6 • sung veri 4.588,3 trieu USD. Nhtt vey tong van dang k9 cua cac dv an cap inCri va van cap 1)6 sung dot

20.230.9 Viet, USD, tuy Om 6.5% so vai cOng kjr nam 2013 nhvng cao han 19% so vat Ice hoach. Von

• clau to tn,rc beg nut ngoai thvc hien nam 2014 vac tInh dat 12,4 19 USD, tang 7,4% so veri nam that

va cao han 19% so ven Ice hoach nam 2014.

• TO den ngay 19/12/2014. tang phuang ben thanh loan tang 15,65%. ye huy dOng van tang 15,15%.

•trong 06 huy dOng van bang VND tang 16,31%. Tang trvang tin dung nam 2014 dv kien dot chi lieu Binh twang 12 - 14% d ra fir du rem: Irony do, den ngay 19/12. tin dung tang 11.8/0 so vai cuei nam 2013.

Thi truong chirng khoin 2014

■ Thj Wang chOng khoan Viet Nam nam 2014 65 dial, Bien rat kha quan xet ye cac phuang titan t6c Q0 tang chi so, mat dO on dinh, khei luang giao dich va phen anh kha re net nhOng chuyen bien lich cvc

• trong nen kinh te. Thj twang phat trien theo chleu hvang tang (rutting, mac du xen ka nhting khoang they chin germ Chi s6 VN-Index da lap dinh tai mac diem 640.75 (Nay 3/9) sau ghn 6 nam dat Out, trong

•khi chi so HNX-Index aing da lap clinh tai mac diem 92,99 (ngay 24/3) sau &mg 3 nam. TInh den ngay 0811212014. chi so VN-Index dat 571.68 diem tang 13,3% so veil cue' nam 2013. con chi so HNX-Index dat 87,17 diem tang 28.5% so veri cuiSi nam 2013.

Tinh den ngay 08/12/2014, tang gia trj giao djch town (hi twang dat 1.164 nghin deng, tang 90% soya

• nam 2013; gia tri giao dich binh quan m& phien dot 5.448 t9 &mg. trong do gia tri giao djch co phieu,

chirng chi qu9 binh quan mai phien dat 2.971 t9 &wig. cao gap 2.2 [an so vai nam 2013.

• • •

• Tong gia to huy Ong van qua TICK nam 2014 vac dat 237 nghin dem tang 6% so ven cOng k9 nam

•2013 va dOng gap 27,1% tang von dau tut loan xa hei, Irony Q6 t6ng gia VI huy dOng qua phat hanh Tire phleu Chinh phe vac dot 214 nghin t9 ding, chiem ty tong 90% tong gia tri yen huy dOng va gan Nang

•dvang yen mac huy dOng von k9 lye Irony nam 2013.

•

12

CMS KIS

TINH HINH HOAT BONG TRONG N M CUA PSI H H NH HOAT DONG S XU T KINN

Key qua host Ong son xuat kinh doanh trong nom:

Don vi firth: VND

SIT Khoin nnic KO hooch

2014 Nam 2014

% TH so 1. 01 KH 2014

Nam 2013

% TH 2014 so 1.61 Ili 2013

I Tong doanh thu 80.0 97.0 1213% 150.6 64.4% 1 Doanh thu DVCK 34.3 56.0 163.1% 39.2 142.'6

I

L Wtii cling khoin Luu Ice chimp Moan

10.8

3.0 22.7 209.9% 10.7 211.1%

2 5.3 177.3% 3.1 173.t/o Ettch vo TM chinh 20.5 28.0 136.4% 25.4 11011% Doanh thu tau 1w CK, Op win 7.1 15.7 221.4% 67.7 23.2% Doanh Mu Writs 29.0 14.7 50.7% 28.7 51.2% Doanh thu MSc 9.6 16t7 110.9% 15.0 70.8%

I Lai tin gin 6.4 5.0 78.8% 10.2 49.5% 4.2 PVN Index 2 . 7 3.6 163.6% 2.6 138.8%

.3 Khac 1.0 2.0 201.0% 2.3 89.0°./0 [I Tong chi phi 75.0 92.0 122.7% 148.0 62.2%

III 141 nhucin tnthc thoe 5.0 5.0 100.4% 2.7 187.6%

Dapiti gli chi tiou Doanh thu vi cac Ming hoot dOng chlnh

Heat d6ng mei glen, No k9, quan 19 e6 dong vi dich vu tai chink Mang hoot Ong nay bao g6m cac chi lieu doanh thu moi gibi, doanh thu No kt va quan 19 o6 (Song ve 1 phin doanh thu khac. Cy the nhv sau:

Nam 2014 la mot nom c6 nheu ben dOng tich cat to non nhigu ca hOi cho nha dau tv. TTCKVN CO sv tang twang ca ve gia trl giao dich va Urn thanh khoan. VN Index ket thk nom 2014 dot 545.6 digm tang 7.5% so vbi then diem 31/12/2013, HNX Index tang tel 67,84 diem len 82,98 digm (yang dvcrng tang 18,'F4%. Nam 2014. cOng vied sy tang tnrimg tich cvc cOa thj trvirng. loan the Can bO PSI da c6 nhiing ninlyt kh6ng ngang glOp din doanh thu hoat dOng MN gibi an PSI vvqt kg hooch de ra.

Ting doanh thu cOa KhAi DVCK nom 2014 dot 56 t9 d6ng, vvcrt ke hooch vbi tie le 163.1%. Trong d6 Doenh thu mai gibi 2014 dot 22.7, t9 deng, vuat kg hooch clau nam vbi t9 i4 209.9%. Doanh thu Iuu ye quan ice co ding ve doanh thu DVTC Ian !vat dot 5.3 t9 d6ng ve 28 t9 ding, vtrcrt ke hoach yin t9 I0 171.3% va 136.4% do PSI da Sp dung chfnh &Itch djch vy nhat quan, linh hoot theo Mj trytmg, dap taw tat nhu ceu aia khach hang deu

Hoyt dgng Tis van va Bao Ianh final hank Doenh thu hr van trong nom 2014 dot 14,7 t9 nano, dot 50.7% so vbi KH nom de ra la 29 t9 ding va dot 5142% so vin ding icy nam ngotti. Nam 2014 la nom deu betel PSI by dung m6 hInh he win men, do d6 vigc th4 d6i ca Stu quan 19 va con nguiri trong Kh61 bong thin glan thir nghiem da gap phai khong it kh6 kh4n, din den viOc thyc hien va Men khai hqp d6ng tu win chug! mang Iii Neu qua thigt thyc nhv mong d . anh hating den kit qua kinh doanh aia Wan !Choi. Ngotli ra, do anh hating c6a cac y4u t6 khach titian nhv via 461 Luet dau theu cOng nhv qua trinh trInh xln 9 kIgn cOa BO ban nganh lien quan bj keo

13

■ • III CHAS kIIOAM ;AU Km

■ PSI

•dal da anh hinny rat Ian den ben da va kat qua nghiam thu hqp Ong Oa PSI. Tuy chin dot auto chi tieu ke hooch Mir mong muon nhvng PSI da chang US nhing no lot kheng oiling trong vino cal thien

In chat Ivong tv van.

DO val host dOng ngoal nganh, PSI cOng da ky kat Ow kha nhieu cac hop clang tv van co phan h6a II cho cac Ong ty, dac biet tai thi Voting phia Nam, nang cao uy tin cOa PSI. Tuy nhien, lino quy djnh dm

.phap lint ye chi phi c6 phan h6a bj gib, han Theo quy ma von doanh nghiap, nen mac dit s6 logo hop Ong ghi nhan la cao, nhong tong gia to doanh thu chin dat &roc nho ki yang.

• Del vol hoot dOng tv van mua ban 0 sap map doanh nghiep, PSI An then khai theo clang kA hooch da dinh hutng. V61 myc tieu tap 'rung khai thac tot thj trvang trong riganh nhung kin kheing 66 qua cac co

• hoi phial then thi trvang ngoal ngenh. hoat dang Itsvan M&A mat mat luon tich cvc then khai to yen thoai von tim co deng °hien lot cho cat tong tong ty ma tap doan dang eh nhu cau thoai von, mOt mat. barn

II

sat nhu tau thi truing, cac de an tai cat, trite cin cac tap doan va cat tong Ong ty Ian khac cua nha mien, butt dAu gat hat duct nh&ng thanh cling va ghi nhan duct uy tin tren thi tru&ng. Tuy nhien. vdci

• dac the °Oa hoot dOng M&A va mat s6 thou kian khach quart (KA hoach bj hoan then khai. hqp Ong bj thorn k9 kat, v.v...) ma mang M&A trong nam qua da khOng ghi nhan duot doanh thu nho Ice hoach. Tuy

• nhien, clu• kien trong quy dau 2015. v6i no lot vocii bac cOa toan the ban lanh dao ve nhan wen on khei

to van, die kien boatdeng M&A se ghi nhan duct nhieu kat qua kha quan vai vitt hoan tat mdt so hqp

• Ong to van Ian.

IIII Va cling can phai kheng dinh la, cho den nay, PSI da xay Ong dine deli ng0 to van c6 trinh de cao, CO

kha hang dap (mg yeu eau Oa thj inning trong nuerc 0 kat n& &roc vat cac t6 critic to yen tai chMh

.hang dau the gitri. Cling val str h8 tro to Ian to OS tic chien lutc SMBC Nikko, thong qua 02 co van thirang Vitt tai PSI trong suOt 4 nam vita qua. so hop tic ye nghiep vy va mang [yeti giOa hat ben da

.gap phan Ova vi the cita PSI len tam cao rndn, nhieu to chin tai chinh 16m tren the gieri da chit dung tim den vat PSI ngay tang nhieu hon. C6 the khang djnh, cat nha dau to Nhat Ban tim kiem co hal day to

El tai Viet Nam thong qua SMBC Nikko va PSI dang ngay tang nhieu hon, hen hen kha clang thanh cony cao trong boat Ong tv van M&A trong nam 2015

• Hoyt Ong Dau to

III • Tang doanh thu (Cr hoot dOng dau tv nam 2014 la 15,7 (9 dat 221.4% ke hooch giao dAu nam. Trong

0 doanh thu tie lei tv doanh 7 t9, doanh thu to co tic 5,8 tit. doanh thu UT haat dOng hop lac dau to,

.UTOLV dat 2,9 t9 Ong.

• 06i yeti djch vy hqp lac dau Iv. tong ty da thvc hien thanh 19 loan 1)0 cac hop Ong vot khach hang.

• thvc hien thu von va at dOng theo kO hoach.

IS • Bich 0 ay that quart 19 van dot wanly chat che, dam bat tInh phap 19 cao. xa , IV cat tinh huting

phat sinh kjp thtri, hiOu qua

• • COQ veri nh&ng Nguty ai dien von, cap nhat danh mvc dau tu - , lap bat cao day da, kjp thtti boo

cao lank duo.

El Hoit deng thoai von danh mvc OTC butt dau da c6 nherng ben chuyen Lich cin (giant dint 24% tong

.gia tri dau to OTC so vei th&i diem dau Om 2014), tuy nhien van chva dat yeu tau do danh rho chit yeu On tut lit qua khir va do ngu6n nhan Ivc can han the trong vier chi) deng lao ra co hell thoai von.

E l Danh gib chi lieu chi phi

•Trong nam 2014, ngay tiv dau nam, sac djnh thj truing van can nhieu kh6 khan. PSI da chi*, dOng tiep tyc cat glarn cat khoan myc chi phi. gran tien dO cat Shoat) dau tv chin Mtn sv can thiet song song yeti

11 tong tat tai cat, We Citing ty. Cu the, chi phi boat dOng thviang xuyen dm COng ty cm tiet giam dint 33%

so VOL nam 2013

• • • 14

• • •

■ ■ M one MOAN DAB

■ PSI

111 Loi nhuhn vh Chi tiOu An Wan Tel chinh

■ Nam 2014 Cong ty dat &roc 5 ty dOng lot nhuan. dat 100% 4 hoach SHOCD giao. Chi tido An loan tai

chinh tat ngay 31.12.2014 cua Cong ty la 234%. dat ear, mire yeu cau t6i thieu (180%) theo quy Binh cOa

•Oy Ban Cluing khoan Nha

TO CHOC VA NHAN Sly

• Danh sach Ban (lieu hank:

• Bi Hoing Hai Anh - Chi/ tjch HMI

• Thac sy Quail tri kinh doanh 12 nam kinh nghiem trong rinh vyc tai chinh, chi/rig khoan

•• 7/2007 - 7/2010: Ph6 T6rtg Giam /Mc CON ty CP Deu to ya Tu yin Tau chinh Deu khi

• 812010 - 05/2013: Ph6 TOng Giam d6c Cong ty CP Ching khoan Deo khi.

• • 2013 den nay: Chu tich Het ()Ong Quan trj Cong ty CP Chong khoan Deu khi.

• Ong Pharn Quang Huy - Uy vien HOQT. Slam doe

• Thac sy Quart tri kinh doanh, 19 nam kinh nghiem trong linh we Tat chinh. Ching khoan:

■ • 10/2003 - 5/2009: PhO Tang Giam Mc Cong ty Ch'ing khoan Bao Viet.

• 6/2009 - 10/2009: Ph6 Tong Giam &SC Cong ty CP ChOng khoan Deo khi.

• • 11/2009 den nay: Gam d6c COng ty CP Ch'ing khoan Deu kb/.

• Ong Cohn Thant) When - Lly vien HOOT chuyan trach

• Thac sy Lust hoc. 19 nam kinh nghiem trong linh vVC phap lust: luat doanh nghietp, lust chUng khoan ye cac nganh luat co lien quan.

•

▪

1995 - 2007. Clang vien Tat&ng OH Lust

• • 2007 - 20091PhO phong phb trach phang Phap the va KSNB C6ng ty CP Ching khoan Bao ViSt

•• 2009 - 2010: Giam (Mc Ban TCHC&PC Citing ty CP Chi.mg khoan Deu khi

• 2010 - 2011: Truteng ban TCNS Tong COng ty Tai chlnh CP Nu khi VN

• • 2011 - nay: uy vien HDQT chuyen trach. COng ty CP Ching khoan Deo khl

• Ong Nguyen Van Nhihm - Touting Ban Kelm soft:

• Thac sT Tai chinh K4 loan. 18 nam kinh nghiem trong linh vvt Ke toan ya Kiem loan.

■ • 12/2006 dOn nay. ram viec tai Cong ty CP Ching khoan Dau khi qua cac chit vy Ke town trueng,

Trufrng Ban Kiem soat

• Ong Nguyen Xuan Hung - Ph6 Giam doe

• Thac si Quart tri kinh doanh. 20 nam kinh nghiem trong enh vue tai chinh, thing khoan.

•• 8/2007 - 412009: Gam d6c Ban Deu to - Gang ty CP Ching khoan Deu kb/

■ • 512009 den nay. Ph6 Giam /16c Cong ty CP Ching khoan DAL/ Of

■ Ong Iran Meng DOng - Phe Giam d6c

'nen s9 Kinh to, 21 nail) kinh nghhm lam viec trong Thp down Deu khi Qut6c gia Viet Nam. trong dO co

• 8 nam kinh nghilarn trong linh vvc thong khoan.

15

• • •

On Ti

•

■ ■ U • U

• U

• • ■ U

• U

U • U

• •

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• U

•

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CHING MAN eau xic

PSI

• 2007 den nay. PM Clam 66c Gang ty CP ChOng khoan DAu khi

Ong Mal Trung Dung- PM Giam d6c

Th@c si tai chinh - ngan hang. 13 nam kinh nghiem trong link win cheng khoan va thi trveng chirng

ian

2002 - 10/2013: Ph6 Giam d6c Cong ty TNHH ChtYng khoan Ngan hang Ngoai thuong.

11/2013 den nay: PM Gam Mic Cling ty CP Chien° khoan [Au khi.

g Gang Minh Quang - Ph6 Clam d6

n si Quin tri kinh doanh, 16 nam kinh

2008 - 2010: Clam Mc Ire hooch chi

04/2010 - 102013: Cly vien Hai dal San HA.

11/2013 den nay: PM Gam Co

e

nghiem trong anh %Arc tai chinh, chimg khoan

en two va ghat tri&n he thong - Ngen hang Bao Vint

rig guan to kiem Ph6 Tang Giam d6c - Cong ty CP Qs& to

ng ty CP Chung khoan °au khi

BS Thai Vi at Anh - Ph6 Giam 66c

Thac sy guan trj kinh doanh, 11 nam kinh nghiem trong enh vyt tai chinh doanh nghlep ye chtimg

khoan

2010 - 11/2014: Ph6 Giam Mc, Gs' m d6c to yen phy each K, van mua ban va sap nhap doan nghlep -Gang ty Co phAn ChOing kl can DAu khi.

12/2014 den nay: PM Giam d6c CO ty CP Chung khoan (Mu khi

Oa Dinh Thl Lan Phtrang -K6 toan Truong

Cu nhan Kinh T6 - Nganh Tai chinh Tin cl pig. 12 nam kinh nghiam trong linh yin lie loan nganh chin: 9 khoan

• 7/2010 : Ph6 PhOng Tai chinh k6 toan - Clang ty CP Chiing khoan Day khi

• 23/08/2013 den nay: K6 toan trutng - Cling ty CP Chung Khoan [Au khi

NhOng thay d61 trong Ban Dieu hanh

Thang 12/2014: B6 nhiem Ba Thai Viet Anh gi& chirc vy Ph6 Clam Mc Clang ty CP Chting khoan DAu khi.

So lircrng can be, nhan vien tinh den ngay 31/12/2014: 146 ngureri (khOng bao 96m 5 M6i gibi OM hien khach hang)

Try si• 116 nguti

Chi nhanh HCM

20 ngirth

Chi nhanh VOng Tay 6 niguen

Chi nhanh Da N5ng

4 nguitri

16

Cac khoan 06u tv ion: Tinh clan the/ 2014, ngoar yiec thoai thank tong dal phieu PV Machin veti tong VI gia clAu giam 32%, Wang Ling Om 123,5 nit can 43%.

Cac tong ty con, tong ty lien ket: Kt)/

H HINH TAI CHINH

•

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Cad SW

ing gia tri tai san

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diem hien nay tong gia In dau hx: 259,5 ty' h myc chcing khoan niern yet, Cong ty de th to 79 nicl6rig. So yftri then diem 31/12/2013, Ong. ti6p tyc dva t6ng gia In dew ty Van v6n

ding. Trong nam oai von loan b0 c6 ttng gia trj diu to

so hug xu6ng

Ca CAU CO DONG, THAY 001 VON DAU TV CUA CHO SC7 HOU

S

S

S

Ca

phan

co phan clang Jut hanh

c6 phan tv do chuyen ninsceng

c6 phan han the chuyen nhvvng

• c6 dorm

59.841.300 co phan

59.841 300 c6 ph6n

0 c6 phan

mks =AN BAe oi rt- $40/1•TItS OK

PSI

TINH HINH OAU TV VA TINH HINH THVC HIEN CAC Dl/ AN

■ ■ ■

• • • • • • • • • • • • • • •

ng GO

Nam 2014 Nam 2013

Don w ;Inn - VNO

% ta • • lam

813,844.326,607 927,002,332,007 88%

97.034,154,119 150.637.051.780 64%

7.135,458,827 5,054,666,887 141%

5.021.994,582 2.676.010,726 188%

5,021.994,582 2.676,010,726 188%

■ U

U

• • • • • U

• • •

STT

1

2

3

4

5

6

7

8

C6 &mg

SMBC Nikko Securities Inc.

Gong ty CO phan Quan ly Quy c1au nr Sai Gan - Ha NO1

Ngan hang TMCP Del Chong Viet Nam (PVcombank)

CTCP DAL, to. ya Kinh doanh Tar sari Viet Nam

Cdng ty CP Dau tv Tai chInh Cong Doan Deu khf Viet Nam

arc-1g ty CO phan Quan ly Quy Cat Viet

Cong ty CP Du rich bran My Khe

C6 riOng khac

• Tinh hinh thay 06i von ddu Pi cS chi, so hire Khang co

• Giao dich c6 phiau guy: Kheng co.

• Cac chung khoan khac: KhOng c6

Ti I+

14.90%

14 47%

9.43%

6 75%

6.68%

13.39%

4.68%

36.07%

17

■ ■ • • • • • • • • ■ • • • • • ■ • • • • • • • • •

RI CHUNG KNOMI OALI 1011

PSI

ir471 71 Frei I MIEN MI DASH GIA K QU HOAT DONG S XUAT KISH DOANH

Kat qua hoat dOng san xuat kinh doanh trong nam:

Don vi Only TV VW) ="( Khmin mot Kt hooch

2014

Nam

21114

% TH so sin

KH 2014

Nairn

2013

'VG TH 2014 so

vii TH 2013 Tang doanh thu 80.0 97.11 121.3% 150.6 64.4%

1 Doanh thu DUCK 34.3 56.0 163.1% 39.2 142.7% 1 1 Mai gin cluing khodzi 10.8 22.7 209.9% 10.7 211.7% 1 2 tutu ki cluing khodn 3.0 5.3 177.3% 3.1 173.9% 1 1 Dich sit Ini chinh 20.5 28.0 136.4% 25.4 110.0%

2 Doanh thu dau to

CK, gip von 7.1 15.7 221.4% 67.7 23.2% 3 Doanh Mu its. ran 29.0 14. 7 50.7% 28. 7 51.2% 4 Doanh thu kink 9.6 10. 7 110.9% 15.0 70.8%

4 1 lei lien gill 6.4 5.0 78.8% 102 49.5% 4.2 PVN Index 2.2 3.6 163.6% 2.6 138.8%

4.3 Khac 1.0 2.0 201.0% 2.3 89.0%

ling chi phi 75.0 92.0 122.7% 148.0 62.2% III 1...yi nhui) n tnrir• tht. • 5.0 5.0 100.4% 2.7 18Z6%

Vdri nheng chuyen Ong Wang deli tich we cita UN trireme eking khoan ding vat sy tin tuding ctUa net dOng cOng nhv nd ivc khOng ngerng cUa tap the PSI aa dem den cho PSI kat qua kinh doanh kha quan va hira hen nhieu tern nang ghat tridn trong Luang lai.

Ho* Ong mei gibi, loot kO, quan I9 ca Ong vi (Bch vy tai chinh

Doanh thu mei gidri nam 2014 dat 22,7 tit Ong, bang 209,9% so va ke hoach dat ra va bang 211.7% so vat nam 2013.

Nam 2014. ben canh viec tat ceu true Kheli Tv van, Gang ty cling da bat Oat, giai down sam cua viec tat cdu tritc host dOng mai giai va djch vy chung khoan. Veri mac tieu day ben ia nang cao chat ',Jong djch vy. Cony ty da than khai dAng bO cac bian phap nang cao chat Ithang nhan sty. ra soot sea den quy trinh nghtep vy, xay dung ve cling có be phan phan tich va to yen clau tu. Val eidri bran thuan Igi han cua thj trvemg chins khoan Yong nam 2014. cung veri sir n6 Ivc khemg ngUng cOa ban lanh dao va can be nhan vent doanh thu cua nang hoat dOng nay di Lac au viral xa ka hoach a ra va phat than manh so veri nam 2013. Ben canh viec cOng c6 chat luang cac dich vy truyen thong. cOng ty cOng da chi trong nghien cuu va phat then cac sari phem mad nhv cac san phem chi sec meo gidn day than bat phieu... Cac dich vy mai da butt dL Ong gap cho doanh Ihu hoat Ong coa cling ty.

• Hoat dOng Iteu k9 ve QLCD dat 5.3 t9 (Ong, hoar' thanh 177.3% so van lolt hooch nam nhe hoan thanh xong viec Ivy ky cac ma chUng khoan cOa cac don vj 'Minh vien Tap doan Deu khl, nham rang cao hieu

• qua quart Iy cac chUng khoan di dun niem yet va day nhanh lien de axial von then ke hooch. Ong then glee tang doanh thu phi Ivy ky, wat chi lieu Ice hoach dat ra.

• Doanh thu djch vy tai chinh Gang viten ke hoach nam de ra. dat 136.4% so ven lot hooch nam 2014 do Clang ty a thuc hien thanh cling viec thoai van met phan danh myc day tu OTC de tang nguan von the

■ dich vv tai chinh. • • • •

la

■ • CHUNG IMAM oAu 1011

PSI

• Hoot dang ter van

Doanh thu hoot dOng to yen thvc hien 14.7 ty clang, hoan thanh 43% ke hooch nam de ra. Nguyen nhan ■ chinh khien cho host dOng ter van khOng dat doom nhv ke hoach la do trong nam 2014 cac hop clang to

van Ier khach hang on PVN va cac doanh nghiep trong nganh slit giam va ram dau lien PSI ap dung ■ ma hinh to van Viet thay dal ccr cau qudn ly va con ngtren trong Kh6i trong than gian the* nghiem ea

gap phai khOng it kh6 khan. don den viec thyc hian va then khai hqp clang to van chua mang 101 hieu qua ■

thief thut nhv mong do, anh hutng den ket qua truth doanh ctia Loan Kh6i. Ngoai ra, do anh hiking cs.ia cac Au to khach quan nhv sera dOi Luat that, clung nhu qua trinh trinh xin Kirin Pita BO ban nganh

■ lien quan bi keys dai Oa anh hoeing rat Ign den lien do va ket qua nghiem thu hop dOng dm PSI.

Tuy chva dot dvqc chi lieu ke hooch nhv mong muOn nhong PSI da chi:mg tO nherng no Icrc khOng nhOng trong viec cal thian chat [Leong lit van bang nhOng thay cuSi rat cu the nhu nhan sv, co cau tO that. quan

• ly A van hanh. Trong nam 2014. PSI ea co ban hen sang cung cep cac dich vy Lu An CO Olen hOa, chao ban. thoai van cho cac don vi ngoai nganh (giao (hang. diet rivet) va la Lien de de cung cap cac dich vy

• Iv van chit krong Ca0 Gong vtri sv h6 trq cOa clesi tac chitin luvc SMBC Nikko. Dac biet, khang chi fro than nhe ter van quan IhuOc cho cac doanh nghiap trong nganh Dau khi, PSI can dang vai tra tich eye

• trong vi0c then khai De an tai du Wk. thoai von da dvqc Chinh phu phe duyet cOa Tap doan Dau Khi Viet Nam. COng ty cling titip tyc la clan vi van hanh tat BO chi s6 PVN Index cho Tay dean.

• Ngoai ra, PSI Gang dang tang butt then khai thorn cac san pham ter An tai chinh mai Mk/ ter van phat ■ hanh trai phi& cho doanh nghtp, to van quan in chitin Ivor yeti sy ket hop sing cac Tap doan to van

chain luoc hang dau the glut

• Nhovay. nam 2014 da khep lai mart nam veri nhOng tarn tel va kh6 than sari veri hoot dOng to van tai chinh doanh nobler), Fiera hen mat nam sap ten se can nhieu n6 Ivc non nOa cOa tap the can b0 ter van PSI nti

• chung va ban (anh dao PSI nOi rieng Yong viec nghien cite va ap dung m8 hinh Khei to van m61 va cac san pham b6 sung mat cach hieu qua va thiet thoc. dam boo hoot dang kinh doanh dat It& qua bat dep.

• Heat dang dits ter

• Doanh thu hoot dOng dau Lu thyc hien la 15,7 ty (Tang, turang Ong 221.4% ke hooch nam. Ket qua dat dvorc chi) yeu la khoan thu ter co tort cip c6 phieu trong danh myc dau ter va lai ban cherng khoan. Nam

• 2014 danh diu no icrc cOa Ban Wilt den Cong ty trong viec cal thin chat 'Leong Lai san cOa PSI th6ng qua viec thvc hien thanh Pang thoai vOn mat phan dang ke danh muc dau ter c6 phi& OTC, too nguon

• vOn cho cac howl dOng kinh doanh hieu qua hen Gera CON ty

■ Lq'I nhuen va chi lieu an roan tai chinh

• khiem ton nhvng rat Bang ghi nhan trong bOi can C6ng ty xuat phat diem con nhieu kh6 khan va xac Nam 2014 Cong ty dat dupe 5 ty &Ong Iqi nhuan, hoan thanh Ke hooch OHDCD giao. Tuy kat qua con

Binh myc lieu vu ten la tai cau trio va nang cac chat luvng tai san de ghat then ben vCrng.

Chi lieu An town tai chiral too ngay 31 12.2014 ctia COng ty la 234 4/0 tren mix yeu cau t61 thieu (180%) ■ thoo quy Binh cUa UY Ban Cluing khoan Nha Nutt

Ngoai cac chi tieu dinh luqng trong nam 2014. PSI da dot duet nherng kat qua sau,

• Hoot dOng Iv An da co dint sv tin tvarng cita Tap doan Dau khi Viet Nam. ciao bit trong hoot dOng tai ■ cau We doanh nghiep va keu gqi von dau ter nverc ngoai. Can b0 Kb& Iv An A (anh doe PSI da lam tot

sang tac tai cau trim cho cac den vi thuOc de an tai cat, Vac dm Tap doan, nOi bet la viec 16 chirc 006 Oar) ■ h6a, IPO Dom Ca Mau, thoc hien to van chuyen nhviong/ chuyen giao ha thong kinh doanh sang dau

cho 2 DNNN. Lu van tiro locitm co Ring Chien lint the cac doanh nghiep I6n cira Tap doan Dau khi va ■ thvc hen thoai von, t6 chirc lai cac doanh nghiep niece yet va chin niece yet Theo nhiem vy da dtrqc

Chinh phi) oho duyet caa cac doanh nghiep Nha mitt

• PSI da thvc hien tot Wig tac quan tn. va kiem soar tot hoot Ong kinh doanh. Heat Ong quan Uj rill ro !Lion barn sat cac quy dinh cOa UNCKNN cling nhv cac quy dinh nOi bc) cua Coop ty. 06i veri Gong tic

• guan to doanh nghiep. Cong ty de ra soot va chinh sera, ban hanh clang Pa he thong quy cho. quy dinh too hart lang phap ly it rang. khuyen khich cac hoot dOng kinh doanh ding thee quart le tot nil ro. Nam •

19 • • •

■ ■ 111 CHUNG MANS

■ PSI

2014. ye cc ban Cting ty aa hoar, thanh dog tat tai ceu Ink (hanh 3 Kh6i, shay dinguiri (Jai then tritc Phapluat, sits di. ban hanh cac Quy trinh quy the theo m6 hinh

Corp lac tai cau trOc nem C6ng ty d5 dat hieu qua, dac bit trong ding tac tai cat, trim nhan sv, cat giam chi phi

TINH HINH TAI CHINH

Tinh hinh tai san

Cac tai san lien quan den ket qua boat Ong kinh doanh cm the nhv saw

Irrierrmur Dau tu nigin han 404.596.329.975 596,657,131,094 68%

Du ph6ng giam gia dau tv ngan han (2,329.227408) (31,999.105.071) 7%

Dau tu dai han

Tinh hinh nq phai tra

-firth hinh nq hiOn tai, bien dor 9 an vt? CAC khoan nq.

Vay va nq ngan han 40 .000.000,000 0% Phal Ira novel ban 41272,788 1.754,587,873 2% Ngutei mua ire lien boat 170,406,645 467.456,645 36%

Thue va can khoan phai nOp nha nudit

1.974,164,723 581.782.127 339%

Ph& tra ngvOn lao ding 2,772,331,295 11,145.483.075 25%

Chi phi phai tra 1.833.357,592 4.983.315,555 37% Cac khodn phai tra phai nOp nen han khan

61490.100,828 111,850,423,581 55%

Phai tra host deng goo Bich chung knoen

116,561.806,802 147.970.568,725 79%

Phat tra hes c6 IOc, gdc 4 Ni trai phieu

30.079,671,803 13,891,982,200 217%

Quy khan thuong phik loi (74,217,077) (497,967,077) 15% Doanh thu chva (hue hien ngan hsn

850,000 383,112,677 0%

T • • e • n• 21 850,745,399 332 530 745,381 85%

Nh&ng cal nen ve ca ceu t6 ethic. chinh sach, quart 19

Thtyc hien chi) twang chung trong viec tai thu trot cat Cong ty ChUng khoan, ngay t6 deu ram 2013.

PSI 05 quyet liet thin hien (16 an tai thu Ink Nan Cong ty nhhm tap trung nguon Itrc phai trien c.ac linh vut host Ong dang la the monh cOa PSI, ra soat cat giam cat linh vvc host Ong chua Neu qua. sap xep 131 nhan sv, insng Iuoi cho phO hqp vdri tinh hinh, chien lvqc kinh doanh men de tiet kiern chi phi,

• tang cthang hieu qua kinh doanh.

■ Thuc hien kiern soat chi phi hang Man. thong theo king khoan awn chi phi, tai fling Clan vi, thvc hanh net kiem thong lang phi trong Nan tong ty.

• Cong ty cI5 xay dung ve du On dva vao van hanh m6 hinh boat Ong thou 3 Ith6i: Kh6i tit van, ktoSi djch vu chtirng khoan va kh64 4n hanh 10 du nam 2014.

20

• • •

• • U

• • ■ • • • ■ •

■

• • • • • • • •

M cotes uni PS,

Ke hooch pith trAn trong nim 2015

..•

bao kinh to Viet Nan, nam 2015

Theo bao ciao ngay 29/12/2014 cOa Uy Ban Gam sat Tai chinh Quec gia (U8GSTCQG), kinh to the gioi ram 2015 ()vac cac to chin quec to (IMF, OECD) dv bao 6 mire cao han nam 2014, 6 mat 3.8% (IMF) va 3,7% (OECD) tang 0,5 - 0,4 diem phhn tram so veri m&c tit tinh cho nam 2014. Tang twang thvang mai the giai duct dV bao se phyc hei b mac 4% (tang kha so va mtXc 3,1% nam 2013 va 2.1%nam 2012). (fat, its trvc tier) nut ngoai 6 mat 1,8 nghin bj USD. De dam bao tang twang phyc hoi, nhieu quec gia se neri long chinh sach (al khoa va day monh tai w cau nen kinh te.

Hien Viet Nam dang 01 myc tieu lonh to nam 2015 veri tang twang GDP khoang 6,2%; lam phat kiem the dual mac 5%. cal thien can can thaang mai. dau tv eat 30 - 32% GDP. tang Huang tin dyng khoang 15%, tiap lye tao &au Ken giam lai suat cho vay.

Tren ca sair kinh to the gioi va kinh to Viet Nam dang tren da phyc Xi& gia Pau the gioi Om, qua de he Ira tich cvc cho giam chi phi dau vac, cho doanh nghiep, kith tau lieu clang. kinh to vi me. cling nhLr (hi trutg chung khoan (TTCK) ket lhuc nam 2014 dat dirt nhieu kat qua tich cvc, day la cac flan tang h6 Ira let cho diem bien lac quan GO TICK Viet Nam trong nam 2015.

MOt trong nh&ng sv kien quan Uyng cua nganh chung khoan nam 2014 la thvc hien Hai nghi xtic Ken dau tu vao thi Wong chOng khoan Viet Nam then ra tai the, de Tokyo, Nhat Ban ngay 25/4/2014. Hai nghi da thu hat sv tham gia cua On 200 nha du it, Nhet Ban ye dal dien cac doanh nghiep Viet Nam da va clang chart Lai niem yet tren san chOng khoan. Theo d6, TTCK V1.1 Nam ky vong se thu but duvc sv quan tam dm cac nha dau ILK Nhet Ban trong nam 2015.

MOt so you to khac se h6 ace tich cvc cho sV phat Irian kha quan hen caa TTCK trong nam 2015 bao gem:

• Kha nang thu htit dau tv nut ngobi cao ban veri then \tong TPP dut ki kat trong nam 2015. Ben canh de, viec saa (16t, va dv knan sin dai nhieu Luat quan trong nhv LuAt Dau tv, Luat Doanh nghiep. Luat Oat dal. Luat Nha a tong tao dieu kien cai thien chi se nang Ivc conh tranh town eau cOa Viet Nam. Deng then xuat khhu kap We tang truang kha t6 nhang dv an c6 yen dau at frac fiep mit ngoai va se Kap KIP la dOng lac quan trong cho tang twang kinh to.

• Vtri dv bao gia dau the giai trong nam 2015 Om 33% va gia dinh gib xang dau (rang ntrc giant tvang Ong. vac tinh gia thanh sari pham san xuet trong nye:it se giam 3% (theo bao cao cea U8GSTCOG), tin c16 Viet Nam oh the 01 mix lieu lam soat lam abet a met 3%.

• Ke hooch c6 phan hOa DNNN, c6 phen has gen yen Ong ky giao each, niem yet Yen TTCK se &roc why, khai qv* het hen.

• Trien khai deng be cac giai phap do thu het hieu qua han cac dOng yen. MIA' la yen dhu lv mitre ngoai tham gia thi bating bong nam 2015:

• Tiep tuc trier khai tai cau tnic TICK theo hvang nang cao chat Itrang, da clang h6a san pham: Trion khai OW mho thi twang phai sinh. de san sang then khai giao dick trong nam 2016

• Sy ra dal caa Thong ttr 36/2014/TT-NHNN gitri han ty la sir dyng Yen vay caa niaan hang de dhu Iv vao linh vvc chung khoan (vay margin), tuy bong ngan han co the anh hvOng tinh than khoan TICK, nhtmg trong dai han, chinh sach kiern seal chat dOng tian tv khu vvc ngan hang vac TICK cua Ngan hang Nha nut (NHNN) se tac dOng tich cvc va mang lei tinh do djnh lau dai cho ihj trvang.

ye hanh lang phap IY, do nam 2015 la nam cuoi cling thyt hien he hooch kinh to )(a hOi gia' down 5 nam 2011-2015 cOa Chinh pha de he trq TICK phat Irian tich cvc han trong nam 2015, ca quan wan ly se Op lye hoar thien he (hang ca cho, chinh sach. de trinh Chinh pha The luting Chinh phu xem xet ban hanh nhv: Cluyet djnh thanh lap S6 GDCK Viet Nam; va Nghi djnh ye chung khoan phai sinh va TTCK phai sinh.

2 1

111 DUNI MU Ma tag PORMWS

P

Nhln nhan mOt cacti tong quan, vat nen tang da dot then trong nam 2014 (chi bey tang tnning GDP vital kit hooch va chi s6 CPI Thep nhat trong vong 10 nam tit lad day), trong nam 2015, TICK se chuyen bien theo chieu hiking Lich cvc Ion khi mat bang All suet va lam phat clyrqc gift 6n cljnh. COng vial so phat tnen cOa thi trvang, nhieu co hoi so no ra clai vbi cac cong ty chirrig khoan, trong Q6 c6 PSI trong rift 2015.

Ke hooch kinh doanh nam 2015

kindcar theo nang lac hian tai va djnh hvOrng chien tact phat then trong twang el, PSI due ra k6 hooch doanh nam 2015 nhv sau:

Don vi linty 7)% VND

CT

Moot ci mac Kt pouch 2015 % KH 2015 so

voi TH 2014 Thirc hfin 2014

Tong doanh thu 97.0 88.8 91.5%

Doanh thu DICK 56.0 55.2 98.6%

I I Med gich chins khoan 22.7 23.0 101.5%

12 Lou kV Ching khoan 5.3 6.0 112.8%

13 lAch vo Tin chith 28.0 76. 7 93.7%

4 Doanh thu dims tie CK, Op yin 15.7 7.3 46.4% L Doanh thu ttr van 14.7 19.5 ..

132.7%

0 Doanh Mu Akar 10.7 6.8 63.8%

4 1 Lai lien tail 5.0 3.1 61.5%

42 PVN Index 3.6 2.2 61.1%

43 Kit 2.0 1.5 74.6%

il Ving chi phi 92.0 83.8 91.1%

1111 Lgi nhu4n trut thut 5.0 5.1) 99.6%

Hoot Ong Chch vy Ching khoim

• Trong nam 2015, doanh thu djch vy chang khoan dt,r Man dot 55,2 t9 clang, gem 1,4% so vai thvc hian flan) 2014 do dv bao mat bang tai suet nam 2015 (hap han nam 2014. Truerc tinh hinh do. PSI van Qat myc lieu se tiap tyc Play manh nguen von cho haat clang margin. Tuy Mien, do mat bang lad suet thong nam 2015 da gem va cly kien bap tyc giam non chi tiOu doanh thu ke hooch gem.

Ka hooch Yong tarn nam 2015 cda PSI dex yeti host Clang mai giOi se tap trong hen hanh (Ai cat' Vex (fang ba ca ha thong bao g6m (i) cai thian chat Iuvng nhan sy, xay thing nguen nhan krc cenh Vanity (ii) cai tier, va hoar, thian he thong citing ngha thong tin ha try giao djch; ve (iii) xay Ong va then Kra san phern moi veti cac deg tac chien !vac bao gam Ngan hang TMCP Dai Chung Viet Nam (PVcombank) va SMBC Nikko: nap tyc day manh cung cep cac sari phArn djch vy chting khoan hien co (co phieu. trai phieu) va phat man cac sin pham mai den dau thi trading (cac cling cv Chung khoan phai sinh) dva Van nen tang san CO la kinh ugh* phat then be chi so PVN- Index visa qua.

Hoot Ong Diu tit Chting khoan va Goa von

• Doanh thu dau tit Chung khoan 96p von dy kien IA 7,3 t9 long, Om 53.5% so vett thvc hien nam 2014. Do Mn trong dank mite dau tv oda Gang ty co t9 acing cao la OTC, nen Gang ty cling can nhac ten twig trong viec clAnh again lot van cho tv doanh de darn bac, khong qua moo Nem

22

111 coin MOAN ogo ur PSI

trong deu hr. Vi vay, doanh thu dim tv nam 2015 dtrqc dat muc lieu khiem ten nhvng Gang ty se cal than duqc chat luong danh muc va gem chi phi von do thu hei duet yen ton dong

• Chi] trvong nam 2015 eta PSI la (i) tiep tyc tap trung w cauloic.ec khoan deu lo. (ii) kh6ng day tv mtri, khang clau lo moo hem, (hi) tan dung co hei thj trotmg de Op tyc giam tong gia tri danh muc deu tu, thoal von danh muc ten dying, dam bao an loan tai chinh chung.

Hoot dOng Tv van

• Doanh thu Iv van nam 2015 la 19,5 ty (Song. tang 323% so vtri thuc hien nam 2014 Day cuing la mang hoat dting PSI dat ky vong se tang truemg tot trong nam 2015.

Co so' de PSI datke ho0ch doanh thu to van nam 2015 bao gem: (i) cat dv an da Men khai trong nam 2014 se duoc ghi than doanh thu trong nam 2015: (ii) cat hop dog to van intn da )(9 cub' nam 2014, se doge Irian khai va thu phi ngay trong nam 2015); va (iii) dy bao cat hop citing se ky mai va thu duvet phi hoac met phan phi trong nam 2015.

Trong rem 2015, Cling ty liep tyc del muc hew cling co vat tr6 to An tai chinh cho cat dan vi trong nganh du khi, sat canh cuing cat dan vi trong nganh got hien muc lieu phat then Watling don vi, th6ng qua viec cung cep cac djch vu tv van nhv niem yet. ghat hanh chung khoan, rim kiem co clOng chitin loot va mua ban sap nhap, to van quan In doanh nghiep... Ngoai ra. PSI van se hvtmg 16i vet kha' that va phyc vu cac (Ian vl ngoai nganh, nham dam bao kha nang hoan thank muc lieu Ire hosch de ra cho mang tv yen trong nam 2015

Hoot clang Khac

• Nam 2015, PSI dat k6 hooch doanh thu tit hot dong khac la 6,8 ty clang, yeu tO tai lien giti ngan hang. giam 36,2% so vel Mir hien nam 2014 do dv bao mat bang tai suet nam 2015 thep hon nam 2014. Theo bao coo cOa Ngan hang Nha Nutt (NHNN), trong nam 2014, mat bang tai suet giam 1.5-2%/nam so ven cute nam 2013. Trong d6. mat bang lei suet huy Ong Om 1,5-2%/nam, lai suet cho vay giam khoing 2%/nam, dtra met bang tai suet thAp hen min Al suet da giai (than 2005-2006. Cuing theo NHNN, dei vol chinh sach lien to nam 2015, mat bang !Ai suet cho vay trung va dal hen se of, the xuang them 1%, hueng lei mat bang lai suet cho vay trung va dai hon xuang then 10%.

Chi phi

• KO hoach chi phi nam 2015 la 83,8 hi &mg, Om 8.9% so ken thvc hien nam 2014. Chi phi nam 2015 dv ken giam do muc heti pia PSI trong nam 2015 la lhoc hien cat bin ghat) cat giam chi phi, OC biet IA del vtri cat mang hoat Ong cat ka hoach doanh thu giam.

• Met se ben phap cat giam chi phi bao gem (i) nang cao chat luqng tai san; (ii) xay dying chitin luoc kinh doanh va ken Man t6 chic hoot dOng cUa town clang ty trong do day moth tai tau We host dOng aia cac kin& van hanh va khoi kinh doanh; deny the, dr) tyc trich lap do phtmg cat khoan dau tu OTC.

Gal hint? cria Ban Glom clec dee vai y kid() kiem roan (xin xem van ben Binh kern).

23

■ ■ II CON MAN OM kid

011110YRUMIN SIKUS/1.5 a(

■ PS?

Kinh te - xa hQi nut la nam 2014 dien ra trong ba canh kinh te the giai phyc hag them sau suy thoai ■ toan chu. Cac nen kinh te Ion phat then theo hoeing day nhanh tang twang nhvng co nhieu yeti tb nii ro

hong viec dieu chinh chinh sach tien te. Trong khi db. nhieu nen kinh te mai nth gap Oa ngai tit viec Mix ■ hien chinh sach that chat a glam ap Ivc din tO. Ben canh dO. khu vvc ding EURO bj anh by manh

obi cac Dien phap bung phat kinh te gi&a cac nut lrong khu vve do tinh hinh chinh trj bht On tai mat so ■ qui& gia. nhat la khu vvc chau Au. Dv ban tang trutng nam 2014 va 2015 cua hau het cac nen kinh te

Ding Nam A cling dot dieu chinh giam. Diem nai bat lrong naing thang cob nam la gia dau mb tren

111 IN Wong the gidri giam sau va van dang keg lye giam. Doi vai cac quOc gia nhap khAu dau. gia diu giam giQp link day lieu dOng va dau to to MIMI cOng nhv cal thien can can thanh toan. Tuy nhien, dip van cat

■ nut san xuat get], thvc (rang thj trvong gia dau mb giam se tac dOng manh den kinh te then chieu hinfrng thuan Ict va khi khan dan ken,

■ Of trong nett. san xuat kinh doanh chju ap lyr l0 nhAng bat On ye kinh te va chinh lri cua thj trtmg the ■ gitd, cOng vbn nhAng kh6 khan tir nhCrng him Atm chva dirt giai quyet triet de nhv ap Ivc ye kha nang

hap thy yen cua nen kinh te chva cao; sire Op nq xeu con nang ne; hang hoa trig nut lieu thy them; ■ nang Ivc quan ly va canh tranh cua doanh nghiep thip..

Tang san phAm trong nv6c (GDP) nam 2014 tic tinh tang 5,98% so v6i nam 2013. trong dO quy I tang ■ 5,06%; quy II tang 5,34%; quy III tang 6,07%; quy IV tang 6,96%. Mt tang trtyng nam nay cao ban

rot tang 525% cOa nam 2012 va nit tang 5,42W° cua nam 2013 cho thAy dau hiOu itch cut cOa nen ■ kinh te.

■ Ben canh narng khi khan anh hi/Ong den sir phat then cOa (hi trutmg (hi Kong nam 2014 cOng boo rat co NA de thj tarty phat trier. Chfnh pal tiep tyc tich eve tan khai cac bier' phap d4 tai cAu ink

■ nen kinh te sau khi cac de an ye lei chu trt doanh ngthOp nhe nut he thong ngan hang va thi Inking thing khoan da dut ban hanh. clang thvc hien cac chinh sach de On dinh kinh t6 vi ma, boo dam

■ myc tieu tang triking nam 2014. Chinh phu chi di° trier khai cac giai phap tich we nham thao gb kh6 khan cho doanh nghiep, x8 ly cac yen dO ye no xeu trong he thong ngan hang, thj truing bet dOng san.

■ tang Outing tin dung va mat bang lap suet. Dieu kit kinh tO trong nut da c6 nhAng cal thien nhat dInh khi lam phat (Ong bv6c dut kiem cho. Can can thvang map cal thien Oleo hoeing tich cvc. mat bang Qi

■ suet co xu htmg giam din, ty gia dirge duy tri bn djnh. dir trCr ngoai 116i tang din Chinh ono ban hanh nth& giai phap nham thao khi khan cho san xuat kinh doanh va ha trq thj trtmg thong qua cac giai

■ phap ye thue, phi, ha trq tap chinh. chi lieu ngan sach. du Iv xay dyng co ban. Ngan hang Nha not doe ra nhieu giai phap nnhm giam an met bang {al suit. Pik khai cac cawing trinh tin dung ha fro lai

■ suet d&vibi doanh nghiep, cling nhv thao ga kh6 khan cho Chi Inky ng bat dOng san, Khung phaply cho thi Inking vA cho cOng tac tai cau lnic thi In.rang, dac biet la lei cAu tac cac cOng ty chting khoan ye co

■ ban da dust (hue hien. tee ra tien de ret quan trong di laic day Of Yu-Ong carng khoan Irong Ih&i gian ten.

■ Xen ke bong nam cO nhirng yeu t6 vi me bet Iqi anh htrang den sv phat glen cua TTCK nhv tinh hlnh Bien Deng, gia au quit tit giam manh va met s6 diet, chinh cua chinh sach lien te, toy nhien thi tatting

■ thing knot Viet Nam ghi nhan sy tang truAng. Thin den ngay 08/12/2014, chi s6 VN-Index dal 571,68 aim tang 13,3°/0 so van cu6i nam 2013. con chi s6 HNX-index dal 87,17 diam tang 28.5% so v6i cubi

■ nam 2013.

1111 Trong diau kien db, lap the lanh dao va can tab nhan vien Cong ty C6 pan Chung khoan Diu khi da no iqc pan deu hoan thanh chi lieu Ica hoach do Dai hbi clang cO clang de ra yen tong doanh thu 97 ty eking

■ dat 131.3% so ven Ka hooch va Icri nhuan dal 5 ty daily dat 100.4% ke hooch do Dai hei clang co ding giao.

■ Trong d6 dang cal Y la doanh thu hoet dOng diu lit tht hien la 15.7 19 ding. twang Ong 2214% liA hoech nam. Doanh thu djch vy chtg khoan dat 56 ty Ching dat 163 1% ke hoach nam.

■ Nghy 15/5/2014, Nei ding Chian Of PSI da Meng qua Nghi guy& s6 04(NQ-HDQT-CKDK bo nhiem ha

■ 24

■ ■ ■

■ DANN G1A CUA HQI DONG QUAN TRI VE HOAT DQNG CCIA CONG TY

■ Danh gia cua Hei clang quan trj ye cac mat host ding cua Cong ty

■ • OILINGIOWAN )(111

`ND •IITRAMUCOTITICS

■ P SI

• Hoang Hai Mb — Chti tich HOOT 16 nguai dai Pion thriac Phap 101 coa PSI kit la ngay 1/612014.

CON ty hoan thanh thay ct6i clang k9 kinh doanh. thay et& ngval del then theo Phap lual cba PSI theo ■ Giay phep s6 10/GPDC-UBCK ngay 0216/2014.

Da hoan thanh co ban cac Quy the quan trong coa COng ty nhir Quy the Quail 19 Tel chfnh. Quy the Hoat (long Dau kr. Quy the Hoat Ong dich vu la' chinh, Quy chi% quail ly ngval dai then tel cac doanh

• nghiep, dv an va ding tic giam sat cac khoan dau kr, Quy the quaff ly Nhan sv. Quy che hoat dOng pia

HOOT. Quy the phan au*, 6y quyen. Chinh sach nil ro theo Dieu le mai (vac DHOW thong qua. tao hanh lang phap ly r6 rang. minh bath cho town to0 hoat dOng coa CON ty.

■ Cat Ire hooch, djnh huong cOa Hpi dOng quin tri

• Chi efao cony lac xay dyng chitin WIC giai don mar:

• • Day manh hoat deing mei giai va dfch vu tai chinh. tap trung vao cac yen 66 acing tam. Phil tri6n, chuyen nghiep h6a host Ong dich vu cho khach hang cac nhan, t6 chat va kith hang nutc ■ ngoai; TO chic dvac be Phan Tv An du kr dap Ong tot nhu cau cOa khach hang va cac phony giao dich; Tang tf tai khaki active; Day manh boat Ong filch vu vt% trar phieu; Irian khai cung

■ cap dich vu cho vay margin va Ling Inroc tien ban chang khoan cho Khach hang cea PSI qua PVcomeank;

Elk to, nang cap he [hang CNTT. dam bac he thong giao dich loan Citing ty thong suat, tang tien

• ich cho khach hang. nang cao hieu nang quan 19 he thong;

Tai ceu tax v6 ca eau t6 chin, nhan Sc. va dam bao nang cao nang suit lao dOng, chat lacmg ■ dich vu va thi phan mai giOri:

• • nap tic thvc hien tai ca cau danh myc dau hr dia PSI

• Kiem soar chi phi, tang hieu qua hoet ding pia tang be phan.

Nam 2015. HDQT tap trung chi ea° xay clang va trien khai thanh cOng ke hoach kinh doanh 2015 yen

• mUC luau tren tang hoat dong cy the nhu sau . ■ • Hoan thanh cac chi tieu kinh doanh dvqc Dui hei <long c6 clang giao:

• • • • • • • • • • • • • • •

25

crates NOAH as Me

QUAN TRI CONG TY

Hei Mug quan tri

Thanh wen va co eau 003 Hei d6ng quan hi

• Ba Hoang Hai Anh ChO tich HOOT

• Ong Pham Quang Huy Uy vien HOOT kiem Giam d6c Citing ty

• Ong Doan Thanh Nhan Uy vien HOOT chuyen troth

• Ong Nguyen Viet HA Uy vien HDQT kiem nhiem

• Ong Iran Minh Hoang Uy vien HDQT kiem nhiem

• Ong Nguyen Sinh Ming Thong Uy vien HOOT kiem thiern

• Ong Yazawa Takahiro Uy vian HOOT kiem nhiem

Hoyt Ong ctia Hei deng quan td

Trong nam 2013. HOi Clang quan In (HDQT) tó choic 04 cuOc htip tru• lisp va Bin 16y y kien cac thanh 466n Hei &mg quan trj bang van ban:

Cat cuOc hop cite Hai deng quan tri cy the nha sau:

Sit Thimh Wan HOOT Chat vy S6 bu6i hgp

tham dv

T916 L9 do kh6ng tham dog

1 BA Hoang Hai Anh CT 12/12 HOOT

2 Ong Pnctm Quang Huy UVHDQT 11/12 83% 3 Ong NguyAn Viet Ha UVHDQT 11/12 83% Uy quyen cho ba Hoang

HAi Anh tham cly hop 01 bu6i ngay 07/0412014

4 Ong Nguyen Sinh Deng ThAng UVHDQT 12/12 100% Ong Doan Thanh Nhan UVHDQT 12/12 100% Ong Takahiro Yazawa UVHDQT 12/12

Ong Tren Minh Hoang UVHDQT 11/12 83% UQ cho Ong Nguy6n Sinh Deng Thang tham do hop 01 boil ngay 07/04/2014

Trong nam 2014, HOOT thuang xuyen giam sat hoat ClOng tea Ban Giam ddc va cac be phan quan 19 khac th6ng qua ca the than ding nhiem vy cy the. re rang nham danh gia hieu qua lam viec tha Ban Giam dee dam boo host deng tha Cong ty duvc minh bath. tuan the ding phap lual, then khai thvc hien theo Ching cac Nghj quy4t tea HOOT cy the:

Cho tjch HOOT, UV HDQT chuyen troth tham dv va co y kien trong cac cuOc hpp giao ban ding tat Binh kY cOa Ban Giam dot

• HDQT xem xet danh gia inec thy° hien ke hooch kinh doanh va ka hooch dau to nam 2014 thong qua cac boo coo. van ban tha Ban Clam doe gin boo coo HOOT. T& de. HOOT cd bien phap chi dao kip them Ban Giam deic dap Oing cac yeu cat, host dOng kinh doanh ctia COng ty.

26

■ ■ I cram MAN oAu klr

■ psi

■ Hoot dbng cua cac Tlatt ban trong HOi dung Quan fry

■ Phong Kith?) town ngi lag

Ph6i hqp cling cac don vi co hen quan thorn djnh va co y kien ye tinh kinh phap 19 va tinh phi) ■ hqp ydri cac van ban phap lust ye cac quy dinh c6a Cerny ty trong cang tac xay cluing cac guy

tinh, quy eh& quy Binh cOa Cing ty.

■ Phbi hqp cling BKS. PhOng Kiem town Net b0 tian hanh cac host den° kiem tra djnh kjr. chi you ■ dirdri khia canh Wan the va met se diem trong yaw

Kiern tra tinh phap ly cOa cac de xuat, to trinh cOa Ban Dieu hanh va cac don vl ra trutc HDOT, ■ HOi ding Deu tr. Hot ding Chinh sach dich vy,

Ph6i hqp cling Phong Tai chinh Ka loan lam eleu mai lam viec cling Kiem loan dOc lap them djnh ■ Bao coo Tat chinh Qui/. Ban nien. Nam do Cong ty. Co 9 kien khi cO nhiiing diem bat thverng, ■ chtra hop ly trong BCTC hoec khi cO quan diem khac yen Kiem town dee lap. Kip then boo coo va

de xuat Chu 5ch HDQT cO y kien, trao del, thong nhat yen Kiem loan dOc lip khi con thiet:

■ Thum hien cac chi dao &la Chia Ijch HOOT trong viec kiem tra. them (firth cac he so, du an deu lit cOa PSI hoac cOa cac Doanh nghiep ma PSI la c6 ding lern va c6 Ngutri dai (lien khi them

■ guy& quyet dmh thuOc HDQT/Chu Lich HDQT PSI de Bao coo Chu tech HOOT guyet doh viec chi dao hoc xin y kien HOOT PSI.

d6ng chinh sach dich vy

■ Frei ding chinh sach rich vy duo° thanh Iap theo guyat dinh so 17/0D- HOOT ngay 13/10/2014 dm HOi ding quan tn PSI. HOi clang d5 to chirc hop 01 phien thing qua nOi dung:

Thong qua phucrng an tinh town danh myc Margin;

■ ThOng qua mot lei suet dich vy tai chinh va mot sb chinh sach vu dai cho khach hang;

Thong qua giai ngan ca phieu mat so co phi& theo de xuet ctia BGD:

Hgi dong deu tv

■ HOi clang Oau lv &roc thanh lap theo guyat dinh so 113/Q0- HOOT ngay 13110/2014 cOa HOi ding wan ■ to PSI. FlOi ding as to chic hop 01 phten thOng qua n*i dung Re hooch din Iv nam 2015.

Dart sach cac thanh vien HOi d6ng quan to co chilling chi dao too ye quan tri cOng ty trong nam:

Be■ Hoing Hai Anh - Thac sy Quan to kinh doanh:

■ Ong Phan Chuang Huy - Thac s9 Quan trj kinh doanh;

■ Ong Doan Thanh Nhan - Thac s9 Luat:

Ong Nguyen Viet Ha - Thac sy Diu tv Tai chinh;

■ Ong Trin Minh Hoang - Thac s9 Tat chinh Ngan hang;

■ Ong Nguyen Sinh Dung Thong - Thac sy Quin tri kinh doanh;

■ Ong Takahiro Yazawa - Cie nhan Kinh tA

Ban kiern seat

■ Danh sach thanh yien:

■ Ong Nguyen Van Nhiem - Truong ban Sin seat - se Nu 0 co chin PSI.

Ong Doan Ngoc Lw - Thanh yien ban kiem soot - se hem 0 c6 phin PSI.

Ba Nguyen Dieu Trinh - Thanh yien ban keen) soat - sO hGu 0 co phan PSI.

■ ■ 27

■ ■ ■

• • CIIUMG LIMO DAU us

1.1 , 101011WA 4111111100(

HoBt dOne oda Ban kiem soak

• Peen hop the nhat (26/04/2014): Nei dung cac quyat

Thong bac) 01 qua Del hei deng cd dOng nam 2014 cOa PSI

• Ban Kotim soat thao luan va thong nhat th6ng qua viec Men khai Pin hien ke hoach kiem soat ■ nam 2014.

Ban Kiem soat phan Gong nhiern W cho cac thanh vien Ban Kiem soat.

• I Phi& hpp thir hai (16101/2015): NOi dung cac quyet cline

• Tong kat danh gia heat dOng cua Ban Kiem soat Trong nam 2014.

Thong qua phan Gong thin hien them tra Bao coo tai chinh nam 2014 trinh Dei hei &rig co clang • thwerog nien nam 2015.

• Thong qua Ice hoach kiem tra, giant set nam 2015.

■ Thong qua cac tang viac khac GO lien quan

Da them dinh Bao coo MI chinh nam 2014. Bao coo tinh hinh kinh doanh nam 2013. Bao cac

• danh gia tong tee quan ly ccia HOi dOng wen to nam 2013. trinh va du-qc thong qua DHDCD thutng nien ngay 26104/2014.

• - Trong nam 2014 Ban kiem soot da ket hop v&i BO phan QTRR-KSNB thin hien 05 avec kiem tra ye 04 mat boat deny nghlep vu Mai gide Dich vu tai chinh del yen cac Chi nhanh Thanh ph6 H8

■ Chi Minh. Wing Tau. Da NAng, Phong DVCK.

• - Kiem tra tong lac hach loan Ice loan nOi be nam 2014 giCra HOi so va cac Chi nhanh Thanh ph6 Hd Chi Minh. VCing Tau, Da eleng va giCra cac chi nhanh van nhau

• - COng BO phan wan In rUi ro as la scat va de nghi chinh sin loan bO cac quy the, quy trinh nghiOp

li vu lien quan den thay dr& mO hinh boat dOng coa Cong ty.

U •

• Trong nam 2014, Trutng Ban kiem seat va cac thanh vien ea (ham gia tat cac culac hop cOa HDQT.

• tham gia than luan va deng gop y loan vac/ cac nOi dung va nghi quytt phten hop HOOT.

■ Conq lac kiem scat nam 2014:

Ph6i hop cong vUi cac bO Phan lien quan. (ham gia say dog cac quy trinh, quy the lien quan

• den he thong quan tri rid ro. kiem soat nOi bo cea Cong ty theo quy dinh mai ccia UBCKNN.

• • • • • • • • • • • • •

28

Ngtet4 thyc TT hien glao

filch

Ouan he vtei c6 d6ng net

be

s6e6 phlAu sir heru diu k9

S6 c6 phieu

s6 CO phiEu sir heru cu6i kir

s6 c6 79 le

Wee

Lt do tang, glem (mua, bin, chuyin

661, thwimg...) T9 le

NguyIn Van Nh$n

Anh ruOt cua Tr••ng BKS

Cana ty 4.400 525 Ban

aims sea Maui PI TIKett1101110Antilit

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1

2

CAC GIAO DICH, THU LAO V • C C KHO • N LQ1 CH CUA HQ! B•NG QUAN TRI, BAN GIAM DOC VA BAN KIEM SOAT L • G TH • G THU LAO V C • 01

I _

_

Chin dank St4

thinh van

_

Qu9 tho lao nam 2014

Khong holm thinh KH

Han thinh 100% KH

Han thanh bin 100% KH

1 Chi) tjch HOOT 1 444.960.000 574.560.000 704.160.000

2 UV HDQT klem GE) 1 444.960.000 574.560.000 704.160.000

UV HDQT chuyen tract, 1 358.440.000 428.040.000 532.440.000

4 UV HDQT kiem nhiem 4 192.000.000 192.000.000 192.000.000

I 15 Truang BKS chuyen Mich

1 358.440.000 428.040.000 532.440.000

6 TV BKS Mem nhiOnl 2 48.000.000 48.000.000 48.000.000

Tong ceng 1.848.800.000 2.245.200.000 2.713.200.000

GIAO DICH CO PHIEU cOA CO BOW NOI BO

CAC GIAO DICH KHAC

Ngtreri thyc hien giao cach

C6 d6ng n$l be

SO c6 ph Eu air h&u du lo)

96 c6 Oulu 564 hOu au& k9 L9 do tang, glim

(mua, bin, chuyan d6i, thu•rng...) S6 05

phieu 1.9 4 S6 05

phillus T9 ig

Doan Math vhan

C6 Jong 112.900 110.900 Ban

;;TCP QL qu9 haat cat

be ? C clang Ian

2.858.100 4.78% 4.206.290 7.03% Mua

VIEC THVC HIEN CAC QUY DINH VE WAN TN! CONG TY

Oa thtit hiGn Theo quy Binh phap luet ve cat quy cline noi be cite PSI.

29

III CHIAN MAN flu KM tROMTIMAI StCWITIIIS

PS

BAO CAO TAI CHINH

• S

U

(x4 xem Bao cao rat chinh keem roan nem 2014 clinh kern)

• V kien kiern loan

• Bao cao tat chinh &hoc loAm loan

(Bap cao tat chinh nam da duvc ki4m toan bao gem: Bang can d6i ke toan: Bao cao lc& qua hoet dOng kink down: 136o cao km chuyen ben ta; Ban thuy4t mum Bao cao tai chinh theo guy djnh cOa phap ivat ve ke loan va kiem loan).

Xic nhen cent • n theo Phip Wet ctia Cong ty

30

■ ■ Deloitte. ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ • •

CONG TY CO PHAN CHONG KHOAN DAU Kid

(Thdoh lOp :pi nude Cling hod X!! hol Chu nglea vie, Num)

• ■ 13A0 CAO TAI CHiNH

• DA MAK KIEM TOAN

■ ('ho slain thi chinh kC111thc

ngity 31 tilling 12 Dam 2014 • •

a

• • • • U

• • •

■ • CONG TY C6 PHAN CHUNG KHOAN DAB 1011

Sd I B L9 Thutmg Kitt, qutri Hods Klein

• Ht Noi, CHXHCN Vitt Nam

• • • • • •

MUC • LVC •

• • ■ •

/401 DUNG TRANG

BAO CAO COA BAN GIAM DOC 1 - 2

BAO CAO KIEM TOAN DOC LAP 3 - 4

BANG CAN DOI KE TOAN 5 - 7

BAO CAO KET QUA HOAT DQNG KINH DOANH a

ado CAO LOU CHUYEN TIEN n 9

BAO CAO TINH HINH BIEN BONG VON CHO SO HEW 10

THUYET MINH BAO CAO TAI CHiNH 11 - 29

• • ■ ■ • • • • • • • • • • • • • • •

■ LONG TY CO MAN CHONG KHOAN DAU Kilt S6 18 Ly Mt:Ong Kitt, quail Han !Gem He NOl. CHXHCN Viet Nam

■ BAO CAO CtA BAN GUM HOC

Ban Clam d6c Cone ty C6 phan ChCmg khoin Diu khi (goi tat la "Cong ty") de trinh Win cao nay tong veri bao ciao

tai chinh cila Una ty cho nam tai chinh Irk thec 4411 thing 12 nam 2014.

HOI DONG QUANTRI VA BAN G1AM DOC

• Cac thimh vita tea 110i den Quail trj va Ban Gam d6c Cong ty da dieu hanh Cong ty vong nam va den ngay lip

Mo cao nay gem:

Heti dens Ouiln trj

13211loang Hai Anh CM nth

S Ong TA', mirth Hoar% Oy vien i

s Ong Phorn Quang Huy fly vien -.. Ong Nguyen Viet HI Uy vita

.1 Ong Doan Thlinh Nhan Illy vita

.1 Ong Nguyen Sinh Deng Thing Uy vien

Ong Takahiro Yazawa Uy vitn

Sacjega61

■ Ong Pham Quang Huy Gam &St

. Ong Tran Hung Dung PM Clam di<

III Ong Nguyen Xuan lima Ph6 Giam dot

■ Ong Mai Tnmg Dung PM Giant d6c

Ong Ding Minh Quang Ph6Giam dic

S Be Thai Vitt Anh PM Clem d6c (be nhiem ngay 15 thing 12 atm 2014)

STRACH NH101 Ci/A BAN GIAM DOC:

S Ban Gigan d6c eine ty c6 troth nhiem 156 bao cao tai chinh phAn anh mot each trung thvc vi hop ly tInh hlnh Si chink cling nhv kit qua hoot &Ong kinh doanh, tlnh hlnh km chuyen tier le vi tinh hinh Wen dOng vAn chit s6 heu

•tea Gang ty vong nam, phi' hop v6i chuen mvc Ice man. chi de Ice loan ap thing cho cat tang ty thing khoan dupe

Bp Tai chink ban lulth Item then Thing to so 95.a0011rMATC ngAy 24 thing 10 Min 2008 hoeing den ke man ap

li dung del v6i cAng ty thing khoan, Thong to 56 16212010.TT-BTC ngay 20 thing 10 nam 2010 huOng den stia del,

bd sung Thong to s6 952008117-13TC nhung chva loaf at chi tieu Tien glli ctla MA du to ye giao dich chimg

S khoan khei bang can d6i ke toan, phil hop Yen huemg din toi Thing to 56 21012012/TT-BTC ngAy 30 Wang II nam 2012 via 130 TM chinh vi viec Mama (Len ve thanh lap vA hoot dung tong ty chUng khoan, chi de. ke man doanh S

nghiep dupe BO Tai chinh ban hank kern thoo Quyet dinh se I 512006/QD-BTC natty 20 thing 3 nam 2006, the dO

Ske loan doanh nghiep duos 130 TAO chinh ban hanh kern then Quyet dinh s6 I 5/2006/QD-BTC ngay 20 thing 3 nam

2006 va cdc quy dinh phdp ly c6 lien quan din viec lap va VIM bay bao act tAi chat Trong viec tap bao cal) tAi

S third, nay. Ban Giam MSc dupe yeti tali phiti:

S • Lva then cat chinh sack ke man thich hop vA ap dung cat chinh sach 06 met each nhAt quan:

• Due re clic ter dean vi vetc rink met each hop 1Y va than trong;

S • Neu rib cat nguyen tic ki Loin thich hqp c6 (Woo tuan thu hay khOng. co nheng tip dung sai Itch vong yiu

can duqc tong be vA gill thich vong bao cao Si chinh hay khOng; S • Lep bao tan Si chinh tren co se, hoot dOng lien toc tn} trutmg hop khOng the cho ring COng ty se tiep nic

Ili hot dOng kink doanly. va

• Thiel ke va Mot hien he Wang kiem scat not be mot oath heu hitu cho mot dich lap va trinh bay hao cao

• Si chinh hqp ly Main hen the nli ro va gian in

■

■ • CONG TY C6 PHAN CHtNG KHOAN DAL/ Kid

S6 18 1.9 Thubng Kiel, quirt Hobo !aim Htt Nei, CHXHCN Viet Nam

• BAO CAO CBA BAN GIAM DOC (TIEp thee) • • • • • • • • • • •

• • • • •

■ ■ ■ ■ ■ ■ ■ ■

■ ■ ■

Ban Giam d6c Cbng ty chju nth nhiem dim We ring st, kb town duos ghi chop met cSch pha hop de phan inh mot

cash hop 19 tinh hInh MI chlnh mkt Ging ty 6 bit ky that diem Me vi dim bee ring bin tie Mi chlnh min the cic

chuin mvc ke win Viet Nam. che dO k@ tchin ip dung cho the ding ty chimg khan hid Viet Nam vi cac quy oink

phitp 19 c6 lien quan den viec lip va trinh bay ban ego tii chfnh. Ban Gam d6c cang chju uich nhiem dam hie an

toin cho it son dm Con ty vi thoc hien cic hien phip Mich Imp de man chin vi obit hien sac but vi gian lin vi sai

phial khac.

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va dai diem cho Ban Giam d6c,

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Ha Neg. %l Nam Tel .4844 6288 3568 Fax 4844 6288 5678 www Unlade comfy', co /VNIA-HN-BC

BA0 CAO KIENI TOAN DQC LAP

Inh gLi: Clic a ding

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c Inh ban hanh ken thee Quyet (firth s6 I 512006.VD-BIC ngay 20 thang 3 nam 2006 va cac quy djnh phap 19 oe

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yet minh ten bao can tai chinh. Clic thu tvc kiem Man dupe Iva chon dua tren sit dean ens Kiim Loan vien, bao

g m danh gia rei ro CO sai set Wong yen trong bac cao tai chlnh do gian lin hoac nhim lin. Khi thvc hien &Mil gia

c rin 10 nay, KiOm coin vien a xem xii kiem seal nOi be Na Clang ty lien quan den viec lap va trinh bay bac cao chinh trung thirc. hop 19 nham till& Ice cac the tuc Om loan phe hop vii OM hinh thvc te a toy nhien kltang

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hoth luu chuyen lien ta va tinh hinh bier Ong van chit se . Mtu cho nam tai chinh ket thitc ding ngay, phi' hop yen

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t1p 6 ;16 CM Minh then cac hop d6ng hop Mc du tit. Tel ngay 31 Mang 12 nAm 2014, cac nha diu tu da sir dung gin cac c6 phieu so hat, tien mat vA vac giAy chimg nhan quy4n s6 dung dit tai thanh ph6 H6 Chi Minh (COng ty da

khop (Pang veri mot cong ty *him clink gia dOc lap de dinh gilt cac quyen sit dung dAt nay) va inOt s6 tAi san khac vol t6ng gia trj 62.267.892.850 (fang de darn bao cho kha twang thanh loan cho s6 du no nay. Ban Giant d6c 'Ding ty

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chinh. klui nang thanh Loan cua nha du In cam; nhu kit& Wing xi:19 tai sin dam bao cua nha din tu va COng iy.

t chimg tor ;thong lien quan den cac van de nay.

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• RANG CAN DOI Kt TOAN

Tai mg:1y 31 thong 12 nam 2014

TIA1 SAN Ni so Thuyet

m in h

MAV SO B 01-CTCK Dan vi: VND

31/1112014 31/12/2013

A- TAI SAN NGAN HAN 100 785.956.242302 894.912.030.875

(100=110+120+130+140+150)

Tien vi cic khoin nrong throng den 110 6 268.890.679.368 216.127.072.454

I. Tien III 251.590.679.368 215.127.072.454

2; Ulu khoin Dicing &rang tiAn 112 17.300.000.000 1.000.000.000

U. Cac kboin diu or Si chin?) ngin bin 120 7 402.267.102.567 564.658.026.023

I: DAu tu ngin han 121 404.596.329.975 596.657.131.094

Z Dv phOng Om giA diu nx ngin han 129 (2.329227A08) (31.999.105.071)

S. Cic khoin phill thu ngin han 130 8 109.250.148.520 104.507.878.413

IL Phil thu khach hang 131 81.273.451.419 98.258.869.160

2. Tra tru6c cho npari bin 132 372.512.500 830.146.850

3. Phai thu hoot dOng giao dich chimg khoan 135 1.090.000 -

4. Cac khoan phai thu khac 138 29.175.097.835 6.560.879.237

5. Dv phOng phai thu ngim han kh6 doi 139 (1.572.003.234) (1.142.016.834)

IV. Hang ten khn 140 2.819.516.733 2.786.277.958

V. Tel sin ngin han khic 150 2.728.795.314 6.832.776.027

1. Chi phi tri try& nein han 151 651.926.654 948.973.156

2. Thue va cic kholin phii thu NM nu6c 154 85.580.739 85.580.739

3. TM sin ngin him khic 158 1.991.287.921 5.798.222.132

8 - 'FA 1 SAN DAI HAN (200-220+260) 200 27.888.084.105 32.090.301.132

L Tie sin c6 dInh 220 3.600.052.147 7.960.326.700

I. Tai sin c6 dinh hey hinh ni 9 2.805.330.987 5.004.168.815

4, Nguyen gid 221 17.744.617.830 17.630.320.830

; Gi4 1.1 hao men lity kei 213 (14.939.286.843) (12.626.152.015)

Tii sin c6 dinh ve• hinh 227 10 794.721.160 2.956.157.885

Nguyen gia 228 14.019.653.695 13.289.653.695

GO tr1 Iwo mon lay a 129 (13.234.931.535) (10.333.495.810)

O. Thi sin dil hin khic 260 24.288.031.958 24.129.974.432

I. Chi phi tea Dv& etsi han 261 14.176.804.128 16.371.904.465

2. Tien Op Qup ha trcy thanh loin 263 11 6.264.447.830 4.517.289.967

3 TM sin diii hp khac 268 3.846.780.000 3.240.780.000

TONG CONG TAI SAN (270=100.200) 270 813.844326.607 927.002.332.007

11

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Thu` i t

MAU SO B 01-MK Don vi: VND

31/12/2013

A - NQ PHAI TRA (300r-310+330) 300 214.861.218.141 332.541.218.123

I. Ng ngin ban 310 214.850.745399 332.530.745.38i

I. Vay ngin han 311 40.000.000.000

2. Phai tra ngtrin ban 312 42.272.788 1.754.587.873

is NguOi mua tra tiin truk 313 170.406.645 467.456.645

4. Thue 9* cac khoan phai nOp Nhi nu& 314 12 1.974.164.723 581.782.127

5; Pluli Ira ngaen lao King 315 2.772.331.295 11.145.483.075

6; Chi phi phai Ira 316 13 1.833.357.592 4.983.315.555

7; Clic khoin phii ink phii nOp ngin han khic 319 14 61.490.100.828 111.850.423.581

8: PIM i tra host Ong giao dish cluing khoin 320 116.561.806.802 147.970.568.725

9; Phil tra 110 c6 tire, g8c. va Ili mil phitu 321 30.079.671.803 13.891.982.200

10. QuP Mien thtri:mg, phOc Igi 323 (74.217.077) (497.967.077)

IL Daanh thu chtra time hitn nit", Kan 328 850.000 383.112.677

a U. Ng dii him 330 10.472.742 10.472.742

I. Dv phong b6i thuOng thitt hai cho nha diu to 359 10.472.742 10.472.742

8- VON CHB WHO'D (400=410) 400 598.983.108.466 594.461.113.884

L V6n the a& htru 410 15 598.983.108.466 594.461.113.884

16 Vim dieu It 411 598.413.000.000 598.413.000.000

2 Mang du On c6 ptan 412 67.439.970.360 67.439.970.360

31 Qup dv ptiong tai chinh 418 6.740.232.026 6.740.232.026

4. a lOy kt 420 (73.610.093.920) (78.132.088.502)

TONG CQNG NGUON VON (440=3004400) 440 813.844.326.607 927.002.332.007

■ CONG TY CO PHAN CHONG KHOAN DAV Kilt S818 LP Thutrng Kip, quip Holm Klein Bin do tHchInh

• Ha 1401, CHXHCN Viet Nam Cho narn Idi chlnh kit ihtic nay 31 thing 12 nam 2014

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BANG CAN DOI ICK TORN (TIEp then)

Tat ngdy 31 Chang 12 team 2014

89.163.000.000

78.800.000.000

78.800.000.000

12.139.850.000

•

12.139.850.000

30.841.650.000

100 000

30 839 270.000

I 280 000

47.827.490.000

89.163.000.000

20.000.000.000

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1.260.110.000

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1260.060.000

180.773.780.000

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LANG TY CO PHAN CHUNG KHOAN DAV K111 86 18 Ly muting Kift. n10110911 Kiem Hi N0i, CHXHCN Vift Nam

Bk. do Uri chiral Cho nam tai chfnh kft thnc ngay 31 thing 12 Min) 2014

BANG CAN Bel KB TOAN (Tap lbw)

Tgi ngdy 31 Meng 12 nam 2014

mAu so B of-croc Don VND

CAC CHI T1EU NGOAI BANG CAN DOI KB TOAN 31/12/2014 31/12/2013

006 12.241.614.990.000

007 10.365.445.110.000

008 135.170.000

009 10.287.591.820000

010 77.718.120.000

012 1.835.841.300.000

014 1.746 678 300.000

5.387 938 970.000

4.967.343.570.000

8111.460.000

4.881.130.090.000

77.702.020 000

298.813.900.000

209.650 900.000

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97.034.154.119

17 58.236.722.216

38.797.431.903

IS 33.722.942.647

5.074.489.256

488.000

52.982.674

(S2.494.674)

5.021.994.582

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C6NG TY C6 PHAN CHUNG KHOAN DAU KHi $o 18 LY Thutrng Kiel, gull, Hoan Kiem Hi N0i,CHXHCN Vitt Nam

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BAO CAO }CET QUA HOST DQNG KINH DOANH

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roAu sO B 02-erct Don vj VND

Oa -rift Na f buy&

s6 mint. Nam 2014 Nim 2013

150.637.051.780

10.709.869.726

23.261.435.620

1. Doanh thu hoot dOng kWh doanh chitin khoin

Doanh thu hoot ging moi gift' chUng khoin

Doanh thu hoot (Xing din tuchimg khoin• g6p v6n

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Doanh thu hoot Ong to van

Doanh thu luuk9 chimg khoin

Doanh thu khic

01 97.034.134.119

01.1 22.671.625.069

01.2 12.796.251.204

01.3 800.000.000

01.5 13.895.224.847

01.6 5.319.700.285

01.9 16 41.551.352.714

28.696.410.908

3.058.517.124

84.910.818.402

150.637.051.780

94.664.829.994

35.972221.786

50.914.366.866

5.057.854.920

395.894.562

2.777.738.756

(2381.844.194)

2.676.010.726

2. Doanh thu than ye hoot Ong kinh doanh 10

3. Chi phi hoot Ong kinh doanh 11

4. Lai gip dm hoot Ong kinh doanh (20=10-11) 20

5. Chi phi quan Ndoanh nghiep 25

6. Lin nhuan thuin ter hoot Ong kinh doanh (31$20-25) 30

7. Thu nh3p khic 31

8. Chi phi khic 32

9. Lo khic (40-31-32) 40

10. 'Ding Iqi nhuan ke coin trot thus` (50 ,40+40) SO

11. Chi phi thug thu nhipdoanh nghitp hitn MS) 51

12. 1.471 nhuin sou tbut thu nhip doanh oghitp (60-50-51) 60

13. Lai cu him trin c6 phitu 70

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Ngirrri Itp Kt loAn Inning

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LLUU CHUYEN TIEN TUTIOAT HONG KINH DOANH

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2i Bleu chinh cho tic khoin:

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Cac khoin du pheng 03

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Chi phi Lai vay 06

3. (L3)/41 nhu0n tir horst ding kink doanh trade that' 08

d&! van Iron dring

Thay 66i cac khoin phii thu 09

Thay d61 hang ten kho 10

They 46i cat khoin phii tie (kheong ke ISi vay phi' tea. dine 11

thu nh3p doanh nghiep phai mop)

May 661 chi phi we trutic ve Hi sin ngin han 12

Tien Ili vay d8 trS 13

Thud thu nh$p doanh nghiep de nip 14

Tien thu khic cho hoot deng kinh doanh 15

Ism chuyin tan thuin tie hops ding kink doanh 20

B. LIN CHUYEN TIEN Te HOAT HONG DAU TO

I. Tien chi de mua sem tai sin cd djnh va cac tai sin

deli bon khic I. Tien thu tt7 thanh nhucrng bin ISO) va cac nil sin 22

did hon khic

3. Tien thu hei din tu gap v8n vio don vj khic

4. Tien thu Iei cho vay, <6 tity vi lqi nhuin dugs chia

La aught flen thuiln tic hopt ding ethu tw

DI. LW CHUYEN TIEN it HOAT HONG TAI CHJNH

1. Tien vay ngim hon. deli hon nhin dIrqc 33

2. 'I . en chi tee nq g6c vay 34

btu chuyin din Main fir hoot ding tai chink 40

Lou chuyin Oen thuin trong nim (50=20+30+40) 50

Tien vi twang throng teen dau nim

Tien vi twang duang den cuSi nam (70=50+60)

L‘LLC:

Nguyin Nguyet Minh Dinh Thi Lan PhIlYSTIg

Nguiri Itp Ki win trvieng

Ha Not nay 10 thdng 02 nam 2015

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Nim 2014

21

26

27

30

60

70

MAU SO B 03-circx Dan vj: VND

Nim 2013

5.021.994.582 2.676.010.726

5.214.571.553 (29.239.891.263) (10.820.253.516)

731.923.612

(29.091.655.032)

6.723.028.258 27.903.350.792

(32.166.416.285) 202.730.556

5.338.704.047

(4.894.747.840) (33.238.775)

(79.754.907.845)

198.359.882.169

(827.923.612)

(682.250.000)

83.075.159.065

(854.297.000)

10.542.744.849

9.688.447.849

70.000.000.000

(110.000.000.000)

(40.000.000.000)

52.763.606.914

216.121.072.454

0.840i619.368

5.428.877.873 1.460.539.737

(125.302.846.003)

(34.922.635.099) (106.730.556)

(212.280.000)

(148.316.370.001)

(118.500.000)

412.218.182

120.246.200.700

34.917.985.072

155.457.903.954

89 900.000.000

(49900.000.000)

40.000.000.000

47.141.533.953

168.985.538.501

.216.127.072.454

om Quang Huy Glim dec

CoNG TY CO PHAN CHONG KHOAN DAU KHf

S6 18 L.j, Thubng Ki4t, qu$n Roan Kiim HA NOi, CHXHCN Vi62 Nam

USu can Ni chinh

Cho Min uli chink kit Mix nghy 31 thing 12 narn 2014

MAU SO B 05-C7'CK Don vj: VND

S6 tang/giant S6 du cuSi aim

Niel 2013 Nam 2014

31/12/2013 31/12/2014 Ting Gum Ting Clam

598.413.000.000

598.413.000.000

67.439.970.360

67.439.970.360

6.740.232.026

6.740.232.026

- 2.676.010.726 (500.000.000) 5.021.994.582 (78.132.088.502) (73.610.093.920)

• 2.676.010.77,6 (500.000.000) 5.021.994582 .._ S9 461.113.084 598.983.108.466

Phpm Quang Huy Giiim 66c

Thj Lan Pltuung KE loin trxr6vg

■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ Ill ■ ■ ■ ■ ■ ■ Ill ■ ■ ■ ■ ■ ■ ■ ■

BAO CAO TIN( HIND BIEN DQNG VON CHil SO Eitru

Cho nom tin chink kit Onic ngiry 31 shim 12 nelm 2014

SS du dim flint

Thuy6t 01101/2013 01/01/2014

CIII T16:1; minh

V6n dlu to caa 15 598.413.000.000 598.413.000.000

<MI so hOu

Thing du ‘6n cis pan

IS 67.439.970360 67.439.970.360

Qu9 dkr pheng chInh

15 6.740.232.026 6.740.232.026

1.610vki 15 (80.808.099.228) (78.132.088.502)

591.785.103.158 594.461.113.884

Nguy In Natty@ Minh Nguti lap

Ha ngay 10 thing 02 mint 2015

Cdc durya minh fit trang 11 den rrang 29 fa mot 60 ph0n hop thank ctia bdo coo !di chlah

10

■ • CONG TY CO PHAN CHIT NC KHOAN DAU KH1

Si 18 Ly Tinging Kitt, quirt Hob !Cam Brio nth tai chfnh

• HA Ni. CHXIICN Vitt Nam Cho nam di chfnh kat thec ngiy 31 thing 12 nAm 2014

• TIFIUYET MINH BAO CAO TAI CH1NH MAU SO B 09-CTOC

Cat Muyez mink nay M mat ba phan hop rhanh va can Cheat doc (long Mai s•en bay mio thi chin), kim rhea

• i. THONG TIN KHAI QUAT

• HMIs thtkc ser hem van

Cong ty Co plan Chang khan Diu khl (goi tit 16 "Oing ty") IA c6ng ty Co phin do Tip dub Diu khi Vitt

111 Nam con vOi <Ac co dons <hien Woo kb& thAnh lip tai Vitt Nam thco Giay phtp !drib doanh s6

0103014903 nay 14 thing 12 Man 2006 do SO Ke hooch va Diu to Minh ph6 HA Nai cap va Gay phtp

•!mat d4ng kinh doanh chang khoan s6 26O1BCK-GPIIDKD ngiy 19 thing 12 nam 2006 do Cy ban Chang

khoan NM nue° cap vOi so van diet' le ban diu IA 150.000.000.000 ang. Ngay 18 thing 02 tarn 2011. fly

ban Chang khoin NhA nuoc da cap Gay phtp diet chfnh so 1510PDC-UBCK. Theo dO, von diet' It ding ky

Ma Cana ty la 598.413.000.000 deng

• Ngay 21 Mang 7 Mint 2010, cif phi& caa Cong ty da dupe chfnh that giao djch tren Trung tam Giao djch

Chang khoan HA NOi (nay IS SO Giao dish Chimg khan Ha NOB.

Tang s6 nhan vi&n cOe Can ty toi ngiy 31 thing 12 nam 2014 It 149 ngutri (toi ngiy 31 thing 12 tam

• 2013 . 136 ngutri).

Nginh nght kinh don't va hoot dOng chin!'

• Ceing ty hot dOng trong vuc chung khoan.

•Hoot dons chink caa Cong ty la mei gien chin% khoan; tu vein tie chfnh, tu van din tu chimg khoetn; to

doanh cluing khoan; bio Link phat chimg khok valtru k9 chimg khoin.

U

■ BAo cao titi chfnh kern thee duoc trail), bay bang Dang Viet Nam (VND), thco nguyen tic giA got ye pho

•hop vOi chuin mac ke tan Vitt Nam, the dto ke wan Ap clung cho cat cents ty drams khoan duos BO Tai

chink ban PAM kern thco Thing tu so 95200211 -f-FITC ngiy 24 thing 10 nAm 2008 hang din ke tab ap

•dung dal vrki Ong ty chang khoan. Thong tu s6 16212010.7T-BTC ngiy 20 doing 10 nam 2010 hubris an

saa d6i, be sung Meng tu so 95/2008/TT-BIC nhung chua lok tit chi Mu Tien gal cUa nha diu tu ye

■ giao dick chant ?holm kheii bang can d6i ke tan, phi] hop yen Sang din tai Thong tu s6 2102012/TT-

BIC ngiy 30 'hang 11 arm 2012 ciut DO reti chink ye viec twang din ve thAnh lip v9 host Ong ding ty

■<hang khoan, chi dO to min doanh nghitp duct BO Tai Minh ban Muth kern thco Quyet climb 36 152006/QD-BTC ngiy 20 thing 3 nam 2006 va Mc quy (BM obey 19 cO lion quart den vitc lip va trInh

■ bay bAo cao tAi chfnh.

•

BIM Um tit chfnh kern theo kheng nhim phan ant 1Nh hinh titi chink, kit qua hoot dOng kinh (loath tinh

hint btu chuyin tien te va tinh hinh (hay di van cho sO hOu theo Sc nguytn tic va thong 10 ke town duoc

•

chip Man chung toi cat nu& kik n ngoai Vitt Nam.

Nam Ui chiral

Huang din chi di tit chfnh dot red ding ty chang khoin, Mug ty quAn Iy quy

• Ngay 06 Mang 10 nam 2014, BO TM chink da ban hAnh Thong tu so 14612014TT-BTC ("Thong tu 146")

•

huerng din the do tti chin), dal vol Mug ty cluing khoan, ding ty omen ly quy. Thong to My thay the

Thong tu so 11/2000/TT-BTC ngiy 01 thing 02 tam 2000 Ma Et* Tai chfnh huang din eh& do quail iy dc

•chill 66i vol cans ty chimp khok co Olin va trkh nhitm Mu hon. Thong ar 146 cte hitu Ivc thi birth ke

tit ngiy 21 thing 11 nam 2014 va an dung cho ram tAi chfnh 2014 at di. Ban Giarn d6c dank gia Meng tu 146 kheng co anh huOng trong yeti den ban cAo tAi chill ctla fling ty cho rim tat chfnh ktt thac ngiy 31

III thing 12 nam 2014. ■ 11

•

2. CO SO LOP BAO CAO TAI CHINE VA NAM TAI CH1NH

■ Ca s& lip bk trio NI chfnh

Nam till chiral caa C6ng ty bit diu N ngiy 01 thing 01 vet kit US veto new 31 thing 12

•

•3. AP DGNG HUONG DAN KE TOANNIO1

LONG TY CO PHAN CH(ING KHOAN DAV Kill S6 18 LY Thutmg Kitt. plan Rohn Kiern

Hi NOLCIDGICN Viet Nam

THUYET MINH BAO CAO TAI CHINH (flip then) Clic Minh minh nay Id mil bh phein hot, thanh sd eh+, duos

Bio ciao Hi chIsh

Cho Mini tai climb kit thac ngly 31 Mang 12 nam 2014

MAU SO B 09-CfCIC

doc Gong Mei veil boo cdo tai chinh kern Elmo

4. mitiNG DAN Kt TOAN Mol DA BAN HASH NHUNG CHVA AP DVNG

NO). 22 thing 12 nom 2014, BO TM chinh da ban berth Thing nr 56 20012014/TT-BTC ("Thong tu 200")

huOng din Sp dung the dO Ice roan cho doanb nghiep. Thong lit nay se co hieu luc cho nam Iii chinh bat du Ye° hoac sau ngay 01 thing 01 nam 2015. Thong tu 200 they the cho cic quy (firth ye the dO ke man doanh nghiep ban hinh thco Quyet djnh s6 15120061QD-BTC ngay 20 thin 3 nam 2006 cia BO TM chlnh va Thing tu s6 2442009/T7-BTC ngay 31 thing 12 nam 2009 cila BO Ti chit Ban Giam &Su Cong ty

Clang danh giA mic d0 anh huOng cia viec ap dung Thing tu nay din ac bao cao Hi chinh trong Wang lai

cOa Cann ty.

5. TOM TAT CAC CHINII SACH Kt TOAN CHO nu

Sau day IA cac chinh sach ke wan chi yeu duo° C6ng ty Ap dung tong viec lap bSo cao cal chinh:

tier firth ke loin

Viec IOp bao cao Si chinh tan thutheo cac chain Entry ke tan Viet Nam, the dO kA tan Ap dung cho cac

cOng ty chUng khan duoc BO Tai chinh ban hall kern thco Thing tu s6 952008/7T-8TC ngay 24 thing 10 nam 2008 huOng din Ice loin ip dung 46i vii <Ong ty chirng khan, Thing tu so 162/2010.TT-BTC

ngay 20 thing 10 nam 2010 hucang din Oa 46i, b6 sung Thing tu sb 9512008/1T-BTC nhung chin loci sr* chi lieu Tien giai cua Mk du tu vi giao dich chUng khoin khOi bang can 46i ke toan. phi hop vii Song din Hi Thong tu s6 21012012/1T-13TC ngay 30 thing 11 nam 2012 dm BO TM chill vi viec huOng din Ye thanh lip vi hoot ding cons ty thing khoSn, the do ke roan doanh nghiep duoc BO Tii child, ban heath kern Otto Quyet dill s6 I 5/2006/QD-F3TC ngay 20 thong 3 nam 2006 vA tic quy dmM phAp 1y c6 lien quan din vie° lap vA trill bay brio cho tai chinh yeti cau Ban Guam dc phai thing mac till va giA dill inh

hating den s6 lieu bao ao 1.4 cong no, tai sin va viec (Anil bay ac khoin tong no vi Si son tien tang tgi

ngly lep bao cao lai chInh <Ong nhu tic 56 hiu bao cao ye doanh thu vi chi phi tong suet nam tai chtnh. Mac di ac Ink Huh ke roan duoc Lap bang tot cA so hiku biat <Oa Ban Giant d6c, kit qua hoot deg kill

doanh thoc t6 c6 the khic vii tic tax BM. giA dill Qat ra.

Cling cu tai chlnh

Ghl nhin ban dito

Toi sin lei chink Toi ngay ghi nhan ban S. Hi sin tai chill duoc ghi nhan the* gii g6c cOng cac chi phi

giao dich c6 lien quan t zc nip dAn viec mua sam di sin Hi chinks di.

TM sin tai chlnh care Cong ty bao g6m tien, ac khan Wong ducmg tiro, clic khoin phai thu khich hang.

phial thu khac vi vac khoAn diu W ngan hon.

COng no gal chlnh

Tpi ngay ghi nhan ban din, <Ong no tai chinh duoc ghi nhan theo gift gOc cOng cac chi phi giao dich CO lien

quan tic lien dEn viec phai hilt cOng no Hi chlnh 66.

Cling no Hi chink °Oa Ging ty bao gem cac khoin phai Ira ngutri ban, Ishii lit khic, cac khoAn chi pH phial

ti va ac khoin hay.

Dinh gid 1plsau lin ghi nhin ban tau

Hien Hi. chua W quy djnh ve danh gii Hi cOng cu tai chill sau ghi nhan ban du.

Tien va cac khoin twang duong du

Tien va cac khoin tuang duong tien bao g6w nen mat Hi quf. cac khoin nen gin khOng IcY hon. ac khoin

dau to ngin hurt, c6 khA nang thanh khoAn cao. de clang chuyen 416i thanh nen vi It rtli ro lien quan den viec

bien ding giA ti.

12

■ • CONG TY CO PHAN CHUNG KHOAN DAU KIit

SeS 18 L9 llurbng Kiet, quan Hain Kiem Rio cio tai chlnh

• I4 Nei, CHXHCN Viet Nam Cho nam tai chub ket thic nay 31 thing 12 ram 2014

•THUYET MINH BAO cAo TM CHINN (Tiep theo) MAU SO B 09-CTCK

Cdc thuyit minh nay ta mar fro ph2n hqp thanh va cdn dune dot dons then vat bdo can tai chlnh ken then

15 5. TOM TAT CAC CHINN SACH KE TOAN CHO YEU (Tap thee)

• Tien vi tic khoin twang duong teen (Tiep theo)

• Tien gin ngin hang bac, gem ti6n girl caa nha dau to ye gnu., dich chang Warier' phan anh cac khoan d9t coo

•ay thac cart nha dau tu chant!, khoin tai ngin hang chi Binh cho mac dich that° hien cac giao did chUng

Moan.

■ Tien gal thank tan ba Ira ciao dich char% khoan la cac khoan dett ccc cbo vies thvc hat cac giao dich xda

•lenh vA kh6p lenh 14i 'Dung tarn Gino dial cling khoan vA Trung tarn Lou ky chimg khoin.

■ Diu 1tr ngin bon

III Diu to ngin han ban g6m thing khan thuong mai va tic khoin du tu ngin ban khac ciut Cong ty. Diu

to nitan hem khac chit yea bao Om hlnh Mac "hop tic dau tu, ay tithe quan ly dunh mac gm tu. ay thew

•quan 19 vem" vbi nha dAu N. Theo d6 loi nhuan Oath chia cho COng ty khting phu d* vao 141 qui kink doanh cita nha din tu; Cong ty duoc huemg loi nhuein thee ty le c6 dinh tren phin vein hop tAc cOa mirth,

1. theo s6 ngay Vatic to hap tic.

•Diu to ngin hon dupc ghi nh*n thee gin g6c tit dv phong giam gia diu tu ngin han.

■ Dv phOng giAm gia cho cac khoin dau to ducic Cong ty van dung Moo nhu boons din tai 'Thing to so 2282009,TT-BTC ngAy 07 thing 12 nam 2009 cila BO TM chink hueing din the de trio lap va sti dung cac khoim dtr phbng gam gin hang Ion kho, ton that cite khoan diu tu nil chinb, no phai Mu k.h6 del va bao

• hank sAn phim. hang boa, cling trInh xiy lap tin doanh ng,hiep va Thong to se 1462014rr-BTC huting

■ din the de tai chlnh ddi viii cong ty chimg khoan.. Ong ty quan ly guy. Theo d6:

- Doi vOi chimg khoin chua niern yet va chug ding ky giao dick du phong glean giA cho cac chimg

•khoan duot Marc hien wen co so danh gia caw Bun Clam dec ye gib vj suy gilim cAa cac co phieu, dna

tren mac gift giao dich thoc to then bao giA can 3 chug ty dating khoin Ichitc c6 giao dich tai then diem

• gin nhit veri thbi diem trich lap dv phong dung khOng qua met Mang club den ngAy frith lap dv phOng do Cdng ty thu thGp bao g6m: Cons ty Cd phin Ching khoin MB, COng ty Cd phin Ching

■ khoin Diu tu Viet Nam va Cong ty CO pit Chung khoan Ngin tuing COng thuong Viet Nam.

•- Den veti hoot dOng hop hic diu tu. do phOng giArn gig Choc thvc hien tren co so danh gia call Ban

Gum dec den veri [frog hop Clang hop tic ditu to phi hop v6i dieu 160 tali trutmg cluing khoin tai Mai

•diem inch lap do phdng vi thorn khAo bao gilt caa 3 cong ty chimg khotin khac do Cong ty thu chap bao gAm: Cong. ty CO phi) Chang khoan MB. Cong ty CO phin Chang khotin f)Au tu Viet Nam va

•COng ty Cd phin Chung khoan Nan hang COng thuong Viet Nam.

■ Dv phing gam gia diu tu ngin han dupe ghi nhian vao chi phi hoot (hang kinh doanh chang khoan cOa

Cong ty.

• Gil got cent cac khoan diu to xAc chilli theo phuong flap birth quip gia quyin.

• Phil thu klatch hang

• Phil thu khach hang bao g6m phi' thu phi cong cap dich vu mOi glen, tu van cho nha dau tu, Iii dv thu ye

■ dich vu iii chink. va tic khan phi' thu ve dich vt, khic.

• 13

•

- t>61 yeti chimg khoin di niem yet, fling ty ap dung gin dang ctka tai ngay gin nhAt ce• giao dich Unit

• an ngay trich lip dv phOng.

• - D6i vii chimg kholn ding ky Ow MO (cd phieu ding ky giao dich tai Upcom), COng ty Ap dung giA gia (hang cira tai ngAy gin nhit c6 giao dich tub den ngily Web lip du phdng.

III

■ CONG TY CO PHAN etaiNG KHOAN DAU Klil S6 18 Ly Thaing Sift, quan Hoan Kiern Rio cao tii chInh

10 N6i, CHXHCN Viet Nam Cho ram tai chinh kit thitc ngby 31 thing 12 Min 2014

THUYBT MINH BAO CAO TAICH1NH (tip that) MAU SO B 09-CTCK

Cdc thupir mink nay le mot ba piadn hop thank va can &on dpc thing thin veil brio trio tai chtnh kin theo

5. TOM TAT CAC CHINH SACH ICE WAN CHO YEU (Ties theo)

• Phil ta hi co tire, g6c va Ili la: phiea

• Phai tra h0 rb nrc, gbc mil phiEu phan anti s6 phi: In va tlnh hinh thanh wan c6 Mc, g6c va 11i trail

phieu ma Ging ty phAi tit hi cho chc chi: se Mu chimg khan do to claim phat hAnh chic:1g khoan

quyen. Phii tri c6 tOc cho c6 ding phin anh 56 pitch tra v9 tlnh birth thanh wan c6 It, lai chia cho co

dong, nguen gap win, ben gip vein cOct cong ty chang khohn.

■ Phil In host ding giao djch cherng khotth

Hoot (long mai gib: thing khodn cho nha dam tv

•Doanh thu hoot dOng mei glen chimg khoan dupc ghi nhan men bao cao kit qua hoot ding kinh doanh khi

thuc thu.

■ Hoot clang dau rtr eking Moan, gap van

1111 Doanh thu hoot ding dau to chtmg khan, gip yen bao gem cac khosin them Itch Ili ban chimg khoan

1.1 doanh ct7a cdng ty chino khoan (thror ghi nhan dua tren Thong bao het qua thanh Loan bo giao djch

china khoan <Oa Thing tam Luu ky chUng khoan) via khohn thu lot nrc cb phieu, lfli trai phieu, thu to hoot

■

ding gip v6n lien doanh, lien kit (lii dlu to c6 phieu duos ghi nhan tren labo cao kit qua hoot ding kinh

doanh tren co set thing ban chia cim tb chic cb c6 phAn do COng Iy nim gift Ili Mu nr trai phieu va

1111

M hoot ding gip von lien doanh, lien kit thrqc ghi nhan vno bho cao kit qua hoot ding kinh doanh tren ca

s6 din tick).

Hoot thing kilo !anh pink hank, doi phat hank clnkng !Junin

Dearth thu hoot ding bao lanh phat hanh va do: ly phat hanh chimg khofm duct ghi nhan tren bao cao kit

1111

qua hoot ding kinh doanh khi han Minh vies thing bao kit qua phAt hanh chimg khohn.

Hoot dung iv van

Doanh thu tir hoot ding to vein duct ghi nhan tren bao cho kit qua hoot ding kinh doanh khi djch vu di duct cung cap, doanh thu duct xac Cljnh tuong &Si chic chin va xac (ISM duce chi phi phat sink cho giao

djch oh chi phi a hail thanh giao djch cung cap dich va db.

Hoot thing lint kf• thing khodn

■ Doanh thu t6 hoot ding lvu ky chimg khoin cho nha dao to :lucre ghi Min nen ban cao kit qua hoot ding

kinh doanh khi thuc thu.

1111 Hoot (long dy thdc dam gid

111 Doanh thu hoot dOng ily that du gift duos ghi Mahn tren bao cao ket qua hoot ding kinh doanh khi thuc

thu.

Doanh thu khdc

IN Doanh thu khic bao Om doanh thu Ili tien pli nail hang. Ili Icy phieu ngin hang, Ili thu dopy to hop

111 ding ban chimg khoan, 11i thu dupe M hoot ding giao dich ky quy. Doanh thu khic duo° ghi nhan tren bao ao kit qua hoot ding kinh doanh tren co s6 d& itch.

• 14

•

Phii tra hoot dOng giao djch thing khoon phan hnh khan nen COng ty nhan N cic rdui dau to di thuc hien

can giao dich mOi gib: chimg khohn va qua° 19 tai khan giao djch chin khan cho nha Mu tit.

• Doanh thu

■ • CONG TY CO PHAN CHONG IKHOAN DAU KFFI

sts 18 Ly Muting Kier, gain Horan Klein Bao do Si chink

• 111 N0i, CHXFICK Viet Nam Cho nam tAi chink ket theic ngAy 31 twang 12 ram 2014

•THUYET MINH SAO CAO TAI CHINFI (Tiip then) MAU SOB 09-CTCK Cdc rhuyit mirth nay mOt bO phon hop thank va can thtoc dpc thing thdt son boo coo ten ch1nh k4m into

• 5. TOM TAT CAC CHNI1 SAC}, Kt TOAN CHt YEU (TiEp theo)

■ Chi phi di vay

• Chi phi di vay &roc ghi nhin vac Wm an lal qua hoot dOng kinh doanh khi phai sink.

Thue thu nh$p hoan loi dutyc link tren cac khan chenh Itch giaa gia vi ghi se va ca sb Minh thue thu nh(ip

• c ilia can khoan muc tai san hoc tang np tren bAo ato tai chInh va dupe ghi nhin thco phvcmg phap bang can del ke loan. Thue thu nhap both lai phai tin obit dam ghi nhAn cho tit ta eic khoan chenh Tech tom

• that can tai san thue thu nhap hoan Wi chi duce ghi nhin khi chic chin c6 del loi nhuin Mill thue trong twang lai a khau at tic khoan chenh Itch torn then. Trong aim, mac d6 Igi nhuen tinh Owe tea Cemg ty

•am, tuy nhien, do khong chic than ve loi Ich kinh to vong mang lai thu dupe to ctic khoan nay cling nhv cAc khoan chenh Itch tom then link shut din nhip doanh nghiep Itheng trong yea nen Citing ty khang ghi

■ nh$n Ni sankong no thue thu nhAp doanh nghiep hob

■ Thue thu Map twin loi dam sac dinh thco thue suit du tinh se ap dung cho nAm tat sin dupe thu hei hay no phai tra ducrc thank twin. Thue thu nhtip twin loi duoc ghi nhiln vao bit° tali kit qua hoot dOng kinh

■ doanh trit truemg hop kboan thue 46 c6 lien quan den cat: khoAn muc dupe ghi thing vao von chi: set MN. Trong witting hop do. thue thu nh$p hoan lai cling dime ghi thing vAo van chn sb hem.

• Tai san Nue thu nh$p twin lai va no thue thu nh$p lai phai tra &roc bd tat khi COng ty c6 guyen hop

■ phi*de bu Ur giita tat san thue thu nh$p hien blab v&i thue thu nhip hien hash phai nem vi khi cat tin sin thue thu nh$p hoan loi va np thue thu nh$p hoAn lot phai tra lien quan ten Owe thu nhip doanh nghiep dam quint 19 ben cling met co quan thus va Cling ty c6 thanh loan thue thu nh$p hien hash tren co sb

• huts.

• Viec zee dinh thue thu nhip coa C6ng ty can ar vao can quy (filth hien hank ve Owe. Tuy nhi&n, Ethan); quy dinh nay thay d6i thco rung thbi ky ve viec x& dinh sau tang ye thue thu nh$p doanh nghiep ttly

• thuOc vao 'di qua kiem tra els co quan thy! c6 thin quyen.

• Cie loci thue khac &roc ap dung Oleo cog lac thue hien Minh tai Viet Nam.

• 6. TIEN VA CAC KHOAN THONG DU1TNG TIEN

■

31/12/2014 31/12/2013

• VND VND

• Tien mat 102.686.219 350.693.447

Tien gin ngin hang 215.016.476.281 204.338.646.721

• Thong 86: Tian glii Sa Nhd ding to 140.664.891.576 178.618.644.801

•Tien ei thank coin bit at giao dich titans khaki 36.471.516.868 10.437.732.286

Trong do: Thin gin Sa Mid ddu tv 35.529.019.608 10.001.812.002

• Cat khaki twang duong tiOn 17.300.000.000 1.000.000.000

• 268.890.679.368 216.127.072.454

• 15

•

• Thue

• Thue thu nhiip doanh nghifp the hien tong gia tri caa se thuE phai Mt hien 4i va se thue holln

• ScS thue phai vd hien tai dam tinh dun tren thu nhilp chit, thue trong nAm. Thu nhip chiu thue khac veld 1M nhutin thuin &cc trinh bay tren bao can ket qua hoot dOng kin], doanh vi thu rthep chit' 'hue kitting bao

• gam cat khoan thu nh$p hay chi phi ash thue Isaac dime khAu tit trong cac Mtn Id* (bac gem ea Io mang ■ sang. nett c6) va ngoai ra kheing hart g6m cgc chi lieu kheng chju thue hods kheng dupe kheu tot..

■ ■ • U

• • • U

• • U

• • • • S U

• • • • • • U

U

• • U

•

a • •

LONG TY CO PHAN CIWNC KHOAN DAU KHI S6 18 Ly Throng Kith quer) Hohn Mem Bee trio tat chfnh

He N6i, CHXHCN Viet Nam Cho nam Di chfnh ket DIM ngey 31 Mang 12 nam 2014

THUYET MINH BAO CAO TAI CHINH (Dip then) MAU SO B 09-CTCK

Cdc thuyth mirth nay Id mdt ItG phOn hop thanh Ito cein dirge ttpc thing that tool bdo ciao tat chink kim thee

7. CAC KIIOAN DAU TIE TAI CHINH NGAN HAN

31/12/2014 31/12/2013

VND VND

Ching khoan kinh doanh

C6 phieu chua niem yet - giao djch phi tip trung 0) 209.537.345.644 289.269.221.823

Co phieu niem yet 105.441.842 13.217.911.793

209.642.787.486 302.487.133.616

Diu to ngan hon khac

110 tac dau iv, ay that quJin 19 win, ay thic quin 19 danh mvc

deu tv (ii)

50.122.076.026 109.664.922.350 GI 4s.r.n

Hop d6ng mua chimg Oman, ban clang khoin 5.076.575.818 23.868.625.818 DI

Giao djch k9 qu5" thing khoan (iii) 139.754.890.645 160.636.449.310

194.953.542.489 294.169.997.478

Tit: Dv 'Mang giam glf Mu tu ogin ban

Dtr phang thing khoin chug niem y8t (2.302.953.326) (31.600.678.505)

Dy phang chting khoitn niem yet (26.274.082) (38.426.566)

Dtr phang hop LK dau to (360.000.000)

(2.329.227.408) (31.999.105.071)

Dan tu lai chfnh ngin bun 402.267.102.567 564.658.026.023

(i) IENSi vOi cat khoAn diu tu ngtin han CO phieu chua niem yet, Lai ngay 31 thane 12 nam 2014, Cons ty

dA denh gift met each then trong ye nil ro gi6 ctla cac rA phieu nay va dva tren co se thu thep bao gift Ma 3 con ty chums khoin (trinh bay tai Thuyet minh se, 5) de Erich lep dts phOng giam gib cho cac

khoan diu tu nay yen s6 Pen 18 2.302.953.326 &mg. Cong ty da then tnyng danh gift ve fin Rang rang

thong tin van cac bao gift thu thep dupe ph8 hop v&i mire dO giam gift cos cac khoan diu tu My.

(ii) ThE hien s6 du clic hop dem& hop tee dgu tu, ay tlhic quail 19 v6n va ay auk guar, danh muc dau Iv vao chime khoan chua niem yet. lid nay 31 thong 12 nam 2014. Cong ty da &Anti gib mot each then

trona va dva tren co se thu Map bin gift Ma 3 Ong ty Chang khoin va khang djnh Cling ty kheong phei

wich lep dv phOng gilim gift cho cbc khoan diu tv My.

(iii) Giao djch k9 qu$ chUng khoan phin aM se ■ tien CAng ty de cep cho nha (Du tu th6ng qua djch vv va

tai khoan k9 qu5'. Cling ty kiem soar rOi ro hoot Ong nay thong qua viec quasi 19 s6 luong va gia trj

thing }Moan tai tang thari diem.

16

■ ■ II ■ ■ ■ ■ ■ 1111 ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ II ■ II LONG TY CO PHAN cuirric KHOAN DAU Kill 16 18 IS Thutmg Kiel, qu4n Haim Klein Ha N0i, CHXHCN Viet Nam

Etio min tii c IUD h Cho nam tat chlnh kat thOc ngaly 31 thing 12 aim 2014

MAU SOB 09-C7CK

TRUTH MINH BAO CAO TA, CHINK (114p Ibee) Coe thuyit moth nay la mot b0 ph4n hop thank vo ciin chroc cloc thing dui, vai bdo ccio tai chlnh Urn Oleo

7. CAC KHOAN DAU TIf TA1 CHINH NGAN HAN (T1tp thee)

Chi het du ph/mg cat khoin dau to tii chlnh ngin hint

Gii trj Ibto st3 StS loin Ting

So vat gib thj t nnirng

Giant TOttg gii tri the* gib thj crtrImg

Chi tiita 31/12/2014 01/012014 31/12/2014 01/01/2014 31112/2014 01;01/2014 31/12/2014 01/0/2014

VND VND VND VND VND VND VND

Cb pliiin Mem yit 105.441.842 13117.911.793 36.114140 26.274.082 38.426.566 115581200 13.179.485-227

Tang Ong ly Ca phin !itch vu thuit Diu khi 551.370 5.534.750 228.730 780.100 5534.750

lag Cdog ty phis Djch vu Tang hap Din !chi 103130 203.000 330 103.500 203.000

Ging ty Ca phis Diu to H9 tingvi Do In Diu Mil 265.720 265.720 85.920 179100 265.720

Cans ty Ca phin Nhua vi mai twang unh An Phil 13.093.399.000 13.093.399.000

Can OS phi& kJ* 104.520.922 118.509.323 35 885.310 26.187.832 38.426 566 114.218.400 80.082.757

U7 Sic din it 12.000.000.000 49.900.000.000 • 12.000.000.000 49.900400100

Cong ty CO phin Diu to vi Thuong moi Din khi S&i 12.000.000.000 12.000.000.000 12.000000000 12.000.000.000

Wing

Tang Cong ht Ca obit Dub vy Tang hop Diu khi • 37.900.000.000 37.900.000.000

Ca phiea elm nittn yet 209337345.614 289.269.221123 35.100 • 2.302.153316 31.600.678305 207.234.427118 257.668543.318

T6ng <Ong 221.642.787.486 352387.133.616 36.149.140 - 2329.227.408 31139.105.071 219.349.709.218 320.748.021.545

17

1111••••••1111111111•111•••1111111•111111•11•••••••••• COOING TY CO PHAN CHtING KHOAN DAU Kid SS 18 LV Thuong Kitt, (min Hein Kitm Hi Nai. CIIXHCN Vitt Nam

THUYtT MINH BAD CAO TAI OHNH alto) Cdc Moyle murk nay 2d mOt Not*: hop rhanh va can dupe dot clang shah vai brio tiro tar think kern rhea

Rio cio tli chinh Cho nim tii chinh ktt thaw ogity 31 thing 12 aim 2014

MAU se B oa-crca

8. CAC KHOAN PHA1 THU NGAN HAN

St diu nim

Chi tits fang") Qui ham

So phis slob lay ki ti diu nim din ruin

K.116 del ling Giim

ant sit ruai nim

Qui bin KIM doi

S8 di Otani di

11P

VND 3'N17 VND VN1) YND YND VXD VND VND

I. Phil thu khich hing (0

2. T ri inrac chi win bin

3. Phli thu host ding:Lao tibli chant khoin

- Mai thu to (has phai hank (boo lank ph/4 har-b)

chamg khoin

A Thai GTGT dip( khiu t ri

5. Pali thu nit by

6. Phii thu kith (ii)

gum

98.258.869.160

830.143850

6360.879137

1.909.773.613399

3111.731.472

1385.000

1.385.000

541.042.003

- 1.856.114.456.816

• 542.473.042.762

1.926.759.031.140

3.672.365.822

295.000

295.000

547.042.003

1356.144.453816

519.858.824.161

372-512300

81.273.451.419

1.090.000

1.090000

29.173097.835

2.226.938.794 1.572.003.234

105.649.895147 - 2.455.461387.633 2.150.290121.126 110.822.151.754 2.226338.794 1372.003134

( 0 Sti du cac khoin phii thu khaki% Mug bao Om 56.191.530.418 doing phai thu mat ahem cot nha du tu nil Minh ph6 ti6 Chi Minh Oleo cac ham long hop Mc diu tu. Tii ngiy

31 Mang 12 ram 2014, cot nhi diu to di sit dung gia u-i cac cli phieu sii hau. bin mit va cac giAy chirng nhin guy& sit dank dat titi Minh pha 116 Chi Minh (01ng ty di ky hop

clang vial mOt tong ty !him djnh gia dOc lip dt djnh gib cac quytn id dung dat neu trim) vi ntat st1 Mt sin Mt v6i tAng gii tri 62.267.892.850 (tang de dam ban cho khi ning

thanh toes cho s6 du no nay. Ban Giant der Ging ty tin Meng ding, gia tri quyen sic ding dit neu On ea duct dints gia phi) hop veri gia thj wing, tdi sin brio dim to tints thanh

khoin cao va Cang ty c6 tht kiem coat va thanh IV tai sin di thu hal no vi gia to c6 tht thu hal du dt ht) dap so du cac khoin phii thu co him quart Do do, Ceng ty khang trIch

lip du phOng phai thu ddi v&i car: khoin phai thu nay.

(ii) Chi net s6 du cac khoin phii thu khic nhu saw

31/12/2014 31/1212013

YND YND

CS nit vi Ili titn gui 283.542.933 561.051.600

Phai thu do chi ha cgi tic 215.580.178 362.366.279

Phil thu vt hop dAng ky qua chimg Masan 23.176.862.123

Phil thu khic 5.499.112.601 5.637.461.358

29.175.897.835 6.560.1179.237

18

12.916.834.553

1.930.919.577

3.769.792.455

2.022.452.290 14.939.286.843

874.411.410 2.805.330.987

1.234.376.360 5.004.168.815

TO ogly 31/12/2014

GIA TR/ CON LAI

Tat ngity 31/12/2014

ngay 31/12/2013

1.040.000.000 14.029.653.695 12.989.653.695

10.125.431.294

2.797.673.284

208.064.516 10.333.495.810

103 763.441 2.901 436.725

14.733.457.130 2.896.863.700 17.630.320.830

10.963.664.675

1.953.169.878

CIA TI21 HAO MON LOY KE

TO nay 01/01/2014

KhAu hao bong nam

311.827.957 13.234.932.535 12.923.104.578

"28.172.043 794.721.160 66.549.117

91.935.484 2.864.222.401 2.956.157.885

■ LONG TY CO PHAN CHUNG KHOAN DAU KH1 S6 18 Ly Thrremg Kiel. quan Han Kiern Elio can HI chInh

111 CHXHCN Vift Nam Cho nam Hi chInh kit thOc nth, 31 thong 12 nam 2014

THUYET MINH BAO CAO TAI CH1NH (Tier, theo) MAU SOB 09-CYCK

Cdt rhuy s minh nay M mOt ba• phdn hop thank va can *cc doc ding ihei yen bdo coo rat chinh e'en: then

9. TAI SAN CO DUNE HOU HINH

Thief bj van phang Phrrong lien van tai flog

VND VND VND

S NGUYEN GIA

ngiy 01/01/2014

Tang trong nam 114.297.000 114197.000

TO nay 31112/2014 14.817.751.130 2.896.863.700 17.744.617.830

S

1.662.487.340 12.626.152.015

359.964.950 2.313.134 828

Nguyen gia cart TSCD bao g6m ak TSCD de kith hao hit nhung vin con st dung vtri gib trj LA

4.421.841.513 d6ng (31 thin 12 nam 2013 4.057.346.904 ding).

S 10. TAI SAN CO DINH VOIHINH

S PhAn mbn Ong dyng

VND

111 NGIJYgN CIA

ngay 01/01/2014

Tang trong nam

Tai ngay 31/12/2014

CIA TR/ CON LAI

T.1 ogly 31/12/2014

T;I oily 31/12/2013

Nguyen gia can TSCD bao gem raic TSCD da khau hao hit nhung van con m: dune vO: pa tri

12.192.905.425 ding (31 thing 12 Nun 2013: 1.233.190.675 ding).

19

12.989.653.695

S

■ • • ■ ■ ■ ■ •

ngity 31/122014

GIA TR1 HAO MON LOY KE

ngiy 01/01/2014

Khiu hao Hong nam

Kluft T6ng VND VND

300.000.000 13.289.653.695

740.000.000 740.009000

gm=

■

a a

COW; TY CO PHAN CHVNG KHOAN DAU KH1 S6 18 Ly Thutmg Kitt. qu(ln Holm Kiln Rao tii chinh

Ha N0i, CHXHCN Vitt Nam Cho Mtn di chinh kit thee ngiy 31 thing 12 ram 2014

■ THUYCT MINH BAO CAO TAI CHINH (Tiip theo) MAU So B 09-C.-MK

a

Cdc Moyer moth nay Id mot bd phdn hop Math vd Mn chtoc dpc ddng Mei viii bdo cdo tdi chink .tho theo

11. TIltN NQP QUit HO TAO THANH TOAN

31/12/2014 31/12/2013 VND VND

a Tien ndp ban dAu 120.000.000 120.000.000

Titn nip be sung 6.130.021.283 4.382.863.420

• Tien lai phan b6 trong nal° 14426.547 14.426.547

■ 6.264.447.830 4.517.289.967

• 12. THUS vk CAC KHOAN PHAI NQP NHA Nt1OC

•

a

31/12/2014 VND

31/12/2013 VND

• nue gia trj gia tang din ra 569.277.352 265.118.066

Thu thu nhap 0 nhan 1.404.887.371 291.757.185

II Thue nha thin 24.906.876

a 1.974.164.723 581.782.127

III 13. CHI PHI PHAI TRA

III 31/122014 31/12/2013

a VND VND

Chi phi All vay 96.000.000

a Chi phi trich tnr6c chi phi hqp d6ng us van 700.000.000 2.080000.000

a (..-hi phi trich Truk th0 lao dm 1-10i d6ng Quin tri va Ban 121.427.004 1.019.877.000

Kitm attic

a Chi phi lAi trich nu& Hqp d6ng mua gom trai phik 480.277.778

.

Chi phi phai tra kit 1.011.930.588 1.307.160.777

1.833357.592 4.983.315.555

• 14. CAC KHOAN PHAI TRA, PHAI NQP NGAN HAN KIIAC'

a 31/12/2014 31/12/2013

al

a

VND VND

Nhan din coo ni cac t6 chk tai chink

Phdi tra S6 Ciao djch thanh roan btl tril 3 ngity cue' nim 57.830240.123

70.000.000.000

39.369.603.500

a Phil tea, phai flop khac 3.659.860.705 2.480.820.081

• 61.490.100.828 111.850.423.581

• • •

20

■

a a a VND

59.841.300 598.413.000.000

59 84'1.300 598.413.000.000

59.841.300 598.413.000.000

T• 01/01/2014 din 31/12/2014

St c6 phieu

V6n c6 phi n &roc duyjt

V6n 48 phin di pith Muth

C6 phieu ph6 thong

S6 c6 phieu hien clang Iwo Minh

C6 phieu ph6 thOng

Bien dOng s6 c6 phi n trong 'tam nhtr u:

CONG TY CO PHAN CHUNG KHOAN DAL/ KI4I S6 1814 ThuOng Kitt qu$n !loan Mem Ha NOL CHXHCN Vi6t Nam

Bin do Dal chinh Cho nam iki chinh kit thdc ngay 31 thing 12 nam 2014

TBUYtT MINH BAO CAO TA., CHINN (Tlip then) MAU so B 09-CTCK

Ctic thwyet minh nay la mat ha phin hop thanh vd coin dove (Mc thing thei who bao cao Mt chinh Rem theo

VON CHU SO HCYU

Thay d6i trong v6n chi 5d hem

Thing du von Du, du Mien Win dieu phin

ai chinh a la, ke

Timg

VND

VND

VND

VND • U

S

U

• • • •

Til ngiy 01/01/2013

Gdp v6n Irons nam

14si nhuin trong nian

Tyi ngiy 01012014

Loi nhuin Vag Min

Trich lip guy khen

thuOng.phoc Igi

598413.000.000

598413.000.000

67.439.970.360

67.439970340

6.740.132-026

•

6.740.232.026

(K808.099.228)

2.676.010.726

(78.132.088.502)

5.021.994.582

(500.000.000)

591.785.103.158

2.676.010.726

594.461.113.884

5.021.994.582

(500.000.000)

ngiy 31/122014 598.413.000.000 6 7 .439.970.360 6.740.232.026 (73.610.093.920)

31/12/2014

598.983.108.466

S6 c6 phieu VND

■

a a • S

S

• S • U

U

•

16.

S6 du diu narn phieu ghat hanh trong nam

S6 du cu6i aim

DOANH THU KHAC

59.841.300

59.841.300

Nim 2014 VND

598 413.000.000

598.413.000.000

Nim 2013 VND

Doanh thu hoot dOng mua chting khoan, ban thing khoan

Doanh thu 1111 lien gen

Doanh thu ay thitc guan ly danh time diu to, hop tic din iv,

ay that quan 1Y von (•)

Doanh thu giao djch ky guy thing Oman

Doanh thu khic

2.215.230.390

5.037.432.782

2.967.479.545

22.989.827.940

8.341.382.057

4.182.596.509

10.180.173.607

47.149.048.172

17.694.941.973

5.704.058 141

41.551.352.714 84.910.818.402

U

• (•) Phan Anh phin Jai Cdng ty thu door tir do hop dog ky veh cac t6 chic vet ca nhin hong main. Hoot

dOng dy that guilt Iy danh muc diu at Cang ty chiu n1i ro va hoot dOng hop tic Mu tn, Oy thic quail

C6ng ty httimg phi GA dinh khemg chju rtli ro.

21

■ •

•

•

•

GONG TY CO PHAN CHUNG KHOAN DAU Kill S6 18 L9 Thiterng Kip, Hoan /Dern HA N0i, CHXHCN Viet Nam

Bio do Si chink Cho nam tai chinh kit th6c ngay 31 thing 12 nam 2014

THUYET MINH SAO CAO TAI CHINN (T4 then) Cdc thuyth minh ndy ld mot 60 pia hop thanh va cdn duqt

17. CHI PHI 110AT BONG KINH DOANH

h1AU So B 09-CICK dem ding that IA helm coo tai chinh kem then

Nina 2014 Nam 2013

VND II ND

Chi phf hoot ding mai giOi ch(mg khoan 9.289.791.943 5.632.755.526

S Chi phi host ding din to chfmg khoin, gip yen

Chi phi hoot den& to van

44.100.106.570

10.052.062.220

2.827.199.804

14.872.902.659

5 Chi phi hoot dOng Itzu ky chUng khoan 4.551.040.573 2.333.086.879

(Holm nhip)itrich lip chi phi du phong (29.669.877.663) 24761.333.958

II Chi phi khan (i) 19.913.598.573 42.237.551.168

• 58.236.722.216 94.664.829.994

Nam 2014 Nim 2013

S VND VND

Chi phi nhan vien quan ly 9.615.736.104 22.110.925.322

• Chi phi vet lieu quan ly 33.393.091

•Chi phi d6 dung van phimg 340.302.755 1.030.853.252

Chi phi khau hao TSCE) 1.857.581.331 2.931.574.824

• Thui, phi va H phi 1.486.695.303 2.633.859.838

•Chi phi du phong (•) 429.986.400 1.142.016.834

Chi phi dick vu mutt ngoai vi chi phi khac 19.992440.754 21.031.743.705

111 33.722.942.647 50.914.366.866

en The hifn ;thin trich lip du phong phai thu kha den thuc hien theo tic quy dinh tai Thong to s6 2211120091TT-BTC ngay 07 thing 12 nam 2009 da BO Titi chinh.

19. LAI CO BAN TREN CO PHIEU

• Vi0c tinh coin lai co ban tren c6 phieu da Cdng ty dupe thtrc hien tren co vS de s6 lieu sau:

• Nim 1014 Sam 2013

• 146 nhuAn de tin)] Ili co ban nen c6 phieu (VND) 5.021.994.582 2.676.010.726

Ss binh quin gia quyin cAa ce, phieu ph6 thong de tfnh 59.841.300 59.841.300

Ili co bin tren c6 phieu cos Olin)

■ LAI to ban tan c6 phitu (VND) 84 45

• 20. CAM Kt's' THUE HO4T HONG

Nay 03 thing 4 nam 2010, Chi nhanh Cling ty a Olin Chang khoan Diu khl tai thin)] ph6 Ha ad Minh

5 dl kP Hop ding thug nha tot goon 1, thanh ph6 116 Chi Minh yeti gia thug ban Mu la 8.639 USD/thing. Ka

tir thing 02 nam 2013 den thing 4 Warn 2014, don gia thug &roc Sp dung la 7.639 USD/Wing. Then hon

a thue IA 5 nam duos tInh to ngay 01 thimg 5 nam 2010 an net ngay 30 thing 4 nam 2015.

•Ngay 01 Chang 7 main 2013. Cling ty di Icy hop Clang thug met Phan tea nha chi a 18 Ly Thuing Kip, Hi

Nei v6i Tang Corm ty Du lich Ila 1401 di Dm try s6 lam via yen gis thug 190.530 WeDim2ithang. Then

II Ilan that la 10 dm ke tU ngay 01 thing 8 nam 2013.

22

•

• (i)

Chi phi khic chi, yeu bao gbm chi phi lAi tien gei phii EM nha diu nr, chi phi It phai try cho tic

khoan nen Cling ty nhin Ong &tree to cac d6i tic de thu gom trai phi& vd chi phi tuong img vii

•doanh thu ve be chi s6 PVN-Index phi nhin irons nam.

S 18. CHI PHI QUAN LI? DOANH NGHleP

■ CONG TY Co PHAN ClieNG KHOAN DAU KH1 S6 18 Lf Thubng Kitt, queln Hein !Gem Belo cio tii chlnh

Ha NOi. CHXHCN Viet Nam Cho nAm it chlnh Icel th6c ngiy 31 thing 12 nam 2014

THUYET MINH BAD CAO TAI CHINII (Tap thee) MAU SO B 09-CTCK • Cat May& mirth nay ta mat ha ph4n hop thanh va can Gluon dot clang Mei Vol ban can tat chink kat,' then

21. BAO CAO VE CIA TRI VA KI101 LUVNG CIAO D/CH CHONG KHOAN THONG NAM

U CHI TIEU Kh6iltrong glao djch Gil trj gime djch (VND)

I. Ch'ing khoin ty doanh

CO phieu 931140 21.786.565.503

Trai phitu

2. Chtrng kholin ciia nhi diu tv

C6 phieu 690.811.117 10.140.230.158.300

Trai phieu 127.534.066 14.277.555.108.970

Chang chi quq 25.680 265.181.000

819.302.703 24.439.837.013.770

22. NCHIBP VI) VA SO DU V(01 CAC BEN LIEN QUAN

15 Daub sick aft ben lien quan chi As:

U

a

a

Mtn auan he

Ngin hang TMCP Dai thing Viet Nam C6 dOng Itrn

TAP dean Dan kin Vitt Nam Ben lien quan caa c6 &mg lem

a HOi dbng Quin tri C6 dOng

Ban Clam d6c Dieu hanh vvc tiep

11 Trong nam. Cdng ty Qa c6 cfic giao djch chi yeti sau van cAc btn lien quan:

11 Nam 2014 Nim 2013

U VND VND

Laitir deo dip cot the() hvp dling djch vy mei glen mua

gom trii phieu - .Nan hang TMCP Doi ctaang Viet Nam 2.850.738.888 18.567.541.269

Doanh thu ttr via

- Tap doan Diulchl Vitt Nam 5.451.698.484 7.865.454.545

- Nem hang TMCP Dai chting Viet Nam 135.454.545 2.723.636.361

Doanh thu quirt I f c6 dame

- Ngin hang TMCP Doi cluing Viet Nam 300.000.000 300.000.000

Doanh thu Iva Icf - T5p doan Diu khf Vitt Nam 2.283.784.900 311.953.380

Doanh thu at phit Minh b6 chi a PVN-Index

Tap dean Diu khl Vitt Nam 1.571.535.010

Ngan hang TMCP Dal chUng V* Nam 200.000.000

Thu nhtp ctia Ban (aim dem vi this lao ctia Hai dim/ 3.549.028.282 3.846.323.728

Quin trj

Nim 2014

•

■

■ U

■ • CONG TY CO PHAN CHONG KHOAN DAU KFII

5618 LS. Thubug Kiel. qu6n Haim Kiem Bin do Si Walt

II HA Nei, CHXIICN Viet Nam Cho ram MI chInh lc& Mite ugly 31 thing 12 nam 2014

THUYET MINH RAO CAO TAI CHINH (TiEp theo) MAU SO B 09-CTCK • Cdc th2St mirth nay In molt NS phdn hop than); va can dupe dpc ddng lltli veil boo cno Ml chink kem theo

•

•

II

22. NGHIEP NIV VA So DISVOI CAC BEN LIEN QUAN (TIEp thee.)

S6 Mr ehd ytu vol de bin lid quail tai nggy kh Ode ram di Minh:

31/1212014 VND

31/12/2013 VND

Cie kboin tihi gait daub tan I. - NOD hang TMCP DM cluing Vitt Nam 76.512.544.275 141.839.678

• Cie kboan pbii tbu - Tap doin Diu khl Vitt Nam 679.000.000 13.515.600361

- Ngan hang TMCP Dai chang Viet Nam 35.000.000 35.000.000

• Cie khoio phil tri - NgAn hang TMCP Etai chang Viet Nam (du no g6c thee hup dans thu gem trai phiAu)

70.000.000.000

• - NgAn hang TMCP Dai chUng Vat Nam (11i plaid tra. thee hop d6ng thu gem trai phitu)

480.277.778

• • • • • • • • • • • • • • • • • • S

2.1

OE

■ ■ ■ ■ ■ ■ • ■ ■ ■ ■ ■ ■ • ■ ■ ■ ■ ■ ••••••••••••••• CONG TY co PHAN CHUNG KHOAN DAU KRI S6 18 Lt Thubng Ki4t, quan Han Klan Hi N6i, CHXHCN ViN Nam

Bin an tit chink Cho nlm tii chhah kat thaw ugly 31 thing 12 nant 2014

Mill SOB 09•CICK THUY&T MINH BAO CAO Tit CHllCDi (nip theo) Cde thunit mink nity la mot 60 phan hpp thanh vd can dupe el6c thing thefi loth boo cdo tat chink ken then

23. BAO CAO BO PHAN

N16i gt6i vi djch Data to cluing Dick vy Ili chink TOng tang loin Chi lieu cy khach hang khoin, gop van vi tian Kai Khic (Tong Iy

VND VND VND VND VND

Nim 2014

I. Doan)] thu than va hoyt dank kinh doanh 22.671.625.069 12.796.251.204 41.551.352.714 20.014.925.132 97.034.154.119

2. Can chi phi tape tiap (9.289.791.943) (14.430.228.907) (19.913.598.573) (14.603.102.793) (58236.722.216)

3. Khau hao vi chi phi phin bb (7.563.973.203) (1.740.845.988) (16.268.203.143) (8.149.920.313) (33.722.942.647)

4. Thu nh4p khic 488.000 4813.000

5. CM phi khac (52.982.674) (52.982.674)

Lqi nhuin lit hayt dog KD taunt that 5.817.859.923 (3.374.823.691) 5.369.550.998 (2.790.592.648) 5.021.994.582

Tyi ugly 31 thing 12 ant 2014

1. Tii sin bo phan live naP 187.247.458.185 207.314.650.078 274.870.761.799 2.247.544.289 671.680.414.351

2. Tin sin laving phin ha 142.163.912.256

Tbng Til sin 187.247.458.185 207.314.650.078 274.870.761.799 2.247.544.289 813.844.326.607

I. Ng pluki tri by ph/ni %Arc nap 116,561.806.802 60.071.746.281 30.079.671.803 206.713.224.886

2. Ng phii to khong phin 8.147.993.255

Tang Nq pliii tri 116.561.806.802 60.071.746.281 30.079.671.803 214.861.218.141

25

■ ■ CONG TY Co PHAN CHUNG KJ1OAN tau tad

S6 18 L9 TbuOng Kiel, quAn lIoan Kim Rio coo of chfnh

•HA NO'. CHXHCN Viet Nam Cho nom tai chfnh kit thOc ngay 31 thing 12 Mm 2014

THUYET MINH BAO CAO TA1 CHINS (TIEp deo) MAU S6 B 09-CYCK • Cdc thuyir mink nay M mat ha phdn hop thamh va can ?AMC doc clang then yid boo can MI chink hem (Iwo

• 24. CONG CD TM CHIN)!

• Quin ly rid ro vin

■ COng ty quan 19 ngu6n v6n nhitro dam boo ring Cong ty c6 the vira hoot dem& lien tyc %fa t6i da h6a Iii

• ich caa cac cb dons thong qua toi uu boa so du nguon von v9 cong no.

• Clu trim yen ctia COng ty gam to tic khoan no thuin (khoan vay era tien vo dc khoin tuong duong lien)

vii phin vin thuac so MT, cda cac c6 dOng cda COng ty (bao g6m vin gip, cac quy dy ice hit 16 19y1c2).

•

•chinh sick ke tanchU yen

Chi net tic chfnh sach ke tan cho you va cdc phuong phip ma Cdng ty ip dung (bao gam ac tieu chi d2

ghi nhAn, co s6 xac dinh gia trj va to s6 ghi nh9ricac khoan thu M ita va chi phi) dbi yeti tang loci tai sin

■ tai chinh, cong no cal chinh vi cong cy van duo: trinh bay toi Thuyet minh s6 5.

• C:sic loot tong cy Iii chfnh

gbi 36 31/12/2014

VND 31/12/2013

VND

Tii sin Si child

Tien a cac khan nrcmg duong lien 268.890.679.368 216.127.072.454

Phai thu khach hang vi phii thu khic 108.877.636.020 103.677.731.563

Diu to nglin han 402.267.102.567 564.658.026.023

Diu to dai hon

T6niz cOng 780.035.417.955 884.462.830.040

Chug no di child

Cac khan vay 40.000.000.000

Phii tra ngubi bin va phii ui khac 208.184.324.963 275.478.035.121

Chi phi phii tra 1.833.357.592 4.983.315.555

nog Ong 210.017.682.555 320.461.350.676

• COng ty thou dint, gia gin trj hop 19 ctla Lai sin Hi chin!) vi cong nu tai chinh tai nay kit thlit nien 46 ke

• tan do Thong to s6 210/200917T-STC do 130 'Ili chinh ban hiunh ngay 06 thing 11 nam 2009 (' -Thong nr

210") tilt% nhu tic quy dint, hien hanh chug co hi:Ong din cy the ve viec xic djnh gia Iii hop 19 caa tic

■ tat sin tai chinh va cOng no tai chinh. Thong to 210 yen cAu Sp day, Chuin muc bah coo tai chilli' Qu6c 0

ii ye viec With bay ban ao tai chinh vi thuyet minh thong tin d61 vii Ong cu tai chfnh nhung khOng dua m huOng din mot% duong cho viec art gig a ghi nhin tong Cu tii chfnh bao Om a tip dyng gia tri hop 19.

■ nam phY hop vii Chan muc bao cSo tai chfnh Qu6c t2.

S

S

• S

S 26

S • •

•

•

•

•

•

• ■ CONG TY CO PHAN CHCNG KHOAN DAU Kilt

SA 18 LY Thutrng Kiet, quan Hobn Kiim &So do tAi chinh

■ Ill Nei, CHXHCN Viet Nam Ow tarn tai chtnh kkt thuc new 31 thing 12 n3m 2014

THUYBT MINH BAO CAO TAI CHINH (Tien theo) MAU SO B 09-CTCK

• Cdc rimy& minh nay ea mot bo phan hop Minh va can dupe rtoc Ming that v6i Ink coo MI chinh kEm thto

24. CON: CU TAI CHINH (Tiep then)

Myc tieu quan ly nil ro Lai chinh

Clang ty a3 xay dyng he thong quan ly IUi ro nham phis hien vA danh gia cac rai ro ma Cong ty phai chju,

UV& lap cac chinh sach va quy trinh kiem scat nit to rod mac chip nhan dupe. He thing quan ly nil ro duqc

xcm xet lai djnh ky nham phan anh nheng thay dot cat diku kien thj truting va hoot deng ctla COng ty.

1111 Rai ro it chtnh bao gem Ni ro thj trutmg (bao gem nii ro ty gii. nil ro lat seat va rat ro ve gia), rai ro tin dung va rut ro thanh khohn.

Rai ro Chi trinIeng

Hoot deng kinh doanh mla Cong ty se chi) yAu chiu Ni ro khi co sy they dei ve ty gig h6i dot)i, tat suet va

gin. C8ng ty khang thvc hien cac hien phip phong mph nit ro nay do thitu thj tnrtmg mua cac tong cv tat

111 chinh nay.

Qua?: I; nit ro ty: gni

Cong ty thvc hien met se cac giao djch c6 g6c ngoai le, toy !Wien nyi ro do sy thay dotty gia hbi &Ai can

COng ty IA khong ding kb.

■ Quer) ly rut ro tar such

■ Clang ty chiu Ni ro Ili suit tong yEu phtit sinh 10 cac khoan tien Men ang trutrc cast khach hang de thu

■ gom trai phieu va cat khoan tikn gai ells Cans ty. Gang ty (man ly rat ro bang vide phan tich tlnh hints

tank rank Van thj trutmg de tot da h6a Hi suit c6 1M cho COng ly va nam tong gibi hon (min ly Ni ro. Ban Win dec danh gia nli ro do thay dot Ili suit tai ngay lap ban clo tai chinh la khOng clang ke.

Rdi ro ve girf

• CAc khoAn halo to bao gem cac cb phiku da niem ykt va chin niem yet, hop dents hop tic diu w can Cling

ty bj anh hating ben cac nil ro do su hien deng ciao thj trueng than kholin ink huong den gia trj tuong lai coo tic kholm Mu tv. Cong ty quan ly nil ro ve giA <6 phi& bing each thilt lip hon mire du iv, da clang

h6a danh mist die to vit tic mac gibi hon hien thvc Mi. cat Id.

■ Tat ngAy 31 thang 12 rem 2014, gia trj s6 sich cam co phieu niem yet la 105.441.842 ding. Neu gia cac cb

phial, nay giarn 108a thl loi nhuOn tnnk thud can Cling ry se Om khoang 10.544.184 dkng.

psi v6i <6 phieu OTC, do kheng co gia giao dick chink Mac hen thj truang nen Cong ty !thong phin gab

111 de nhoy ctaa they doi giL

■ Rai ro tin dyng

■ Rai ro fin clung say ra khi met khach hang host dkoi tic kheng dap img dupe cac nghta vy trong hop ding

din den cat ten thAt tAi chinh cho Cling ty. Cling ty Co chin]) sack tin dung pha hop via thutmg xuyin thou do! tlnh hinh de dank gia xcm COng ty c6 chju rill ro tin dung hay khans. Cic Ni ro tin dung chi) yen tit

cac khan phai thu va lien gal ngAn hang va cat yang cu lit chink khac caa Cling ty.

• Del v&i cat khoan phai thu, Cling ty thuOng xuyen theo dOi va danh gilt cat khoan phtli thu va lap du

phOng phial thu khO dal kip thei cho rimg khach hang (neu co) khi lap bao mac tAt chinh.

Oki vol ate khobn phai thu djch vu ky quy (margin), Cong ty clan ly Ni ro thong qua viec kikm soar se

■ lupus va gia Uj chimg khoAn caa nha aEu to tai bit ky thbi diem nao

• 27

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in

III

1.1

•

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■ ■ CONG TY CO PHAN CHONG KHOAN DAV

s6 18 Ly ThOng Kith quan !Ian Kim Bin do UI chloh

•Hi NOI. CI-DOWN Viet Nam Cho nim tai chInh ket thisc ngay 31 Mang 12 nam 2014

THUYET MINH BAO CAO TAI CHINN (Tap thee) MAU SO B 09-CTCK • Cot rhuy/s mink ndy Id mdt bb philn hop thank vd cdn ehrem doe &rig theri tdi bdo coo tai chink Lim theo

• 24. CONG CU TAI CHINH (Tien theo)

• Quin 14 rui ro thanh khoin

Moc dish quan ly rui ro thanh khoan nhAm darn ban du ngu8n von de dap Ong cac nghta vu tai chink hien

•tai va Hong tong lai. TInh thanh khaki cong &roc Cong ty titian 15 , nham dam bao mire phy trei idea cong

no den han va tai san den Ilan tong uong narn et mire c6 the dupe kiEm sorb 46i vCri s6 v6n ma Cons ty tin ring co the tao it Hong nom d6. Chinh Molt caa Cong ty IA theo dOi Omen 'myth cac yeti du ve thanh khoin hien tai va du Lien Hong tuong lai nhiim dim ban Cong ty duy trl di; mix do pheng ben mat va CIO

111 von ma cac c6 &mg cairn ket go!, nhibn dip Crng cac quy dinh ve Ural thanh khoan natio han va dai ban hon.

• Bing du& day nth bay chi tiet cac mac dao han then hop dbng con tai dAi veri cans no tai chinh phi phai sinh vA thOi han thanh loan nhu da dupe th6a thuan. Bang duln day ducrc birth bay dui tren dOng tien chug

1111 chi& khAu car cong no Uti chInh tinh thco ngay s(rm nhAt ma Cong ty phai Ira. Ngly dio han Otto hop

disng dug< doa ten ngay st5m nhat ma Cling ry phai tra.

31/12/2014 Doti 1 nem Tir I- 5 nam Tong. VND VND VND

Thi Mn tai chloh

Tien vi cac khoin Wong dtrong tien 268.890.679.368 268.890.679.368

Phil thu kWh hang vi phai thu khan 108.877.636.020 108.877.636.020

Den nr ngin han 402.267.102.567 402.267.102.567

TOng cong 780.035.417.955 780.035.417.955

Cang no tai chin%)

Phil tra ngutri ban va Oil bit kilt 208.184.324.963 208.184.324.963

Chi phi phai a 1.833.357.592 1.833.357.592

Timg <Ong 210.017.682.555 210.017.682.555

Chenh lech thanh khan thuin 570.017.735.400 570.017.735.400

31/1212013 DInki 1 nem T91- 5 nem 'Fling VND VND VND

Tii sin tai chinh

Tien Ira cat khoan Wong throng tien 216.127.072.454 216.127.072.454

Phii thu khach hang va phai thu khan 103.677331.563 103.677.731.563

Deu tu ngim han 564.658.026.023 564.658.026.023

Tong cong 884.462.830.040 - 884.462.830.040

Cling no Iii chlnh

Caw khoin vey 40.000.000.000 40.000.000.000

Phil tra nguiri ban ve phai tra khic 275.478.035.121 275.478.035.121

Chi phi phai tra 4.983.315.555 4.983.315.555

'Mug cong 320.461.350.676 • 320.461.350,676

ChEnh Itch thanh khan than 564.001.479.364 564.001.479.364

• • •

2 8

■ ■ CONG Tlr C6 PHAN CHONG KHOAN DAU KH1

S6 18 Ly ThuOng Kiet, quin Hoin Kiern Rio do di chlnh ■ N0i, CHXHCN Vitt Nam Cho ram di chin), kit thitc ngay 31 thing 12 nam 2014

THUYET MINH BAO cAo TA1 CHINH Min theo) MAU S6 B 09-CTCK • Cot Moyer minh nay M mot 6o phdm hop thanh vo con doom doc ddng thai vbi brio ctio Mi chin), him theo

• 21. CONG CI) TA1 CHINK (115p theo)

• Til sin darn bio

• Cong ty kb/mg am <6, thh chip clued bit ky birth thirc nao cho doe khoan no vac ngay lip bao can nay.

• Cong ty Clang nam gi0 uric tai khoan clnYng khoin, gily chimg nhin quyen sir dung dit, den ky guy tai tar

•khorin tiro glki a cam c6 cho cfic hop ding hop tic dau to va hop Clang giao dich ky quf.

• 25. sv toeN SAU NGAY KET THOC NIEN DO Kg TORN

• Tai ngay obit hinh bao do nay. khOng co sv kiln trona yiu nth) phis sinh sau ngay kit trot niin dt ki

•Wan can phai Utah bay nen bao can.

• 26. so Lieu SO sANH • • • • • tv.t.uc`

• Nguyin Ngaygt Minh Dinh Th1 Ian Phtrong ;m Quang Huy

• Ngtrfri lip o reran troorng Gdm doe

• HI Not ngdy 10 thong 02 11(}177 2015

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S6 btu so sanh tree bao cho Ni chlnh la so lieu °Oa bao do tai chlnh cho nam tar chInh kit this ngay 31

Mang 12 nam 2013 id Ctutyc kibm tad.

CONG TY CO PHAN all) G KHOAN D Try set chinh: Tang 2 tee Sib Hanoitounst,

s6 18 Ljr Thuteng Kiel, Quan Hoan Kiern, Ha NO1 Dien thoai: (844)39343888 - Fax (844)39343999

Website: http//psi.vn

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