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BAO CAO THOJNG NIEN
Cong ty Trach nhiem hiku han MOt thanh vien Chfrng khoan Maybank Kim Eng
Tang 4A - 15+16, Vincom Center 136ng Kheri, so 72 Le Thanh Ton, PhuiTng Ben Nghe, Quan 1, Thanh ph6 Ho Chi Minh.
So dien thoai: +84 28 44 555 888 +84 28 38 271 020
S6 Fax: +84 28 38 271 030
Website: www.maybank-kimeng.com.vn
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MVC LUC
I. THONG TIN CHUNG 1
II. T1NH HINH HOAT DONG TRONG NAM 2020 16
III. DANH GIA CUA BAN GIAM DOC 29
IV. QUAN TR! CONG TY 38
V. BAO CAO TAI CHiNH 39
CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thuOng nien nam 2020
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I. THONG TIN CHUNG
1. Thong tin khai (pat
Ten giao dich: C'Ong ty Trach nhiem hiru hp Met thanh vien Chung khoan
Maybank Kim Eng, va ten viet tat la: MBKE.
Giay phep thanh lap va hoat Ong se) 117/GP-UBCK do Uy ban Chang khoan
Nha nuac cap ngay 03 thang 01 nam 2014, Giay pile]) dieu chinh Giay phep
thanh lap va hog deng so 05/GPDC-UBCK do Uy ban Chang khoan Nha nu&
cap ngay 05 thang 5 Warn 2014, Giay phep dieu chinh Giay phep thanh lap ya
hog deng so 05/GPDC-UBCK do Uy ban Chang khoan Nha nuot cap ngay 15
thang 01 nam 2015, Gidy phep dieu chinh Giay phep thanh lap va hoat deng sO
39/GPDC-UBCK do Uy ban Chang khoan Nha nuac cap ngay 08 thang 9 nam
2015, Giay phep dieu chinh Giay phep thanh lap va hoat deng sO 30/GPDC-
UBCK do Uy ban Chang khoan Nha nuoy cap ngay 17 thang 4 nam 2018.
VOn dieu le: 1.056.110.000.000 VND (met nghin khong tram nam =pi sau ty
met tram mueri trieu Viet Nam Wong).
V& dau to etIa chit sa huu tat ngay 31 thang 12 nam 2020: 2.347.081.261.571
VND (Hai nghin ba tram bOn muai bay ty tam muai mOt trieu hai tram sau mtrai
mOt nghin nam tram bay muai mOt Viet Nam D6ng).
Try so' chinh: tang 4A - 15+16, Vineom Center D6ng Kheri, se; 72 Le Thanh T6n,
PhuOng Ben Nghe, Quan 1, Thanh pH> H6 Chi Minh.
SO dien thoai: +84 28 44 555 888 +84 28 38 271 020
SO Fax: +84 28 38 271 030
Website: www.maybank-kimeng.com.vn
2. Qua trInh hinh thanh Va phat triL
2.1 T4p clown Maybank Kim Eng
Maybank Kim Eng la Tap down bao gom cac cong ty hoat deng trong linh vtre chfing
khoan va ngan hang ddu to trai r'6ng tren town eau v6i cac van phOng tai Malaysia,
Singapore, H6ng Kong, Thai Lan, Indonesia, Philippines, An D6, Viet Nam, A Rap
Xe Ut, Anh va My. Maybank Kim Eng da hien dien tai Chau A trong sue)t hurl bOn
thap kY va la nha cung cap dich vu ve Tai Chinh Doanh Nghiep, Thi TruOng Ng,
Thi Twang V6n, C6ng Cu Phai Sinh, Nghien Um Phan Tich, Mei Gioi Chang
Khoan Cho Khach Hang CA Nhan va Khach Hang Dinh Che.
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CONG TY TNHH MOT THANH VIEN CH1TNG KHOAN MAYBANK KIM ENG Bao cao thaang nien nam 2020 (tiep theo)
Maybank Kim Eng throe hau hoan toan Maybank, mot trong nhang tap loan
ngan hang hang Au Chau A voi mang 19 qu6c gia, phyc vu han 22 trieu
khach hang tren toan cau, dang tha 4 khu \To Wong Nam A xet ve quy mo tong tai
san. Maybank duvc xep hang trong danh sach 20 ngan hang mph nhat the giai theo
danh gia dm Bloomberg Markets lien tiep trong 2 nam 2013 va 2014. Thang 1 nam
2019, Ian dau tien Maybank duct clang trong danh sach 500 thtrang hieu gia tri nhat
the gioi - The Brand Finance Global 500 do Brand Finance - don vi tu' van dinh gia
thtrang hieu hang dAu the thyc hien vai mac dinh gia vuot tren 4 ty DO la 1\45/.
2.2 Maybank Kim Eng Viet Nam
Cong ty TNHH MTV Chang khoan Maybank Kim Eng (goi tat la "MBKE" hoac
"Cong ty") tren than la Cong ty Co phan Chang khoan Kim Eng Viet Nam duct
thanh lap theo Giay phep s6 71/UBCK-GP ngay 14 thang 12 nam 2007 c6a Uy Ban
Chang khoan Nha Nu& ("UBCKNN") va chinh that di vao hoat dOng thang 4 nam
2008.
Sau khi tap doan tai chinh Malaysia, Maybank Group, mua lai toan bo co phan caa
Kim Eng Holdings Limited, Cong ty duvc d6i ten thanh Cong ty Co phan Chang
khoan Maybank Kim Eng theo Giay phdp diet) chinh s6 105/GPDC-UBCK ngay 10
thang 8 nam 2012 vai 49% co phan cluvc kiem soat Maybank Group thong qua
Maybank Kim Eng Holdings Limited.
Ngay 03 thang 01 nam 2014, MBKE cid chinh that du'p'e UBCKNN chap thuan hinh
thirc so. him mai: Cong ty TNHH MTV Chang khoan Maybank Kim Eng theo Giay
phep thanh lap va hoat dOng so 1 17/GP-UBCK, tra thanh cong ty chang khoan 100%
von nude ngodi dau tien tai Viet Nam.
Trong snot han 10 nam qua, MBKE cla xay dung duvc sy hien dien manh me tat thi
truang Viet Nam vai try so' tai Thanh ph6 HO Chi Minh, 5 chi nhanh va On 200
nhan vien chinh fik. Ta mac von dieu le 200 ty Viet Nam Wong ban dau, den nay
MBKE cla qua 4 Ian tang 'On tong von la 1.056,11 ty Viet Nam DOng, tang han
500% va hien dang xac tien ke hoach tiep tyc tang von trong nam 2021. Viec tang
von la mot trong nhang tien de mph me giup MBKE nang cao vi the canh tranh,
trien khai them nhieu san pham tai chinh hap dan, dac biet la clay mph hart nira cac
san pham chang khoan phai sinh va chang quyen co dam bao.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bak) cao thuOng nien nam 2020 (ti6p theo)
2.3 Net bye vi siy phat trien ctia Thi truttng Chan khoin ("TTCK") Vi0 Nam
Cam ket clang g6p cho sit Oat trien chuyen nghiep va ben viIng cua TTCK Viet
Nam, Tap doan Maybank Kim Eng ("Tap doan" hoac "Maybank Kim Eng") da k
vai UBCKNN ThOa thuan khung hop tac h8 trg ky thuat trong 3 nam k'e tir thang 8
nam 2013, tai ky tiep tic them 3 nam ke tir ngay 14 thang 11 nam 2016. Trong nam
2020, viec ky thOa thuan hop tac bi gian doan do tinh hinh dich benh Covid-
19. Tuy nhien Tap doan Maybank Kim Eng luon cam ket dong hanh va ph6i hop
ding vai UBCKNN trong cac hog &Ong vi intic tieu phat trien ben vung TTCK Viet
Nam.
Chung toi san sang chia se thong tin va kinh nghiem ve cac thong le va chuin Intrc
tot nhAt trong firth vtic kiem sok va quan tri rui ro, quan tri cong ty va tan thil,
chuin mtrc ke toan va he thong bao cao tai chinh, thu but diu to gian tiep vac TTCK
Viet Nam, phat trien cac san phim mai cho TTCK.
Nhung nam qua MBKE da thtrc sit tra thanh cAu not mang den cac co WO dau to
hieu qua cho cac khach hang dia Maybank Kim Eng tren toan cAu. Dien hinh nhu
viec thiet lap cac cuOc g4p go cho cac quy, cac nhu diu tu nuoc ngoai, den tim hieu
TTCK va doanh nghiep Viet Nam, cling nhu thtrc hien hang log cac hOi thao, sty
kien a gioi thi0 TTCK trong ntrac ra cac thi truang lon tren the giai va khu Nip
nhu My, Anh, Canada, Singapore, Thai Lan, Hong Kong.
Nam 2020, dai dich Covid-19 da khien kinh t6 the giai chao duo, cac quoc gia buOc
phai thtrc hien "lockdown"/"gian each xa hOi" nhung vai tinh thin chi' Ong thich
ling va ding vai sit h8 trg cua Tap doan, MBKE da thisc hien thanh cong sit kien
Invest ASEAN 2020 - HOi nghi Diu tu quOc to thuong nien do Tap doan to chirc.
HOi nghi bao gOm mot chu8i cac sit kien dugc to chirc tai cac qu6c gia trong khu
Niue vai sty tham gia cua cac chuyen gia, cac nhu hoach dinh chinh such kinh to hang
diu khu vuc, cac nhu tao lap thi twang de ding thao Van ve cac co hOi hop tac phat
trien trong khu vtyc. Mttc dich chung cua HOi nghi la tim kiem va cung cap cac co
hOi dau tir vac thi twang ASEAN cho cac khach hang cim Maybank Kim Eng, chit
yeu la cac nhu quan ly guy tir khap not tren the giai, trong do m6i quiSc gia se co
chit de va cac din gia rieng biet.
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GONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thutng nien nam 2020 (tiep theo)
Invest ASEAN Viet Nam 2020 duvc thuc hien qua hinh thdc hOi thao true tuyen
vai chil de "VIET NAM TO. GOC NHIN CUA NHUNG THUYEN
TRU'ONG - CAPTAINS SPEAK: VIET NAM" vai su tham gia cua cac dien gia
not ti6ng nhu. Ong Le Hai Tra, Phu trach HOi dong quan tri SO. Giao dich Chang
khoan ("SGDCK") Thanh ph6 1-16 Chi Minh; Tien si ("TS") Nguyen Dire Khuang
- T6 to van kinh to kinh to cua Thd Wong nhiem ki 2016-2021; TS Le Tuan Anh -
Pho T6ng Giam doc DAu to Dragon Capital; BA Nguyen Thanh Hoa — Giam doe
Thuong hieu va Truyen thOng, Tap doan Bao Tai hOi thao nay, cac can gia
da ding nhau thao luan ve tinh hinh kinh t6 vi mo cua Viet Nam vai cac the manh
& diem yeti; thach thdc & co hOi trong b6i canh kinh to the giOi tiep tyc dai mat
voi dai dich Covid-19 ding cac chia se ve thi truang chi:mg khodn. Chuang trinh
danh cho cac khach hang to chic, cac quy, nha dau to qu6c to quan tam Tau tu• vao
cac doanh nghiep Viet Nam, clugc thuc hien truc tiep hoan toan bang tie'ng Anh va
nhan duac sty danh gia rat cao cua khach tham du.
Sau su kien, MBKE nhan cluvc nhdng danh gia rat cao cong cl6ng cac nha dau to
va cac to chic tai chinh quo'c to ding nhu &roc cac trang thong tin truyen thong lOn
nhu• Bloomberg danh gia la dai tac tin clay bac nhat tai Viet Nam cua cac nha Tau
to quk
Ckc giiii thwang
Ghi nhan no luc dOng gOp cho sty phat trie'n TTCK Viet Nam cua MBKE, tai bu6i
le kjf niem 10 nam thanh lap Cong ty (ngay 14 thang 12 nam 2007 - ngay 14 thang
12 nam 2017), MBKE da vinh du duoc dai dien lanh dao cap cao cua UBCKNN
trao tang Giay khen cho nhang dong gOp tich cue vi su phat trier ben yang dm
TTCK Viet Nam trong giai doan 2007 - 2017.
Thang 12 nam 2018, MBKE tiep tyc nhan duvc giay khen cua UBCKNN vi nhang
no luc tich cuc trong viec xay dung va Oat trien Hiep hOi Kinh doanh Chang khoan
Viet Nam giai doan 2015 - 2018.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao coo thueng nien nam 2020 (tiep theo)
Voi no lire va nhung thanh tuu duce ghi nhan trong suet chang dui:mg hen 10 nam
theo dui mo hinh cong ty chiing khoan Bang cap quec te, MBKE try hao da that sir'
too dkrng duce niem tin not nha dau tu cling nhu' tat ca cac orei tac trong va ngoai
nuac - you to nen tang quan trong cho S •phat trien monh me va ben yang trong
tu'ong lai. Nam 2018, vai st.sh 76 tra tir Tap doan, MBKE da tham gia to vAn thanh
cong thuong V1.1 IPO tri gia 1,35 t5/ DO la my cua Vinhomes. Thuong vu da dem den
cho MBKE va Tap doan 2 giai thuOng Ion tix 2 top chi uy tin hang dAu la The Asset
va IFR Asia. Theo do, The Asset binh ch9n Vinhomes IPO la "Thuang vu IPO
thanh cong nhAt Viet Nam" va IFR Asia binh ch9n day la "DO phat hanh thanh
cong nhAt thi truang can bien khu vuc chau A".
Ben canh niem tin va uy tin, nhang giai thuang danh gia t ram co. khu vi,rc la minh
chang khang dinh vi the va guy& tarn cua MBKE trong viec tro• thanh cong ty chang
khoan (tang cAp quiSc to hang dAu khu vac.
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& Neu Review
3. Nganh nghi' vA ilia ban kinh doanh
MBKE &rye phep hoot Ong kinh doanh chang khoan bao g6m cac nghiep vu va A
dich vu sau: moi gioi chang khodn, tu doanh chCmg khodn, bao lanh phat hanh
chang khodn, to vAn (tau tu chang khodn, luu kji chUng khoan va giao dich ky quy
chirng khoan.
Ngoai ra, Cong ty có the cung cAp cac dich vu kha.c co lien quan den chirng khoan
nhu nghien cCru, to vAn tai chinh, ngan hang dAu tu.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thtrang nien nam 2020 (tie!) theo)
Hien tai, ben cdnh 1-16i s6 tai Thanh ph6 1-16 Chi Minh, MBKE c6 5 chi nhanh tren
toan qu6c:
Chi
nhanh
Thong tin lien he
Chg Lan Khu vkic D7 (Tang 1) Cao 6c Tan Da, s6 86 Tan Da, Phtrang 11, Quan
5, Thanh ph6 Ht Chi Minh
S6 dien thoai: +84 28 62 610 778 — Se) Fax: +84 28 38 59 06 99
Phil
Nhuan
S6 456 Phan Xich Long, Phtrang 2, Quan Phil Nhuan, Thanh ph6 Ht
Chi Minh
S6 dien thoai: +84 28 62 927 029 — S6 Fax: +84 28 62 927 019
D6ng Nai Tang 3, Phang 303, T6a nha NK, 208D Phdm Van Thuan, Phtrang Tan
Tien, Thanh pht Bien HOa, Tinh Dtng Nai
S6 dien thoai: +84 251 39 40 490 — St Fax: +84 251 39 40 499
An Giang TAng 3, Toa nha Nguygn Hue, s6 9/9 TrAn Hung Ddo, Phtteng My
Xuyen, Thanh ph6 Long Xuyen, Tinh An Giang
S6 dien thoai: +84 296 3922 229 — S6 Fax: +84 296 76 3922 899
Ha NOi Ph6ng 06, TAng 3A, Tod nha Horison, s6 40 ph6 Cat Linh, Phuang Cat
Linh, Qudn Deng Da, Thanh ph6 Ha NOi
S6 dien thoai: +84 24 39 44 05 06 — S6 Fax: +84 24 39 44 05 08
4. Thong tin ye mo hinh quail tri, 130 may quail ly
MBKE la Cong ty trach nhiem mot thanh vien v6i 100% von chti dAu
nix& ngoai. B6 may quan tri ctla Ding ty bao g6m 146i (Icing thanh vien, Ban T6ng
Giant d6c va Ban Kim sok.
So' do to chirc COng ty nhu sau:
6
HO! HONG THANH VIEN
CHU SQ HUU
OAT KtEfil
PIG tt
CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bac) cao thtreng nien nam 2020 (ti'ep theo)
7
paywn sagunoas 503 uify ueqifetv
CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuong nien nam 2020 (tie!) theo)
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BO may quail ly nhu chi tit dudi day:
4.1 ItOi d4ng Thanh vien
Cac thanh vien HOi cl6ng thanh vien trong nam va vao ngay 14, bao cao nay nhu
sau:
Hp ten Chtiv vu Ngay bej nhiem/tir nhiem
Ong Mohamad Yasin Bin
Abdullah
Chi) tich B6' nhiem ngay 7 thang 8 Warn
2020
BA Che Zakiah Binti Che Din Chu tich Mign nhiem ngay 7 thang 8 Warn
2020
Ong Rajiv Vijendran
Ong Lok Eng Hong
Ong Ronnie Royston
Fernandiz
Ong Goh Cho Kiat Jeffrey
Thanh vien
136 nhiem ngdy 30 thang 12 nam
2019
Thanh vien Be) nhiem ngdy 7 thang 8 nam
2020
Thanh vien
Mien nhiem ngdy 7 thang 8 Warn
2020
Thanh vien
Mi& nhiem ngay 7 thang 8 Warn
2020
8
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bab cao thWyng nien nam 2020 (ti6p theo)
4.2 Ban Mini sodt
Cac thanh vien Ban Kie'm soat trong nam va vao ngay lap bao cao nay nhu sau:
Hp ten
Cheic vu
Ngay bo nhiem
Ba TrAn Ng9c Nhu Hi6'n Thanh vien
136 nhiem ngay 7 thang 8 nam
2020
Mign nhildm ngay 7 thang 8 nam
2020
Tai 13,6 nhi@n ngay 30 thang 12
nam 2019
Tai 1)6' nhie:m ngay 30 thang 12
nam 2019
Ba. Che Zakiah Binti Che Trutng ban
Din
Ong Malique Firdauz Bin Trutng ban
Ahmad Sidique
Ba Nguy8n Tuy6t Van
Thanh vier'
9
CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuting !lien nam 2020 (ti6p theo)
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4.3 Ban Tiing Giam c ac va K'j Wan Inning
Cac thanh vien Ban Ttmg Giam d6c va Ke toan Twang trong nam va vao ngay lAp
bao cao nay nhu. sau:
H9 ten
Char via Ngay bá nhiern/mlin nhiem
Ong Kim Thien Quang T6ng Giam d6c 136 nhiem ngay 12 thang 8
nam 2015
Ong TO Qu6c TuAn Giam 'Jac Tai chinh BO nhiem ngay 9 thang 9 nam
2019
Ong TrAn Chau Tien Giam d6c Khoi Cong 136 nhiem ngdy 1 thang 4
nghe Thong tin nam 2019
Ong Vu Gia Vinh Giam doc Kh6i ngan B6 nhiem ngay 24 thang 6
hang DAu tu. nam 2017
Ba Le Hang Lien Giam cl6c Khoi Nghien Mi6n nhiem ngdy 29 thang 8
ark' Phan tich Khach nam 2020
hang to chirc
Ba TrAn Thi Ng9c
Huong
5. Dinh htgeng phat trien
Ke toan truang 136 nhiem ngdy 10 thang 3
nam 2014
5.1 Myc tieu chung
- Cung cap cac dich vu chuyen nghiep tao ra gia tri cho khach hang dia. Cong ty
not rieng va dia. Tap doan not chung.
Huang 191 ich hap 1'Y va hop phap tir viec cung cap dich vu chuyen nghiep cho
khach hang.
- Tien den vi tri dan dAu trong tat ca cac hoat dOng kinh doanh.
- Quan tri clOn bAy tai chinh hap ly dat hieu qua cao trong hoat dOng kinh doanh.
Xay dung nguOn luc thong minh va hi'eu qua tren toan cau.
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CONG TY TNHH MOT THANH VIEN CHtING KHOAN MAYBANK KIM ENG Bao cao thtreyng nien nam 2020 (tiep theo)
5.2 Chie'n lucre Oat trien
Sau thdi gian h6i nhap toan dien vao he th6ng toan cau dm Tap doan, MBKE da
chuAn bi cho minh mot nen tang yang yang a san sang nam bat ca h6i dtra MBKE
len mot tam cao Co b6n yeti to then ch6t va ding la dinh htrang C6ng ty dac
biet chit trong trong chien hive phat trien nham khang dinh vi the hang Au tai
TTCK Viet Nam trong giai doan 05 nam ke tiep (2021 - 2025).
#1 Tr& thanh nha moi gbfri chling khoan tru'c tuytn hang du
• Tap trung duy tri vi tri tien phong th6ng qua dau to mph me vao cong nghe,
dem den cho khach hang nhang trai nghiem khac biet khi giao dich tai MBKE.
• Tie') tvc thieu tai khach hang Viet Nam nhang san phAm, dich vu da thanh
cong tai cac thi twang phat trien trong khu
• Ung citing cong nghe nang cao chat Itrong moi gidi nham cung cAp nhung to
van va giai phap dAu tu' hieu qua nhAt cho khach hang.
#2 Div m#nh vai tro la cong ke't n6i khu yip
• Val lai the CO mat tai 10 nude thanh vien ASEAN, Cong ty se tang ctrdng vi the
la "C6ng k6t n6i khu vi,rc - ASEAN Gateway", thu hfit nguOn von nude ngoai
dAu tu. vao Viet Nam, g6p phAn phat trien cac doanh nghiep trong nute not rieng
va TTCK Viet Nam not chung.
• Vdi sir hop hit cila Tap doan, MBKE co the tiep can clOn hon 500 khach hang
to chtrc trong khu Vt.IC va toan cAu bao gom ca. My, Anh, H6ng Kong,... Thong
qua chu6i H6i nghi DAu tu' InvestASEAN, Cong ty se h6 tro viec tim kiem, cung
cAp cac co hoi dal tu. trong ASEAN cho cac doanh nghiep Viet Nam va qu6c
#3 Di du trong vie:c cung cap cac bao cao phan tich thi trterng chat luvng cao
• Luon barn sat thi twang, cac chuyen gia giau kinh nghiem cua MBKE se
tien phong cung cAp thong tin, dAnh gia quan trong va co gia tri ve cac van
de n6ng dang &roc quan tam tren thi truang. nam 2020, MBKE da du'a
danh gia ESG (Environmental/ Mai Truang — Social/Xa H6i va
Governance/ Quan Tri Doanh Nghiep) vao cac bao cao phan tick cua minh
nham cung cAp them cac thong tin ve hoat dOng doanh nghiep huang den su
phat trien ben yang cho cac khach hang dm chung toi.
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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bac) cao thlrOng hien nam 2020 (tier) theo)
#4 Phat tri6n ngu6n nhan Iuc
• Ben canh viec clay manh dau fix, hoan thien nen tang cong nghe, lien tuc cho ra
nhfing san pharn, dich vg chat lung cao, Cong ty se (lac biet cha trong dao
tao dOi ngi.1 nhan skr chuyen nghiep, co nang lkrc va tarn nhin qu6c
De dat duvc mgc tieu chien lugc tra thanh nha moi giai chang khoan hang cfau khu
vkrc dm Tap down, MBKE se khOng ngirng ding c6 the kieng ba chan 6 ca ba mang
kinh doanh trong yeti:
• Tiep tuc phat buy the mph, khong ngang gia tang doanh thu tir mang moi gi6i
khach hang ca nhan.
• Tang cuang hog dOng cua kh6i moi gi6i khach hang to chac
• Uu tien dau tu' ngu6n bye nham Tay manh hoat dOng ngan hang du tu'
Tat ca cac hoat dOng cua MBKE se dirge trien khai d6ng 1)0 theo phtrung chasm
"MINNH HON - QUYET LIST HON - TOT HON"
6. Cdc rui ro kink doanh trong ITnh v(rc chirng khocin dia MBKE
Rai ro trong linh kinh doanh chang khoan da dang, tat) ra bai nhieu thanh tó
khac nhau. Co nhfing rui ro den to ben ngoai C8ng ty nfar rui ro thi trubng va rui ro
thanh khoan cua thi trtrOng. Cong co nhang rui ro den tir ben trong Cong ty nhis rui
ro tin dung, rui ro van hanh, rui ro tuan thu, rui ro thanh toan.
Nghiep vu quan tri raj ro la nghiep vu khong the thieu cho toan bo hoat clOng kinh
doanh cua Cong ty. C6ng ty da xay dkrng he th6ng kiern soat nham dam bao sir can
bang mac hop ly giCra chi phi rui ro Oat sinh va chi phi quail tri rui ro. Ban T6ng
Giam doc lien tuc theo dOi guy truth guan tri rui ro caa C6ng ty de dam bao sir can
bang hop ly Oita rui ro va kiem soat rui ro.
Ban T6ng Gam d6c xem xet va th6ng nhat ap dung cac chinh sach quart 1j7 cho
nhcing rui ro n6i tren nhtr sau: 4
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CONG TY TNHH MOT THANH VIEN CHfiNG KHOAN MAYBANK KIM ENG BAC ca.() thuOng flier' Warn 2020 (tiep theo)
6.1 Red ro tlri trtrong
Rai ro thi twang la rui ro ma gia tri hap 1)"/ ctla cac 1u6ng tien trong tu'ong lai cua
met cong cy tai chinh se bien Ong theo nhang thay d6i cua gia thi trir6ng. Gia thi
tru6ng g6m cac loaf rui ro: rui ro 15i suit, ruf ro tien to va rid ro ve gia khac, chang
hart nhu rui ro ve gia c6 phan. Cong cy tai chinh bi anh hu•ong rui ro thi twang
bao g6m cac khoan vay va no•, tien girl va cac khoan 6u to tai chinh ngan han.
Day la rai ro phat sinh tir su• Wen d6ng manh caa kinh to vi mo (lam Oat, tS, gia, no'
Au, Lai suit,...), chinh sach thue, chinh sach kinh ro thi truang khong the
loci 1)6 &rcc va Cong ty da xay dtyng d6i ngu chuyen vien phan tich thy bao thi
tru.Ong 6 de ra cac phuong an clir ph6ng hieu qua.
RUi ro lai suit
Rai ro lai suit la rui ro ma gia tri hap ljf caa cac lung Wen trong Wang lai caa mot
cong ea tai chinh se Hen d6ng theo nhang thay d6i caa lai suit thi truang. Rai ro
thi twang do thay d6i lai suit dm Cong ty chi y6u lien quan 6n cac khoan tien
ngan han cua Cong ty. Day la cac khoan dau tu• ngan han, va khong du'o's Cong ty
nam nham mvc dich thu Igi tir sty tang len trong gia tri.
Cong ty quart tri rui ro lai suit bang cach phan tich tinh hinh canh tranh tren thi
tru•ang de c6 dugc cac lai suit co lgi cho mvc dich caa Cong ty va van nam trong
gi6i hart quail tri raj ro cua minh.
RUi ro ngoai to
Rai ro ngoai to la raj ro ma gia tri hgp 1)% hoac cac lung tien trong Wang lai ctla
met cong cu tai chinh Wen Ong do thay d6i ty gia ngoai to hoi dodi. COng ty chiu
rai ro do sty thay d6i cua ty gia h6i clodi lien quan trtyc tie!) den cac hog d6ng kinh
doanh cua Cong ty (khi doanh thu va chi phi &pc thtyc hien bang don vi tien to
khac d6ng tien Ice toan hach toan cita C6ng ty).
Rai ro do sty thay d6i ty gia h6i doai cua Cong ty la khong clang ke.
Red ro ve gia co phiecu
Cac c6 phieu da niem yet va chtra niem yet do Cong ty nam bi anh hu6ng boi
cac rui ro thi truang Oat sinh tir tinh khong chic chin ve gia tri tuung lai ctia c6
phieu dau ttr.
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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bap ca.() thuerng nien nam 2020 (tiep theo)
Rai ro do sit' thay doi ve gia c6 phial dia. Cong ty nam gia la khong clang
6.2 Rill ro thanh khotin ant thi trtrong
Day la rai ro chung cho moi cong ty chang khodn ("CTCK"). Khi thanh khoan cua
thi trutng giam manh va dOt ngOt thi raj ro cho cac CTCK la rat 16n v6i nghiep vy
tit' doanh, cho vay 14 quy.
Hien tai Cong ty chi cung cap cac dich vy lien quan den kinh doanh chang khodn
cho nha dAu chua rOng tit' doanh. Vi vay MBKE khong gap rui ro v6i
nghiep vy tit' doanh khi thanh khodn cua thi trutng giam. Tuy nhien thanh khoan
cua thi trutrig gidm sat ciIng lam anh huang den doanh thu va ode hoat Ong kinh
doanh khac cua cong ty.
6.3 Red ro tin dyng
Rai ro tin dyng la rui ro ma mOt ben tham gia trong mot cong cu tai chinh hoac hop
dong khach hang khong thac hien cac nghia vy cua minh, clan den ton that ve tai
chinh. Cong ty co rai ro tin dyng cac hoat dOng kinh doanh cua minh (chit y6u
doi vol cac khoan phai thu nghiep vu giao dich ky quy) va tir hoat dOng tai chinh
caa minh, bao g6m tien gai ngan hang va cac cong cu tai chinh khac.
Nhieu cong ty chcrng khodn da bi thua to rat 16.n vi khach hang khong con khd nang
chi tra cho nhang khoan vay de giao dich ky quy. Tai MBKE, chang t6i y thi►'c rat
ro ve rid ro nay to ngdy dau cung cap dich Nip giao dich ky quy cho khdch hang va
chang toi da thiet lap chive cho minh mOt he thOng quail ly giao dich 14 quy luon
theo dOi tang du no, cung flint cac ty le 14 quy theo thei gian thuc.
6.4 Rfii ro van hanh
Day la rai ro co mat trong qud trinh hoat Ong, van hanh caa moi cong ty chang
khodn. Rai ro nay c6 ngu6n goc to thao tdc cua dOi ngt1 nhan vien moi gi6i, dOi nga
nhan vien khi nghiep vy 118 tit' he thong cong nghe thong tin. MOt vai vi du
dien hinh la nhan vien moi gioi dat sai lenh, gia mao chit ky khdch hang rat tien,
nhan vien nghiep vy hach toast sai s6 tien, se; tai khoan. MBKE da c6 san he th6ng
theo dOi va kiem sodt cac rui ro van hanh rat chat the bang cac hinh thac nhu kiem
tra die() tru'o•c khi duyet lenh, tach bach tai khodn tien gai caa nha dau khoi tai
khoan tien gal cua COng ty.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thtrang nien nam 2020 (tiep theo)
6.5 Rai ro tuan thu
Rui ro tuan thu tinh den khia canh phap ly va nhang van ban phap luat dirge ban
hanh cho TTCK. Cac CTCK can tuan thtl nghiem ngat de tranh 6 va he th6ng.
Hanh vi mot s6 CTCK bat chap quy dinh chLta cho phdp ma van cho ra dei nhang
san pham dich vu Mu cho vay giao dich ky quy tru6c day da gay ra ton that Ong
ne la bai hoc I6n can ghi nha.
Tap doan Maybank de cao tinh tuan thu phap luat nu6c so. tai va cac quy dinh cua
Tap doan, va cua Cong ty. Tai MBKE, cac tuyen phOng th0 thu' hai va ba dttqc thiet
lap bao g6m cac b6 phan Quan tri rui ro, Kiem soar not b6 va Kiem toan nOi b6
nham kiem sok chat the rui ro tuan
6.6 Red ro thanh khoiin
Rui ro thanh khoan la rui ro COng ty gap kilo khan khi thcrc hien cac nghia vu tai
chinh do thieu von. Rui ro thanh khoan cua C6ng ty chu yeti phat sinh viec cac
tai san tai chinh va no' phai tra tai chinh CO cac th6i diem dao han lech nhau.
Cong ty giam sat rui ro thanh khoan thong qua viec duy tri mot [mpg tien va cac
khoan tuung &rang tien va cac khoan vay ngan hang mirc ma Ban T6ng Giam
6c cho la du de dap ang cho cac hoat Ong dm Cong ty va a giam thieu anh huong
cua nhang bien dOng ve lung
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuang nien nam 2020 (del) theo)
II. TiNH HiNH HOAT BONG TRONG NAM 2020
1. Kluii wait ve kinh ti yr mo vci TTCK Viet Nam
"Chtra tang c6 tien c6 le la cum tir dugc sir dung nhieu thir 2 sau "Covid-19"
trong nam 2020, mot nam ma tarn trang cua thi truang dirge phan hga rei ret gii:ra
nira dau va nira cuOi nam.
Nira dAu nam la cita nhung ky lye buOn. han hoan tir th6a thuan thu'ong mai giai
doan 1 dm My Trung vao nhung ngay du nam 2020 da kh6ng keo dui dugc lau va
sant nhuang ch8 cho sir hoang mang tir nhung ca benh ho hap cap chua r6 nguyen
nhan bat nguOn tir cho' hai san Hoa Nam, thanh pho Vu Han tinh H8 Bac. Cac chi
s6 chang khoan the giai deu lao dOc vol mac d6 bien dOng chua tang co. Chi so
S&P 500 dm my mat 1/3 gia tri trong vOng I thang tir 20/02 — 23/3. Ngay 20/4, gia
hap dOng tuang lai dau WTI rai ve mac "AM" 37.63 USD/thung Ian du tien trong
lich sir khi cac kho dau iy Cushing, Oklahoma khong the china them. 0 chieu ngtxgc
lai, gia yang dat dinh cao nhat lich sir 2,068 USD/oz ngay 07/8 khi nha Tau to (16
x6 vao tai san an toan. Tai san cua nha dAu tutren TTCK Viet Nam ding mat 1/3
gia tri cho den khi Chinh Phu chinh thac cong bO tam thai gian each xa h6i ca nu&
vao ngay cu6i cimg cua thang 3.
Nira cuOi 2020 cung la dm flitting ky lyc nhung tam trang ngugc lai. Cac ngan
hang trung uang tren toan the giai phan Crng ngay lap tac nham tranh tao ra hieu
rng 6 va domino trong he thOng tai chinh bang each cat giam lai suit va 118 trg
thanh khodn. FED giam lai sat co ban 2 Ian trong thang 3 a dua ve 0% - 0.25%
tir mCrc 1.5% - 1.75%. NHNN Viet Nam ciing co 3 dot cat giam lai suit dieu hanh,
du'a lai suit tai cap von to mac 6% tir dau nam xu6ng 4% vao ngay 30/9. Ben canh
do, cac goi h8 trg kinh to nguai dan cua cac CI-1111h phit nham duy tri sac mua cua
nen kinh to da tao ra mot hieu ang phy, day mot lugng tien ky lye vao cac thi twang
tai chinh khi nguai dan khOng the chi tieu cho du lich hay cac hang h6a xa xi khac
vi gian each xa h6i. So ca nidem Covid-19 a my tang len mac ky lye han 280
nghin ca ngdy 11/12 nhung chi so S&P 500 cling \tot len mac ky lye 3.722 diem
ngay 17/12.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thaerng nien nam 2020 (ti6p theo)
Thong tu', a Viet Nam, ben canh cac nhan to tich cue nha kiem soat Covid-19 sam
va n6n kinh t6 khong khiing hoang (tang twang 2.91% trong 2020 so vai con sits') am
cua cac ntrac trong khu vuc), sv tham gia cua nhiing nha clAu tu' mai ding la mot
trong nhang dOng lac glop TICK Viet Nam h6i phvc mph hon cac nutc trong khu
vvc. CO 323,000 tai khoan d5 dugc ma trong 11 thang dau nam, cao han 70%
so vai 2019 va cao nhAt tir truac den nay. Tinh ngay 31/12, VN-Index dat mac
1,104 diem, tang 14.9% va dat mac cao nhAt trong gAn 3 nam, so vai mac tang 17,2%
MSCI Asia, khOng bao g6m Nhat Ban. Gia tri giao dich trung binh ngay cua thang
12 la 12,5 nghin ty d6ng, ky lvc lich sir dm TICK Viet Nam, gAp 3,2 lAn ding ky
nam trtrac.
Bade sang 2021, TICK khoan Viet Nam co nhieu yeu t6 ho tro. de chinh phvc
nhring moo diem se) cao han 1,200: i) trien vong kinh t6 phyc he)i tot trong nam
2021, du bao tang truang GDP dat 6.8 - 7%, ii) tang twang 19i nhuan cua doanh
nghiep niem yet dtrac dkr phong tang twang trung binh 25 - 30% trong nam 2021,
theo khdo sat dm Bloomberg, iii) thanh khoan thi twang dagc ky v9ng tip tvc duy
tri mac tot nhu nam 2020 nhe. mai twang lai suAt thAp kich thich nha dau tu' ca
nhan trong ntrac tim kiem co h6i sinh 16.i thi twang chang khodn, va iv) thing von
nu& ngoai quay tr.& lai dAn khi khau vi rui ro cua nha dAu to nu& ngoai d6i vai
cac thi traO.ng can bien va mai not tang len, va ty trong dm Viet Nam trong cac chi
s6 cua MSCI Frontier Market dagc nang len tir thang 11/2020.
5 dibn not bat ctia T7'CK mint 2020:
• VN-Index phuc hoi nianh tit thcing 8 vo•i thanh khoan 19) lye
Nh6 sir thanh cong trong viec kiem soat dich Covid-19 tren ca. nuac, TTCK da dAn
lAy lai sly tu' tin. Tinh tir ngay 25/3/2020, TTCK Viet Nam da bAt dAu hanh trinh
phvc h6i day An tucmg, dac biet la tir giai (loan thang 8 khi VN-Index lAy lai tat ca
se diem d5 mat trade dO va leo len mac 1.104 diem vao ngay 31/12/2020, tuang
cluang mac tang v9t 67,5% tir mac day ngay 24/3 va tang 14,9% so vai dau nam.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao tha6ng nien nam 2020 (tiep theo)
Thanh khoan tang mph la diem nhan cua TTCK Viet Nam trong nam 2020. DOng
tien mdi nha dau "FO" mang den sy. bang no v'e thanh khoan cho thi twang
chang khodn. Ta nth sau caa thang 11, th6i diem VN-Index bat pha vuot qua m6c
1.000 diem, gia tri giao dich khOp lenh lien tyc tren dadi 10.000 tY ang m6i phien.
Thanh khoan trong thang 11 va 12/2020 cao hon th6i diem trudc khi VN-Index
vuot dinh lich sir lap vac) dau nam 2018. Gia tri giao dich ("GTGD") binh quan
trong 12T20 tang manh 111% so vai ding ky dat 6.850 tY dong.
Biett do 1. Chi s6 VN-Index phic hoi an ttro:ng tir thang 8/2020 vifri thanh khoan lien tic 14p 1(57 lqe moi
20.00
16.00
12.00
8.00
4.00
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miGia tri giao dich (nghin tit Tong) VN-INDD(
Nguan: Giao dich Chang khoan Thanh pha Ho Oil Minh
• Debi an nha ciau tie FO va clang van ETFs
Thi tra6ng chang khoan lao d6c mph trong thang 2 va 3 khien nhieu c6 phieu ro'i
ve yang hap dan. Ben canh do, cac yeti to vi ma tich ctrc Chinh phu kiem sat
tot dich benh, Viet Nam la que)c gia hiem hoi dude dtr bao có tang trtrong kinh t6
trong nam 2020, day manh dau tu' cong, lai swat huy dOng lien tyc giam... Dieu nay
thu hat d6ng tien m6i caa nha TALI to — hay con goi la "FO" chuyen hadng sang
kenh chang khoan khi cac kenh dau tu kha.c nha gCri ngan hang, yang, bat Ong
san... kern thu hat ho'n.
1400
1200
1000
800
600
400
200
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuteng nien nam 2020 (tier, theo)
So Wong tai khoan ca nhan trong nu& ma trong nude tang v9t Ice -Ur thang 3,
lien tvc o mirc tren 30.000 don vi moi thang. Trong thang 11, Wong ma mai oda
nha dau to ca nhan trong nude len mac kY lvc 41.080 tai khoan. Luy Ice 11 thang,
Wong tai khoan ma mai nay dat 329.452 don vi, tang 75,4% so vai ca nam 2019.
Cling dung ti 'en tix nha dau tu' "FO", clang van to cac quy ETF cling &roc cho la
tac Tang tich cure den thi truang chang khoan Viet Nam trong nam 2020. Ngoai cac
guy ETF quen thuec nhu' FTSE ETF, VFM VN30 hay V.N.M ETF, sly bung no oda
ode quy ETF nei ding cho thay duoc sire hap an cua thi truang chirng khoan Viet
Nam.
Rieng nam 2020, so lu'gng quy ETF nei mai dat kY Ivo voi 2 quy dia SSIAM
(SSIAM VNFIN Lead, SSIAM VN30), quy oda VFM (VFMVN Diamond), quy
cua VinaCapital (VinaCapital VN100) va quy cua Quan lY guy Mirae Asset (Viet
Nam) (MAFM VN30). Quy ma caa cac quy ETF nei ding tang len nhanh chong.
Tang tai san cua VFM VN30 hien chi dung sau V.N.M ETF vai 307 trieu USD
(7.108 ty clang). Tang tai san cua cac quy ETF nei hi'en cla dat tren 13.000 ty clang.
• Khiji ngoai ban rung
Tinh den het phien giao dich ngay 31/12, rieng san HoSE, khoi ngoai ban r6ng kY
lvc 15.214 ty dang. Neu loci trir di giao dich thea thuan, khai ngoai san nay ban
r6ng horn 38.200 ty clang. Cac co phieu bi ban rang manh CO MSN, HPG, VIC, HDB
hay VNM.
Khai ngoai có 2 cha ban r6ng ben bi tren HoSE. Chu8i du tien la 33 phien ban
r6ng lien tiep can ra hoi thang 2 — 3 vai tong gia tri hurl 9.500 ty clang. Chu& ban
rang dai thin 2 din ra vao thang 10 — 11 vai 30 phien lien ti6p, tong gia tri 10.546
ty clang.
Nha dau to ntrac ngoai dOi huang ban rang tra lai sau 3 nam lien tip mua rang bat
chap nhang danh gia lac quan va tich cure ve thi truang Viet Nam. Nguyen nhan
chinh la viec quy can Bien Frontier Markets va Emerging Markets giam quy mo
danh rave do bi rot von de twang d6ng von den cac thi truang phat tri6n.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bap cao thuOrig nien nam 2020 (ti'ep theo)
BiL do 2. Giao dich mua/(ban) ctia kh6i ngoai tai HoSE
50
30
10
-10
-30
-50 CA •-4 v
- Cn CO 03 CO CO CO 03 CO CO CO CO CO CO <71 Cri • Cn
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e-I N-4 e-I •-• 1-1
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Mua mul Ban —Mua/ ban rang
Nguan: Sa Giao dich Chicng khoan Thanh pha Ha Chi Minh
• WO Nani duqc tang 0') trong trong MSCI Frontier Market
To chirc xay dung chi se) MSCI quy& dinh giam ty trong cua thi trueng chang khoan
Kuwait v'e 0% trong r'cS chi so thi tru6ng can bien MSCI Frontier Markets qua 5 giai
doan bat dau tir thang 11/2020 va hoan thanh vao thang 11 /2021 thay vi that hien
mot ran nhu tru6c.
Theo tinh toan cua MSCI, ty trong dm Viet Nam trong MSCI Frontier Markets se-
clUng dAu voi 15,76% sau giai (loan 1 \id clugc nang len thanh 28,76% sau khi ty
trong cCia Kuwait ve 0%.
Ngay trong giai loan dau tien, iShare MSCI Frontier 100 ETF (quy ETF dyng
tham chi6u la 130 chi s6 MSCI Frontier 100 Index) da ha ty trong cua thi trueng
Kuwait xuong con 21,78%, trong khi tang cac co phi6u Viet Nam len 14,15%. Vao
thai di6m cutSi thang 11, ty trong dau to vao thi tru6ng Kuwait la 24,18%, trong khi
ty trong Viet Nam la 13,23%.
Ngoai ra, nhi&I quy chu clOng c6 quy mo hang tram trieu USD dang sir dyng chi s6
ca so la MSCI Frontier Markets Index, chang hp Morgan Stanley Institutionam
Fund, Templeton Frontier Markets Fund, Schroder International Selection Fund,
Magna Umbrella Fund...Viec Viet Nam dugc tang ty trong trong MSCI Frontier
Markets Index se hilt clang ke clang ti'en tir cac quy nay.
i:1-1 Z
Ch 0
71: 7;19 Q,
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20. u-
0
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0 0
?-1, Te <
0 0 0 0 0
N
0 0 N
Z
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bac) cao thuong nien tram 2020 (tiep theo)
• Cac quy dinh phap lust mai ndi bdt trong nam 2020
Lust DL tu, Luat Doanh nghiep da doge sCra dOi va ban hanh trong nam 2020. Hai
lust mgi nay cang vai Luat Chimg khoan nam 2019 chinh fink co hieu luc ti'• nam
2021 se tso nen tang 0141)% mgi thirc day nang tam thi truOng; tinh minh bath cua
cac thanh vien tham gia; cac dieu kien mai ve phat hanh co phieu, trai phieu theo
huong chat the han, huong doanh nghiep den viec huy dOng von hieu qua va thi
truOng chang khoan Viet Nam se phat trien ben yang hon.
Ngay 23/12/2020 Chinh phir da ban hanh Quyet dinh so 37/2020/QD-TTg thanh lap
SO. Giao dich Chung khoan Viet Nam, xay dung 10 trinh ca cAu Isi cac thi tru6ng
co phieu, trai phieu NIA phai sinh theo huong chuyen mon h6a cling tso dau meic
quan trong trong qua trinh ca cau, tai eau trite thi twang chang khoan Viet Nam.
2. Host dOng kinh doanh vaa MBKE nam 2020
Nam 2020 la nam ban le trong hanh trinh phat trien cua MBKE theo phtrong cham
"MANN HON - QUYET LIST HON - TOT HON" va son sang cho hanh trinh
phat trien 05 nam tiep theo. Kien dinh vai chitin lugc phat trien mang tinh ben vim&
lay khach hang lam trong tarn, tong huOng vai van Ma kinh doanh chuyen nghiep
va chuan mire ctia Maybank - tap loan tai chinh hang dau khu vue, MBKE da bulk
vao nam 2020 vai rat nhieu hang khai va quyOt tam.
Mac du trai qua nam 2020 vai dich benh Covid-19 va thuc hien gian each xa hOi,
vai tinh than vugt qua thach th(rc, Cong ty da kip th6i c6 cac chinh sach host dOng
phi' hgp trong dich benh, nhu phan bt) nhan vien lam viec a cite van phong kirk
nhau hon la tap trung mot nai, va phan chia ty le lam viec tai .van phOng va lam viec
tai nha theo ty Ic 50%-50% hoac 80%-20% tuong ling vai tong tinh huong cfra dich
benh, de dich benh khong the anh huong den host dOng lien tuc cua Cong ty. PhOng
Cong nghe Thong tin cling dart tu nang cap he tilting may chil (server) de dap irng
viec truy cap tli xa cua cac nhan vien lam viec tai van phong khac hoac tsi nha.
V6i viec trien khai dtmg b0 cac tong tac Cmg ph6 vai dich benh ngay ttr dau, cac
host Ong kinh doanh cCra Cong ty da dugc darn boo va tiep tyc ghi nhan sir Oat
trier' vugt b4c ve du ng cho vay14 quy va Igi nhuan trugc thud vai mac tang truerng
lAn ILK)/ la 17,3% va 52,6% so vai nam 2019. Lai nhuan trust thud' nay ciIng da
vugt ke hosch 20.6% do thanh tuu tim nghiep vu mai gigi mang Isi.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuong nien nam 2020 (ties') theo)
Ben canh d6, diem sang dm 2020 so vo•i cac nam trtrac do la Kh6i khach hang to
chirc, Khei Tu van va Ngan hang Dan to lien tiep phat huy nhfing sire manh tiem
'tang, tan dking cac the mph tir mpg ltrai khach hang rOng khap cua Tap down va
cia dong gOp gang k'e trong ket qua kinh doanh town cua Cong ty. Dieu nay .hoan
town pha hop vai chitin luvc lau dai cua Cong ty la phat trien d6ng deu ca ba khei
kinh doanh chinh.
Ngoai ra, viec d6ng hanh nha d'Au to trong chitin Itroc dau to dugc MBKE phat
trien manh chua timg c6 so vai cac nam truac. Tu khi cac ca Covid-19 &roc phat
hien du tien va cac lAn tai phat hien khac, hang loat bu6i 116i thao chuyen de ve
TTCK &roc din ra hang tuAn tren n&-i tang true tuyen gitlp nha dAu to du Bang
bat cu no•i nao, bat khi nao cfing c6 the nhan dugc sir chain sac va to van tan tinh
cua chung toi dinh ky moi thu hai va thir ba hang tuan thong qua cac img dung true
tip nhu Zoom, YouTube va Livestream Facebook.
Them vao do, b6 phan moi khach hang to chirc ding ket hop vo•i b0 phan nghien
dm -Uwe hien cac chuang trinh h6i thao dac thu danh cho cac Quy dAu to khap khu
vkic nham tip thi thieu cac co h6i dau to o• Viet Nam tai Singapore, Thai Lan
va Malaysia. Cac chuang trinh cia thu but sir quan tam va duoc danh gia cao bo•i
d'ong ciao cac nha clan to tham du.
VOi nhimg thanh cong ngoan attic cna nam 2020, MBKE cang quyet tam hon vai
chitin Itroc Oat trien ben vung trong nhang nam sap tai.
3. TO chtirc va nhan sir
3.1 Danh sach Ban dieu hanh va ty le so' hfru
Ban dieu hanh cua Cong ty (theo danh sach 4.2, 'Than I) khong nam gift c6 phan cna
Cong ty.
3.2 Nhfrng thay dOi trong Ban dieu hanh
Thang 8 nam 2020, Cong ty mien nhiem Ba Le H6ng Lien khOi chic vu Giam dec
Khei Nghien dm Phan tich Khach hang to chat.
3.3 SO luvng can b(I nhan vien
S6 ltrong nhan vien cua MBKE Won on dinh v6i d6i ngir gait 200 nhan sir. Ngodi
cac chinh sach cua Cong ty dei vai nguoi lao d6ng theo luat dinh, Cong ty can mua
bao hiem sire khOe cho moi nhan vien va mot thanh vien trong gia dinh.
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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thuong nien nam 2020 (ti6p theo)
4. Tinh hinh dau tu. va than hien cac du. an
Trong thoi gian dich Covid-1 9 bUng phat mph tai Viet Nam, thuc hien chit' truong
caa Chinh pha v'e gian each xa hOi, MBKE da tri6n khai nhanh chOng he thong VPN
tich hop 2FA bao mat d phuc vg cho viec lam viec tai nha caa nhan vien, dam bao
kinh doanh &roc van hanh lien tuc, an toan.
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5. Tinh hinh tai chinh
5.1 Tinh hinh tai chinh
Chi tieu Nam 2020 Nam 2019 Bie'n Ong
(%)
I. TONG GIA TRI
TAI SAN 2.347.081.261.571 2.001.931.728.398 17,2%
II. DOANH THU
H04,1. BONG
- Lai tir cac tai san tai
chinh ghi nhan thong
qua lai/18 (FVTPL) 20.357.945.327 4.258.418.879 378,1%
- Lai tir cac khoan cho
vay va phai thu 157.138.702.320 172.667.254.113 -9,0%
- Doanh thu nghiep vu
moi gidi chang khoan 152.230.742.634 101.097.873.302 50,6%
- Doanh thu nghiep vu
to van d'au W. chiing
khoan 158.000.000 - 100%
- Doanh thu nghiep vu
kru Icy chirng khoan 4.725.117.424 5.513.391.495 -14,3%
- Doanh thu hot dOng
to van tai chinh 35.129.783.257 382.600.000 9.081,9%
Thu nhap hog dOng
khac 6.528.376.185 7.689.234.164 -15,1%
COng doanh thu twat
dOng 376.268.667.147 291.608.771.953 29,0%
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CONG TY TNHH MOT THANH VIEN CHING KHOAN MAYBANK KIM ENG Bao cao thtreng hien ram 2020 (ti'ep theo)
Chi tieu Nam 2020 Nam 2019 Bi6n Ong
(%)
III. CHI PH! HOAT
BONG 152.550.826.086 129.006.764.579 18,3%
2.510.618.787 3.060.575.345 -18,0%
IV. DOANH THU
HOAT BONG TAI
CHINH
V. CHI PH! TAI
CHiNH 29.850.620 28.770.123 3,8%
VI. CHI PH! QUAN
LY CONG TY
CHUNG KHOAN 94.813.923.942 80.131.098.615 18,3%
VII. KET QUA
HOAT BONG 131.384.685.286 85.502.713.981 53,7%
VIII. THU NHAP
KHAC VA CHI PH!
KHAC 42.133.332 500.771.243 -91,6%
IX. TONG LQI
NHUAN KE TOAN
TRU& THUE 131.426.818.618 86.003.485.224 52,8%
X. CHI PH! THUE
TNDN 26.518.173.948 17.274.541.507 53,5%
XI. LQI NHUAN KE
TOAN SAU THUE
TNDN 104.908.644.670 68.728.943.717 52,6%
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Ban can thtreng nien nam 2020 (tiep then)
T6ng gia tri tai san nam 2020 tang 17,2% Wang throng 345.149.533.173 Viet Nam
Deng so vai nam truck chu yeti la do dOng gop tir m6 rOng du' no' cho vay ky quy
(tang 17,3% Wang throng 310.823.458.213 Viet Nam Wong). Viec phat trien du ng
cho vay kji quj% nay duvc tai trg chit yeti tir ngu'on tin dung ngan han caa cong ty
me va cac cong ty trong Tap doan va lgi nhuan sau thue duvc gift lai.
Lgi nhuan sau thue nam 2020 tang 52,6% Wang dtrcmg 36.179.700.953 Viet Nam
Deng so vgi nam tru6c tn. cac nguyen nhan sau day:
• Doanh thu hoat dOng tang 29,0% chn yeti tir doanh thu moi gigi chimg , lai tir
cac tai san tai chinh ghi nhan thong qua laid (FVTPL) va doanh thu hoat dOng
to van tai chinh tang lan luvt la 378,1%, 50,6% va 9.081,9%, tuvng du'ong
16.099.526.448 Viet Nam , va 51.132.869.332 Viet Nam D6ng va
34.747.183.257 Viet Nam Wng.
• Chi phi hoat dOng tang 18,3% Wang irng vol mdc tang doanh thu.
• Chi phi quail 1)% tang 18,3% chil yeti do chi phi tien Wang tang theo mire tang
trubng, dau tu' cong nghe thong tin nham phuc vu cong tac lam viec tir
xa do thkrc hien gian cach xa h6i, nang cao he thong quan tri rui ro va cong tac
bao mat thong tin.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thLterng nien nam 2020 (ti6p theo)
5.2 Cac chi tieu tai chinh chu yeu
Cac chi tieu Nam
2020
Nam
2019
1. Chi tieu ve kha ncing thanh tam
- He se, thanh toan ngan han:
Tai san luu dOngiNg ngan hp 251,1% 288,5%
- He se) thanh toan nhanh:
(TSLD - Hang ton kho)/No ngan 4.n 251,1% 288,5%
2. Chi tieu ye co• c/iu von
- He s6 No/Tong tai san 39,0% 33,7%
- He so Ncy/V6n chit so. hau 63,8% 50,8%
3. Chi tieu lid Jiang lvc hoot clOng
- VOng quay hang ton kho: - -
G id v6n hang ban/Hang Con kho binh quan
- Doanh thu thuan/T6ng tai san 16,1% 14,7%
4. Chi tieu ve kha nang sinh lai
- He se) Lo•i nhuan sau thu6/Doanh thu thuan 27,7% 23,3%
- He s6 Ldi nhuan sau thue/Von did' so• hal binh quan 7,6% 5,3%
- He s6 Lgi nhuan sau thu&TOng tai san 4,5% 3,4%
- He s6 Lo•i nhuan tir hoat clOng kinh doanh/Doanh thu
than 34,7% 29,0%
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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thaeng nien nam 2020 (tiep theo)
6. Co. cAtt c6 dong, thay &Ai win au ttr ciia chii so' hi-ru
6.1 TInh hinh thay doi von chit au to
V6n chu au to cua Cong ty khong có thay doi trong nam.
6.2 Co' cAu co don tai ngay 31 thang 12 nam 2020 den ngay bao cao
Chit s6 hau caa Cong ty la Maybank Kim Eng Holdings Limited.
7. Wu cao tac dOng lien quan den moi trirtmg va xa hOi cua Cong ty
7.1 Tuan thu phap luat ve bao ve moi truiyng
Trong nam 2020, Cong ty khong bi xu phat vi pham do khong Man thu luat phap
va cac quy dinh ve moi twang.
7.2 Chinh sach lien quan den ngtroi lao &Ong
SO luong lao Ong trung binh cua C6ng ty la 180 lao dOng/nam. Thu nhAp trung
binh nguei lao d6ng la 44.046.602 Viet Nam D'Ong/thang.
Chinh sach lao clOng la nhAin dam bao sac khOe, an toan va phac lai dm nguei lao
(16ng:
Ngoai cac chinh sach lu'ong, thuong theo Luat lao dOng va quy dinh oda Cong
ty, C6ng ty con cif) cac el-111'1h skit phtle lgi cho ngu6i lao d6ng nhu': fang qua
sinh nhAt, kham sac khoe dinh kS' 1 nam/1 lAn, bao hiem sac khoe va bao hie'm
tai flan cho nhan vien va nguai than, the do 6m dau, thai san, ho trg bira an tru'a
trong thOi gian phong tOa do dich Covid-19,...
Ve hoat clOng clao tao ngueyi lao dOng, s6 gib ciao tao trung binh cho tat ca nhan
vien cua Cong ty la 3,5 giolnam.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thutng nien nam 2020 (tiep theo)
III. DANH GIA CUA BAN GIAM DOC
1. Nghiep vu moi gioi chuyen nghiep
Tai Viet Nam, MBKE kien quy& tach bach tien girl cua nha dau tu. kh6i tai khoan
tien cua Cong ty, khong Oat trien nghi'ep vv to doanh chirng khoan a dam bao
rang Idi ich kinh doanh cua khach hang luon dupe dat len hang dau va khong c6 bat
kji lqi ich nao ai lap vdi loi ich cua khach hang.
Tinh den ngay 31 thang 12 nam 2020, so tai khoan chimg khoan giao dich tai MBKE,
dat tang trutng la 5,5% so vdi ding kji nam 2019.
Kho'i Moi gidi tai MBKE trong nam 2020 da gidi thieu den nha dau tu. nhieu san
pharn tai chinh mdi va cac chuong trinh chain sic khach hang tieu bleu nhu.:
• Dich vu tu. van danh muc dau to cua khoi MOi gidi vdi han 10 danh flux dau
xuyen suit nam 2020 tap trung cung cap cho toan bo nha dau to c6 theo dOi
kenh Facebook va YouTube cua MBKE. Tat ca danh mvc deu cho ket qua kha
quan, giLp nha dau to co them giai phap dau ttr mdi tron ven trong nam.
• Gdi raj suAt 8.99% dutc MBKE cung cap cho toan 1)0 khach hang keo dai tir
01/4/2020 den 31/12/2020 cling giup nha dau tu' ti6t kiem nhieu chi phi trong
viec sir dung ca.c cong cu tai chinhW8 tit nham t6i uu hOa danh mvc dau tu. cua
minh.
• GOi giam 2% lai suat dai tra cua MBKE danh cho nha dau tu. lam sir dung dich
vu cua MBKE trong Qujf 3 cling la mot minh chang cho viec chimg toi luon
ding hanh vdi nha dau tu. qua tirng giai doan cua thi tru'i'ng.
• Giai phap ho tit vay theo kji han co mac rai silk 7.99% duty MBKE gidi thieu
trong thang 10/2020 tiep tvc &roc nha dau to khap thi trutng dOn nhan vdi ski
h8 la mot minh chirng khac cho sir but pha du no cho vay ky quy cua Cong
ty trong Quf 3 va Qujt 4 nam 2020.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuong nien nam 2020 (ti'ep theo)
• Nam 2020, san pham giao dich trvc tuye'n cua MBKE mot lan nira nhan giai
throng TOP 100 san pham/dich vu &roc Tin & Dung 2020 do TWA bao Kinh
ell Viet Nam thvc hien. Day ding la nam danh dau sty thay d6i Ian khi MBKE
quy6t tam ma r6ng dau tu vao cong nghe co nhieu tich hap cac chirc nang
tuang tac, phvc vu da n'en tang gitlp nha dau tu thvc hien dan gian han nira cac
thao tac giao dich trip tuyecn dia minh. Cac thong tin duoc cap nhat lien tvc va
nhanh ch6ng h6 tro t6i da cho nha dAu tu trong viec du'a ra quy& dinh dAu tu
kip thei va hieu qua.
Ben canh dO, MBKE luon d6ng hanh nha (tau tu ding nhu cac co quan quan ly
trong chitin lupe cfau tu va pink trie'n thi truOng chang khoan, cu the:
• Tu khi cac ca Covid-19 duoc phat hien tai Viet Nam va cac Ian tai phat hien
khac khong khiL MBKE giam di chat lugng dich vu to van cung cap cho nha
dau tu. Hang loat bu6i h6i thao chuyen de v6 TTCK dupe din ra hang tuAn tren
n'6'n tang trtyc tuyen giup nha dau tu. du dang b bat dr nai nao, bat cir khi nao
cung co the nhan &roc sir cham sac va tu van tan tinh cua chi:mg t6i dinh ky moi
thir hai va thu ba hang tuAn thong qua Zoom, YouTube va Livestream Facebook.
• Ben canh do, b'6 phan m6i giai khach hang to chile cling ke't hop vai 13.0 phan
nghien dru thvc hien cac chuang trinh h6i thao Tat thu danh cho cac Quy dau
to khap khu viyc nham tip thi thieu cac h6i dau tu 0' Viet Nam tai
Singapore, Thai Lan va Malaysia. Cac chuang trinh da thu but su quan tam va
&roc danh gia cao b6.i 'Jong dao cac nha dau to tham dkr.
2. Nghiep vu Nghien din Ara Ttr van dau to
Doi WV b0 phiin phyc vu khdch hang cd nhan
Trong nam 2020, cac chuyen vien phan tich kh6i khach hang ca nhan da lien tic
cap nhat tin tut, tong k6t tInh hinh va nhan dinh xu hu'o'ng giao dich, d6ng theri dua
ra nhang phan tich danh gia v'e kha Wang sinh 1?Yi cua cac co phiec u, du'a ra nhi .6u
khuye'n nghi dau tu chinh xac.
Khac cac nam truac khi MBKE lien tic to chac cac hOi thao cho cac nha dau
tu' ca nhan, nam 2020 do gian each xa h6i vi dich benh Covid-19, b6 phan nghien
dru phan tich tap trung vao cac h6i thao sang Thir Hai hang than qua Zoom, ding
chuang trinh "m8i tuAn 1 stock pick" giup nang cao hieu qua du tu. cua khach.
Trong do CO nhang co phiL khuy6n nghi not bat nhu DGW, HPG, PET, GAS,...
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CONG TY TNHH MOT THANH VIEN CHITNG KHOAN MAYBANK KIM ENG Bac) cao thuong nien ram 2020 (tiep theo)
acing thti vai ban tin cap nhat hang ngay, b0 phan nghien cau cling xay dung cac
mkt hinh danh myc dau to nhu' Linh hog, Gia tri, Co tire nham ginp nha dau tu ca
nhan c6 them nhreu )", Wang v'd phan 1:16 tai san theo Inge tieu dau tu rieng cua minh.
Hieu qua cling nhu. su thay d6i ty trong tai san °Oa cac mo hinh danh myc nay throe
cap nhat hang ngay tren Ung dyng Market Insight cna MBKE. Dat biet la danh tinge
Linh hog luon theo sat bin d6ng cua thi truOng de co dupe hieu qua vuvt han VN-
index.
Ben cynh dO, viec cap nhat nhanh cho b6 phan m6i gidi va khach hang th6ng qua
ang dyng IVAN va Market Insight van tip tvc duy tri. IVAN mot thie't ke dac biet
de cung cap thong tin chuyen dyng cho b0 phan moi gidi theo tUng khach
hang/nhom khach hang d'e' nang cao chat lugng dich vy cua Cong ty. ang dyng
Market Insight - tip tpc la kenh cap nhat th6ng tin tien loi tren dien thoyi th6ng
minh cho cac nha dau tu.
Cac chuyen vien phan tich giau kinh nghiem cna MBKE con thutng xuyen hop tac
vdi cac co quan bao dai nhu NCDT, VTV, VIR,... de du'a cac nhan dinh chuyen
mon cua minh d6n dong ciao cong d6ng nha dau tu.
Dal bi) phOn phyc vy khach hang 14 chirc
Nam 2020 dac Net la mot nam trill thach vdi nhang bin d6ng kh6 luong do anh
huang cia dich benh.Nhang bin clOng lien tyc cia thi truOng doi hOi ph6ng nghien
cdu phan tich phai nhay ben theo sat din bin cling nhu tac d6ng cia cac su kien
len hog clOng cua cac doanh nghiep niem y6t de dua ra tu. Van phu hop nhAt cho
khach hang.
Dac biet, nhang khuy6n nghi chuan xac d4Si nganh ngan hang va co phieu ngan
hang (VCB, VPB, ACB va TCB) cua cac chuyen vien phan tich MBKE duot ghi
nhan va danh gia cat cao tren thi trutng, dOng gOp tich cy.c vao hieu qua giao dich,
gia tang nhOn cho nha dau tu.
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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao ca.() thuong nien nam 2020 (tiep theo)
Vai vai tr6 la cau not giaa cac quy dau nude ngodi thi twang Viet Nam, bO
phan nghien dru khach hang to chac da tie!) tuc day mph han naa cac hoat Ong
to van, cap nhat chuyen sau ve kinh to vi nth, nganh ngan hang, moi truOng kinh
doanh, hoat dOng dia cac doanh nghiep. Nam 2020, vai anh huang dia dich benh,
sir kien Invest ASEAN (hOi nghi Dau qu6c to thuang nien do Tap doan Maybank
Kim Eng t6 chac) da duac thgc hien thanh cong bang hinh thac true tuyen (Zoom)
vai chu a "Viet Nam tu' g6c nhin cua nhang nguei thuyen truang — Captains Speak:
Vietnam". Qua dO, gulp nha dau to nu& ngodi co the Wei) can cac thong tin thi
truOng va gap go' tuyen v6i cac doanh nghiep tai Viet Nam. DOi ngu chuyen
vien phan tich cua b'9 phan nghien dru khach hang to chac ding tham gia clOng vao
hOi thao trkrc tuy6n "ASEAN Consumer" do tap doan hop tac d6ng to chi.rc
Mizuho.
Duac danh gia cao bai khach hang, WO phan nghien cuu khach hang to chac tip ttic
can nhac nhu cau can d6i giaa dau to gia tri dai han va ap hic hieu qua dau trong
ngan han (vi du nam tai chinh) cua khach hang. Cac chuyen vien phan tich cua
MBKE da n6 Ivo dua ra nhang khuyen nghi phu hap vdi quan diem dau tu, (lieu le
quy,... cua cac nhOm d6i twang khach hang khac nhau.
3. Ging nghe thong tin va giao dich trtyc tuy6n
True tuye'n hOa hoat dOng du tu' chung khoan la xu the tat y6u trong b6i canh each
mang cong nghiep 4.0, va no dang tac dOng that ski. manh me den tat ca cac nhOm
du tutren thi trueng. Nam 2020, khi toan the dang d6i rot vai dai dich Covid-
19 thi yeu to cong nghe trong dau tu chilng khoan cang tra nen cap thiet han bao
gi6 het. Kh6ng nam ngoai xu the, MBKE da, dang va se khong nam ngoai inoi
dixong dua. Vai ha tang cong nghe hien dai, gia tang tic dO va hieu nang cho bang
gia thong minh, dat lenh online, theo dOi va thgrc hien cac tien ich online v6i san
pham trkrc tuyen la KE Trade nen tang Web va KE Mobile danh cho Crng dung di
Ding th6i Cong ty luOn the hien sir nhay ben cua minh khi ket hop cong nghe
ding v6i xu twang san pham da dang ho trd khach hang ve phi, lai suat. 1
NI
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thtrOng nien nam 2020 (tiep theo)
Trong nam 2020, MBKE tricen khai tick hop san pham chang khoan phai sinh cho
nha du to tren n6n tang giao dich trvc tuyen KE Trade cong nghe Revamp, thich
ang m9i kich thutc man hinh thiet bi cling nhu' thiet ke giao dien than thien v6i
nguai ding nhu'ng cling kh6ng thieu di sit' hien dai, tinh te. Nha dau tu' de clang thay
doi khong gian giao dich giCra thi truOng co so' va phai sinh trong tam.
Giai phap giao dich cht:mg khoan trvc tuyen tich hop khong chi cung cap cho khach
hang cong cu dat lenh mua ban ma con cho phdp h9 thvc hien hang loat nhu eau
giao dich khac ma kh6ng can phai hien dien tai MBKE. Tinh bao mat va dO an toan
cia cac san pham giao dich trvc tuyen cua MBKE dieu dupe cac nha du tu Viet
Nam dac biet tin tutng va danh gia cao cung v6i tinh nang clang nhap KE Mobile
tren thiet bi di dOng bang sinh trac hoc van tay va khuon mat (Touch and face ID)
da throe nang cap tilt& do.
Trong cuOc chay dua cong nghe, ngoai vu kill la viec nam bat nen tang he th6ng
hien dai, (mg dung tich hop cong nghe cao thi vu khi cho nha dau to con la nhang
con s6 cap nhat theo th6i gian thvc, nhang tinh Jiang vuot trOi triet de phvc vu viec
danh gia, phan tich va dua ra guy& dinh dau tu'. MBKE cung cap da lieu phan tich,
da lieu c6 phieu, da lieu thi tru.o.ng tren trang chit cia Cong ty de nha dau tu' hoan
toan chi &ling ve th6ng tin, nam bat moi bien Ong cua thi trireng mot each nhanh
Chong va chinh xac nhat gem nhieu nhOm chit nang hau ich nham theo dOi thi
truerng da chieu vai cac tinh nang theo dOi d6ng tiesn, thong tin vi mo, top nhang c8
phieu anh htrang den chi s6 VN-Index...
San pham giao dich trvc tuyen cua C6ng ty nam 2020 tiep tyc vinh du' dupe binh
ch9n vao TOP 100 san pham/dich vu diroc Tin & Ding 2020 do Th6i bao Kinh Te
Viet Nam thvc hien), danh dau 9 nam lien tiep MBKE vinh nhan danh hieu dac
biet nay.
sit' no ly.c khong ngang cia dOi ngi chuyen vien MBKE, ding nhu sit' hop tac
cung vai cac d6i tac phat trien thue ngodi, MBKE da xay dung duoc mot to hop cac
kenh giao dich true tuyen that sit' bao mat, t6c d6 toi tru va than thien v6i ngubi
ding. Doanh thu qua kenh giao dich trvc tuyen khong ngang tang tru.ang chiem
tren 90% tong s6 Itrong lenh giao dich toan Cong ty, do la nhfing minh chang song
dOng cho sir thanh cong cua to hop giai phap giao dich true tuyen.
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4. Tai chinh doanh nghi4 vu'o'n Ngan hang du ttr
Dich vy Ngan hang au tu• (Investment Banking) la mot trong nhu•ng dich vy CO the
mph dm Tap (loan Maybank hien nay. Vo•i six mph ve tai chinh va su• chuyen
nghiep, Tap loan Maybank la mot trong nhang to chirc clUng clAu ve dich vy Ngan
hang du to trong khu vuc ASEAN.
Voi mang luoi quan he kinh doanh va thuo•ng hieu khu vu•c, MBKE clang tap trung
phat tri6n cac dich vy to van thu xep cac san pham von vay ma Maybank có the,
tu• van sap nhap doanh nghiep, huy dOng ngu6n von cac qu -y dAu tu' tai chinh
chuyen nghiep, cac d6i tac chin !trot nuot cho cac doanh nghiep tai Viet
Nam. Ben canh dO, MBKE ding cung cap cac dich vy khac lien quan den tai chinh
doanh nghiep de dap (mg nhu cau da dang cua doanh nghiep.
Trong bOi canh kinh to vi mo cua Viet Nam on dinh va hoat dOng kinh doanh san
xuk cua khOi khach hang doanh nghiep duo.c danh gia hOi phyc tich cgc vuot qua
nhang khO khan do dich benh va thien tai, MBKE ky vcmg mang Ngan hang du tu.
se clat chive ket qua tot hon trong thiyi gian to•i.
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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bap cao thuong nien nam 2020 (tiep theo)
5. la hoach kinh doanh nAm 2021
Chi tieu Ka ho#ch nam 2021
(VND)
Thtrc to nAm 2020
(VND)
TS, l' °A)
tang/(giam)
I. DOANH THU
- Lai to cac khoan
cho vay va phai thu 180.709.510.000 157.138.702.320 15%
- Doanh thu mOi
gidi chimg khoan 167.453.820.000 152.230.742.634 10%
- Doanh thu tu' van 38.816.560.000 35.287.783.257 10%
- Doanh thu khac 37.407.480.000 31.611.438.936 18%
COng doanh thu 424.387.370.000 376.268.667.147 13%
II. TONG CHI
PHI 273.246.530.000 244.841.848.529 12%
III. TONG WI
NHUAN KE
TOAN TRVOC
THUE
151.140.840.000 131.426.818.618 15%
Nam 2021, MBKE dtra ra ke hoach Oat tri& vdi han 13% tang trudig doanh thu
va 15% tang twang lai nhuan trudc thue so vai nam 2020. Tang twang thi phan
m8i gidi va no' ky guy dua tren nen tang phat tri6n ben yang va quan tri riti ro
tot luon la dinh hudng lau dai dm Tap doan va Cong ty.
De thkrc hien ke hoach do, Kh6i Moi gidi van tip tyc tyc phat buy vai tr6 tien phong
vdi cam ket du'a ra nhting san pham va giai phap sang t4o khOng ngUng nham dap
Ung nhu cau da dpg cua kWh hang; lien tic cai tien cong nghe de có duac nhu'ng
phuo'ng thirc giao dich tier' tien nhat; nang cao chat luang tu van va phyc vu cua
doi ngi.1 mOi gidi, dem den skr hai long toi da cho kha.ch hang khi giao dich tai MBKE.
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CONG TY TNHH MOT THANH VIEN CHITNG KHOAN MAYBANK KIM ENG Bao cao thuang nien nam 2020 (tiep theo)
MBKE tiep tic phat trien he thong giao dich chang khoan phai sinh va kY vong san
pliant se dOng g6p tich eve trong viec dat dirge mvc tieu tang truang doanh thu caa
nam 2021.
Ben canh do, MBKE se cung cap san pham chit•ng quyen co dam bao (covered
warrants) trong nam 2021 nham da clang Ma san pham va dat du•gc ket qua kinh
doanh theo ke hoach.
Tie') not nhirng thanh tich da duac trong nhang nam gan day, Khei Ngan hang au
to va Tu' van doanh nghiep se clay mph lid rang hog clOng, dap ang nhu cau
cua thi truang nang cleng va ke thaa cac the mph ctia Tap doan, nham mac dich
dong g6p virat bac cho hog Ong kinh doanh cua Cong ty.
Chi phi hog clOng kinh doanh tiep tic duvc kiem soat chat the nhung se van dam
bao cac hog deng co duvc ngu6n kinh phi kip tho•i, phvc vi hap lY cho sv tang
truang.
COng ty se day to d6i mo•i he thong cho cac be phan nghiep vi de nang cao hieu
qua lam viec va cung cap dich vv chat luang cao to•i khach hang.
Deng that Cong ty tiep tvc nang clap may mOc thiet bi ding nhu• thiet lap them cac
phan mem quail ly bao gem ca cac phan mem bao ve an toan mpg va he theng
thong tin. Chinh sach dao t4o va phac lo•i cho nhan vien ding se du•oc chit trong
nham gia tang sir gan ket caa nhan vien, tao mai twang lam viec chuyen nghiep
theo clang chuan mat va van h6a dm Tap doan.
Nam 2021 city bao TICK co nhieu yet.) to h'6 tro de chinh phvc nhang moc diem se
cao hon, do trien vong kinh t6 phvc h6i tat hon, tang twang lai nhuan cua doanh
nghiep niem y6t du•oc du phOng tang tru•o•ng tot, theo Ichao sat caa Bloomberg, thanh
khoan thi tru'o•ng du•oc Icy vong tiep tvc duy trio tot, va clang von nu•o'c ngoai
quay tra lai dAn. Traci.° co• hei phat trien caa TTCK ding vo•i nhang ke hoach phat
trien nOi ivy de ra, COng ty rat quy6t tam se c6 ket qua kinh doanh kha quan hon
trong nam 2021.
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thtiong nien !lam 2020 (tiep theo)
Cling voi sir hgp ltrc dm Tap doan, HOi dong thanh vien va tap the nhan vien Cong
ty, MBKE ky vgng se tiep tuc yang va Oat trien vi the la cong ket noi, dua cau
chuyen cua cac doanh nghiep Viet Nam den vai 'Jong dao cac nha dau to trong nu&
va qu'Oc ye. Ben canh d6, cong viec Vic tier' quang ba.thi throng Viet Nam cung nhu
to van va dOng g6p y kien cho cac co quan quan ly trong cong tac xay dung thi
truang cling se tie') tvc dirge day manh, 118 trg mph me cho - cac h9at dOng clay
nhanh tien trinh hien thvc h6a mvc tieu nang hang TICK theo dimg tam nhin va 10
trinh ma Chinh phtl da de ra.
6. Giai phap va chtrung trinh hanh Ong nam 2021
Vai nhang gi dat dugc trong nhCing nam qua, MBKE ttr tin dang di rat dang twang.
MBKE tin tuang vao sty 118 trg toan dien va dai han cua Tap doan de tiep tvc da
phat trien cua minh. COng ty luon co the tan dung sac manh cua Tap doan bao g6m
cac ngu6n ltrc tai chink, co so' ha tang va cac bi quy& cong nghe mai a by tin ve
chang dtarng phat trien mai sap tai vai mot MBKE tam vac han, n6i tri ho'n va
khong ngirng mph.
• Mvc tieu truot mat cua MBKE la tiep tvc duy tri vi tri tien phong cua minh
th8ng qua viec dau tu' manh me vao cong nghe a nang cao kha nang tiep can
khach hang, dac biet la d6i tagng khach hang tre, d6ng thai dem den cho khach
hang nhCi.ng trai nghiem dac biet khi den giao dich tai MBKE.
• MBKE se khai tilde tri'et de the manh ve mang hxdi dm Tap doan trong khu vvc,
day manh mang to van va ngan hang dau nhu' thieu dOi tac chitin lucre,
thu ?cep von va mot so loai hinh dau tai chinh kha.c. MBKE se tiep ttic n6 ltyc
khang Binh vi the la "COng ket n6i khu vtrc - ASEAN Gateway", gitlp mang
ngu6n von ngoai vao Viet Nam, g6p phan vao sir phat trien cua cac doanh
nghiep trong nuo.c nOi rieng va TTCK Viet Nam nOi chung.
• Ben canh viec day manh dau hoan thien nen tang cong nghe, lien tvc cho ra
dai nho'ng san pham, dich vu chat ltrang cao, Cong ty se Cl4C biet chi trong dao
tao dOi nga nhan str chuyen nghiep, co nang ltrc va tam nhin quoc tO. Tat ca cac
hoat dOng cua MBKE se duct trien khai d6ng bo theo phu'o'ng cham: "M4NH
HON, QUYET LIFT HON VA TOT HON".
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thtteng nien nam 2020 (tie!) theo)
IV. QUAN TRI CONG TY
1. 110i dong thAnh vien ("HDTV")
STT Thanh vien HDTV Chin vu So buoi hop
tham dtr
TST le
1. BA Che Zakiah Binti Che Din Chu tich 5/5 100%
2. Ong Mohamad Yasin Bin Abdullah Chu tich 4/4 100%
Thanh vien 5/5 100%
3. Ong Ronnie Royston Fernandiz Thanh vien 5/5 100%
4. Ong Goh Cho Kiat Jeffrey Thanh vien 5/5 100%
4. Ong Rajiv Vijendran Thanh vien 9/9 100%
5. Ong Lok Eng Hong Thanh vien 4/4 100%
Hoat dOng giam sat dm HDTV d6i voi Ban Tting Giam doe: Ngodi cac cu6c hop
theo quy dinh tai Dieu le Cong ty, Ban T6ng Giam d6c thttOng xuyen cap nhat din
bin thi tru•Ong va bao cao tinh hinh hoat Ong kinh doanh cua Cong ty de HDTV
kip thei dua ra nhimg guy& dinh chi dao mang tinh chien hive glop Cong ty phat
trien ben yang.
2. Ban Kiem soat
Hog dOng dm Ban Kiem soat: Ban Kiem soat to chirc cac cu6c hop theo quy dinh
01 Dieu le Cong ty. Thanh phan tham dtt h9p luon day du cac thanh vien Ban Klein
soat cang nhu cac b0 phan co lien quan theo yeu cAu dm Ban Kiem soat.
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CONG TACH NAM H . KITHAWV, '..CHINGKHOA
MAYBANK KIM ENG
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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG BaO cab thtreyng nien Warn 2020 (tie'p theo)
V. BAO CAO TAI CHINH
'\"T kin cit' a Kim toan vien dO‘c lap duvc trinh bay trong Ban cao tai chinh da duot
kiem toan tai ngay 31 ngdy 12 nam 2020 boi Cong ty TNHH Ernst & Young Viet
Nam. (http://maybank-kimeng. corn.vn/kimengportal/financial- state ments. do).
Thanh ph d Hd Chi Minh, ngay 26 thong 2 nam 2021
Xac nh4n cua dai dien theo phap luat caa Cong ty
KIM THIEN QUANG
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Cong ty Trach nhiem Him han MOst thanh vien Chtl/ng khoin Maybank Kim Eng
Bao cao tai chinh
Cho narn tai chinh ket thiic ngay 31 than 12 narn 2020
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EY Building a better working world
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Cong ty Trach nhiOm HCru han MOt thanh vien Chung khoan Maybank Kim Eng
myc Lyc
Trang
ThOng tin chung 1 - 2
Bag gag cua Tong Giam (16c 3
Bag gag kiem than dOc lap 4 - 5
Bag gag tint) hinh tai chinh 6 - 9
Bag cao ket qua hoat dOng 10 -11
Bag gag chuyen tier) to 12 - 14
Bag cao tInh hlnh glen Ong von chu so hu'u 15
Thuyet minh bag cao tai chinh 16 - 46
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiem HO'u han MOt thanh vien ChOng khoan Maybank Kim Eng
THONG TIN CHUNG
CONG TY
Cong ty Trach nhiem H0'u han M6t thanh vien ChCmg khoan Maybank Kim Eng ("Cong ty") duvc thanh lap theo Luat Doanh nghiep cua Viet Nam theo Giay phep Thanh lap va Hoat deng so 117/GP-UBCK ngay 3 thang 1 nam 2014 va grey phep dieu chinh so 30/GPDC-UBCK ngay 17 thang 4 nam 2018, thay the Gray phep Thanh lap va Hoat Ong s6 71/UBCK-GP ngay 14 thang 12 nam 2007.
Hoat Ong chinh trong nam hien tai cua C6ng ty la moi gi61 chitIng khoan, tu doanh chUng khoan, bao lanh phat hanh chi:mg khoan, lu'u ky chOng khoan, tu, An clAu tu' chOng khoan va giao dich ky quy chUng khoan.
COng ty co try s6 chinh tai tang 4A - 15 + 16, tea nha Vincom Center Bong kW, so 72 Le Thanh Ten, Phu&ng Ben Nghe, Quan 1, Thanh ph6 HO Chi Minh va cac chi nhanh tai Thanh oho HO Chi Minh, Ha N6i va cac tinh thanh khac nhu' sau:
Chi nhanh Cho LO'n: Lau 1, 86 Tan Da, Phuo,ng 11, Quan 5, Thanh ph6 HO Chi Minh;
Chi nhanh Phu Nhuan: Tang 1, Toa nha Tan Ha Phan, 465 Phan Xlch Long, Quan Phu Nhuan, Thanh pho HO Chi Minh;
Chi nhanh An Giang: Tang 3, TTTM Nguyen Hue, 9/9 Tran Hung Dao, Phu6ng M9 Xuyen, Thanh ph6 Long Xuyen, tinh An Giang;
Chi nhanh DOng Nai: Tang 3, PhOng 303, T6a nha NK, 208D Pharr) Van Thuan, PhuVng Tan Tien, Thanh ph6 Bien H6a, tinh D6ng Nai; va
Chi nhanh Ha Nei: Tang 3A-06, Tea Nha Horison, SO 40 Ph6 Cat Linh, Phu'&ng Cat Linh, Quan Bong Da, Ha N6i.
NhU'ng cla:c clidm chinh ve hoot dOng cua COng ty
Quy mo v6n
Tai ngay 31 thang 12 nam 2020, tong von dieu le cua COng ty la 1.056.110.000.000 VND va tong tai san la 2.347.081.261,571 VND.
Muc tieu cl6u tu'
COng ty host dOng vai myc tieu chung la cung cep cac dich vy chuyen nghiap tao ra gia trj cho khach hang COng ty not rieng va cua Tap loan not chung, ten den vi trj Can deu trong tat ca cac haat Ong kinh doanh, xay dung nguOn lu,c thong minh va hieu qua, tOi da h6a loi nhuan cho Cong ty.
Hpn the d'Au tu'
Cong ty tuan thu quy dinh tai Dieu 44, Thong tu, so 210/2012/TT-BTC ngay 30 thang 11 nam 2012 twang den ve thanh lap va host Ong cong ty 6N:frig khoan va Thong tu, so 07/2016/TT-BTC ngay 18 thang 1 nam 2016 sb'a d6i b6 sung met s6 dieu cua Thong tu' so 210/2012/TT-BTC.
NOI DONG THANH VIEN
Cac thanh vienHei clang Thanh vien cua C6ng ty trong nam va vao ngay lap Ma cao nay nhix sau:
Ng ten
Ch CPC vu
Ng6y b6 nhi0mAngn nhOm
Ong Mohamad Yasin Bin Abdullah Ba Che Zakiah Binti Che Din Ong Rajiv Vijendran Ong Lok Eng Hong Ong Ronnie Royston Fernandiz Ong Goh Cho Kiat Jeffrey
Chu tich ChCi tich Thanh vier) Thanh vier' Thanh vien -Mann vien
BO nhiem ngay 7 thang 8 nam 2020 Mien nhiem ngay 7 thang 8 nam 2020 B6 nhiem ngay 30 thang 12 nam 2019 BO nhiem ngay 7 thang 8 nam 2020 Mien nhiem ngay 7 thang 8 nam 2020 Mien nhiOm ngay 7 thang 8 nam 2020
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THONG TIN CHUNG (dap theo)
BAN KIEM BOAT
Cac thanh vien Ban Kiem soat cua COng ty trong nam va vao ngay lap bao cao nay nhu' sau:
H9 ton
Ba Che Zakiah Binti Che Din Ong Malique Firdauz Bin Ahmad Sidique Ba Tran Ngoc Nhu' Hien Ba Nguyen Tuyet Van
ChCrc vy
Trueyng ban Truang ban
Thanh vien Thanh vien
NO)/ b6 nhiem/mi6n nhiem
B6 nhiem ngay 7 thang 8 nam 2020 Mien nhiem ngay 7 thang 8 nam 2020
Tai 66 nhiem ngay 30 thang 12 nam 2019 Tai 66 nhiem ngay 30 thang 12 nam 2019
BAN TONG GIAM DOC
Cac thanh vien Ban Tang Gam doc va Ke town Truang trong nam va vao ngay lap bao cao nay nhu' sau:
Hp ten
Ong Kim Thien Quang Ong TO Qu6c Tuan Ong Tran Chau Tien
Ong Vu Gia Vinh
Ba Le H6ng Lien
Ba Tran Thj Ngoc Huang
ChCrc vy
Tong Giam d6c Giam a6c Tai chinh Giam d6c Khoi COng nghe thong tin Giam Tao Khoi ngan hang dau tu' Giam d6c Khoi nghien cUu phan tich khach hang to chU'c K6 toan Tru'&ng
Ng* b6 nhietnItngn nhiem
E36 nhiem ngay 12 thang 8 nam 2015 B6 nhiem ngay 9 thang 9 nam 2019 BO nhiem ngay 1 thang 4 nam 2019
BO nhiem ngay 24 thang 6 nam 2017
Mien nhiem ngay 29 thang 8 nam 2020
86 nhiem ngay 10 thang 3 nam 2014
NGLY61 DAI DIN THEO PHAP LUAT
Nguai dal din theo phap luat cua COng ty trong nam va vao ngay lap bao cao nay la Ong Kim Thien Quang, cht:rc vu Tong Giam d6c.
KIEM TOAN VIEN
C6ng ty Trach nhiem HOu hen Ernst & Young Viet Nam la cong ty kiem town cho Gong ty.
2
Maybank Kim
Eng Securities Limited
Cong ty Trach nhilem Hau han MOt thanh vien Chiang khoan Maybank Kim Eng
BAO CAO CUA TONG GIAM DOC
TOng Giam d6c Cong ty Trach nhiOrnHO'u han Met thanh vien ChVng khoan Maybank Kim Eng ("Cong ty") trinh bay bao cao nay va bao cao tai chinh cua Cong ty cho nam tai chinh ket th0c ngay 31 thang 12 nam 2020.
TRACH NHIpl CUA TONG GIAM DOC DOI VO'l BAO CAO TAI CHINH
Tong Giam d6c Gong ty chju trach nhiOrn dam bao bao cao tai chfnh cho tU'ng nam tai chinh phan anh trung thvc va hop ly tinh hinh tai chfnh, kat qua hoat deng kinh doanh, tinh hinh lu'u chuyen tien to va tinh hinh bier) dung von cher so' hay cua C6ng ty trong nam. Trong qua trinh lap bao cao tai chfnh nay, TOng Giam dec can phai:
D Iva chon cac chinh sach ke toan thfch hgp va ap dvng cac chinh sach nay met cach nhat quail;
thvc hien cac danh gia va ugc tinh met cach hop ly va than tong;
n'eu re cac chuAn MIX ke toan ap dvng cho Cong ty CO duvc tuan thO hay khOng va tat ca nhumg sai loch trong you so vgi nhQ'ng chu6n mvc nay da duvc tint) bay va gial thfch trong bao cao tai chinh; va
D lap bao cao tai chinh ten ca sO' nguyen tac hoat deng lien tuc trO, tnyo'ng hop khOng the cho rang Cong ty se tiep tvc hoat Ong.
Tong Giam clec COng ty chju trach nhiem dam bao viOc cac sO sach ke toan thfch hop duvc Iu'u giCr de phan anh tinh hinh tai chinh cua Cong ty, vfri Mlin de chinh xac hop ly, tai bat ky th&i diem nao va dam bao rang cac sO sach ke toan tuan thO the de ke toan da duvc dang ky. Tong Gam ciOc Cong ty cOng chju trach nhiOm ye viOe quail ly cac tai san cua Cong ty va do do phai thvc hiOn cac bien phap thfch hop de ngan chan va phat hien cac hanh vi gian Ian va nhO'ng vi pham khac.
TOng Gam d6c COng ty cam ket da tuan thO nhOng you cAu neu ten trong vrec lap bao cao tai chinh cho nam tai chfnh ket th0c ngay 31 thang 12 nam 2020 kern theo.
CONG BO CUA TONG GIAM DOC
Theo y kien cua Tong Giam d6c Cong ty, bao cao tai chfnh kern theo da phan anh trung thvc va hop ly tinh hinh tai chfnh cua COng ty tai ngay 31 thang 12 nam 2020, ket qua hopt Ong kinh doanh, tinh hinh lu'u chuyen tien to va tinh hinh bien Ong von chu sb hO,u cho nam tai chinh ket thOc cOng ngay ph0 hop vgi cac Chuen mvc ke toan Viet Nam, Che de ke Wan doanh nghiap Viet Nam, cac hu'&ng dan ke toan ap dvng cho cOng ty ch0'ng khoan va cac quy dinh phap ly ce lien quan den viOc lap va Mn1 •ao cao tai chinh.
114 Tong Giam den
Thanh ph6 HO Chf Minh, Viet Nam
Ngay 9 thang 2 nam 2021
3
Building a better working world
SO tham chick: 60994674/22196163
Ernst & Young Vietnam Limited Tel: +84 28 3824 5252 20th Floor, Bitexco Financial Tower 2 Hai Trieu Street, District 1
Fax: +84 28 ey.corn
3824 5250
Ho Chi Minh City, S.R. of Vietnam
Maybank Kim
Eng Securities Limited
BAO CAO KIEM TOAN DOC LAP
Kinh givi: Cht) sai hCvu Cong ty Trach nhiOm H CPU han MCA thanh vier' Chirng khoan Maybank Kim Eng
Chung tOi cla kiem toan bao cao tai chinh kern theo cua COng ty Trach nhiem FICry han Mat thanh vien ChOing khaki Maybank Kim Eng ("Cong ty"), duvc lap ngay 9 thang 2 nam 2021 va duvc trinh bay tip trang 6 den trang 46, bao gom bao cao tinh hinh tai chit-1h tai ngay 31 thang 12 nam 2020, bao cao ket qua hoat clang, bao cao Ivy chuyen tien to va bao cao tinh hinh bran clang von chu sa hO,u cho nam tai chinh ket thCic cOng ngay va cac thuyet minh bao cao tai chinh kern theo.
Trach nhiOm cua T6ng Giam d6c COng ty
Tong Giam clOc Cong ty chiu trach nhiem ye viec lap va trinh bay trung thy,c va hop ljt bao cao tai chinh cua COng ty theo cac Chuan mvc ke toan Viet Nam, Che do ke toan doanh nghiep Viet Nam, cac Wang den ke toan ap dung cho cac cOng ty chUng khoan va cac quy dinh phap co lien quan den viec lap va trinh bay bao cao tai chinh va chiu trach nhiem ye kiem scat not by ma Tong Giam clac xac dinh la can thiet de dam bac, viec lap va trinh bay bao cao tai chinh khong co sai sot trong yeu do gian lan hoac nham ran.
Trach nhiOm cua Ki4nt toan vien
Trach nhiem cua chOng tOi la du'a ray kien ye bao cao tai chinh dva ten ket qua cua cuac kiem toan. ChOng to' cla tien hanh kiem toan theo cac Chuan mvc kiem toan Viet Nam. Cac‘chuen mvc nay yeu cau chung tOi tuan thO chuen mvc va cac quy dinh ye ciao clOc nghe nghiep, lap ke hoach va thvc hien cuac kiem toan de dat &roc sv dam bao hap ly ye viec lieu bao cao tai chinh cua Cong ty CO con sai sot trong yeu hay khOng.
COng viec kiem toan bao gam thvc hien cac thu tyc nham thu thap cac bang chOng kiem toan ye cac so lieu va thuyet minh tren bao cao tai chinh. Cac thO tyc kiem toan du,oc Iva chon dy'a tren xet (loan cua kiem toan vien, bao gOm clanh gia rui ro co sai sat trong yeu trong bao cao tai chinh do gian Ian hoac nham len. Khi thvc hien clanh gia cac rui ro nay, kiem toan vien da xem xet kiem scat nai ba cua Cong ty lien quan den viec lap va trinh bay bao cao tai chinh trung thu'c, hop ly nham thiet ke cac thu tyc kiem toan phO hop v&i tinh hinh thvc te, tuy nhien khOng nham muc Bich dua ray kien ye hieu qua cua kiem soat not ba cua COng ty. COng viec kiem toan cOng bao gom denh gia tinh thich hop cua cac chinh sach ke toan duvc ap dung va tinh hop l}"/ cua cac vbc tinh ke toan cua Tang Gam clac cOng nhu' clanh gia viec trinh bay tong the bao cao tai chinh.
Chung tei tin twang rang cac bang chOng kiem toan ma chung tOi cla thu thap dugc la clay du va thich hop de lam ca sa cho 9 kien kiem toan cua chOng tOi.
4 A member firm of Ernst & Young Global Limited
Cong ty Trach nhiOm Hfru han Ernst & Young ViO't Nam
CONG T
trung Nguyen Bang Tung
lam fRic Kiem Wan vien CNOKHN !dem toan: 0893-2018-004-1 SO Giey CNOKHN kiem toan: 4415-2018-004-1
Mayb
an
k Kim
Eng
Secu
rities Limite
d
EY Building a better working world
Y kin coa Kim toan vien
Theo y kien cua chung tOi, bao cao tai chinh da phan anh trung thcrc va hop ly , tren cac khia cart tong yeu, tinh hinh tai chinh cOa COng ty tai ngay 31 thang 12 nam 2020 cung nhu, ket qua hoat cleng, tinh hinh ltku chuyen tren to va tinh hinh bran clOng von ch6 so' hCru cho nam tai chinh ket thuc cung ngay phi] hop v61 cac Chun nityc ke toan Viet Nam, Che de Ice toan doanh nghiep Viet Nam, cac hutng cign ke toan ap dung cho cOng ty chirng khoan va cac quy dinh phap ly co lien quan den viec10 va trinh bay bac, cab tai chinh.
Thanh ph6 HO Chi Minh, Viet Nam
Ngay 9 thang 2 nam 2021
A member firm of Ernst & Young Global Limited
5
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiem HCru han MOt thanh vien ChCrng khoan Maybank Kim Eng
BAO CAO T1NH H1NH TAI CHINH
1301-CTCK ngay 31 thang 12 narn 2020
Ma s6 CHI TIEU
Thuy6't minh
SO cuOi nam VND
SO deo nam VND
100 A. TAI SAN NGAN HAN 2.295.805.218.081 1.944.656.437.199
110 I. Tai san tai chinh 2.293.426.289.183 1.942.352.311.439 111 1. Tien va cac khoan tu'o'ng duvng
tin 4 148.463.942.745 133.946.184.149 111.1 1.1 Tien 98.463.942.745 73.946.184.149 111.2 1.2 Cac khoan twang &tong ti4n 50.000.000.000 60.000.000.000 112 2. Cac tai san tai chinh ghi nhan
thOng qua lai/I6 (FVTPL) 6.1 3.375.030 2.977.010 114 3. Cac khoan cho vay 6.2 2.104.399.987.781 1.793.576.529.568 116 4. Du' phOng suy giarn gia tri cac tai
san tai chinh va tai san the chep 6.3 (3.342.102.022) (3.392.102.022) 117 5. Cac khoan phai thu 7 15.263.556.121 16.018.114.439
117.1 5.1 Phai thu ban cac tai san MI chinh 517.500 -
117.2 5.2 Phai thu va du' thu co tcfc, tien lai cac tai san tai chinh 15.263.038.621 16.018.114.439
117.4 5.2.1 DP' thu co tCpc, tien lai china den ngay nhan 15.263.038.621 16.018.114.439
118 6. Tra tru'ac cho ngu'ol ban 7 38.378.358 601.022.500 119 7. Phai thu cac dich vu COng ty
cht:rng khoan cung cep 7 28.509.402.709 1.356,418.114 122 8. Cac khoan phai thu khac 7 205.048.856 448.280.576 129 9. Du• phOng suy giam gia tri cac
khoan phai thu (115.300.395) (205.112.895)
130 11. TN sari ngign Ion khac 8 2.378.928.898 2.304.125.760 131 1. Tam Ong 33.500.000 125.139.773 133 2. Chi phi tra tru,&c ngen han 2.345.428.898 2.178.985.987
200 B. TAI SAN DAI HAN 51.276.043.490 57.275.291.199
220 I. TN san co Binh 15.894.436.944 16.208.319.809 221 1. Tai san co clinh hOu hinh 9 10.789.457.133 13.801.823.513 222 - Nguyen gia 53.507.801.392 54.562.758.791 223a - Gia tri hao mOn lay ke (42.718.344.259) (40.760.935.278) 227 2. Tai san co dinh v6 hinh 10 5.104.979.811 2.406.496.296 228 - Nguyen gia 29.807.134.235 25.400.661.235
229a - Gia tri hao mOn lay ke (24.702.154.424) (22.994.164.939)
240 II. Chi phi xay diyng co' ban de, dang 144.000.000 4.584.229.000
250 III. Tai san dal han khdc 35.237.606.546 36.482.742.390 251 1. Cam có, the chap, q qu9, ky/
cuvc dai han 3.255.088.737 3.255.088.737 252 2. Chi phi tra tru'O'c dai han 11 1.964.330.786 3.225.736.697 253 3. Tai san thue thu nhap hoan Ipi 12 - 1.916.956 254 4. Tien Op Qu9 H6 trg thanh toan 13 30.018.187.023 30.000.000.000
270 TONG GONG TAI SAN 2.347.081.261.571 2.001.931.728.398
6
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiOm HCru han Mt thanh vier) Chiang khoan Maybank Kim Eng
BAO CAO TINH HINH TAI CHINN (tiep theo)
B01-CTCK ngay 31 thang 12 nam 2020
MS s6 CHI TIEU
Thuye't minh
S6 cu6i nam VND
SO cia'u nam VND
300 C. NO PHA? TRA 914.365.694.931 674.124.806.428
310 I. AV phai tra nggn On 914.239.905.548 674.067.287.203 311 1. Vay va ng thue tai chinh ngan han 855.736.090.000 646.656.800.000 312 1.1 Vay nga'n han 14 855.736.090.000 646.656.800.000 318 2. Phai tra hoat Ong giao dich
chimg khoan 38.042.096 516.000 320 3. Phai tra ngu,o1 ban ng6n han 15 6.820.171.346 2.589.711.138 321 4. NgLrol mua tra tien trutec nOn han 280.332.000 330.332.000 322 5. Thue va cac khoan phai nOp
N ha nu,o'c 16 21.388,214,655 4.859.425.615 323 6. Phai tra ngty&I lao dOng 22.614.598.258 13.999.146.234 324 7. Cac khoan trich nOp phOc Igi nhan
vien - 316.210.932 325 8. Chi phi phai tra ngAn han 17 7.337.991.270 5.233.801.760 329 9. Cac khoan phai tra, phai nOp
ngan han khac 24.465.923 81.343.524
340 II. Na phai tra dai hpn 125.789.383 57.519.225 356 1. Thu e thu nhap hoan lai phai tra 18 125.789.383 57.519.225
400 D. VON CHU SO' HU'U 19 1.432.715.566.640 1.327.806.921.970
410 I. Von chef so, hCru 1.432.715.566.640 1.327.806.921.970 411 1. VOn elk tu' cCia chef so' hei,u 1.056.110.000.000 1.056.110.000.000 414 2. Qu9 dy trO' IDO sung von dieu le 20.197.458.918 14.952.026.685 415 3. Qu9 du' phong tai chinh va rill ro
nghiep vu 20.197.458.919 14.952.026.685 417 4. Lai nhuan chu'a phan phOi 336.210.648.803 241.792.868.600
417.1 4.1 Lai nhuan sau thug (la thuc hia'n 336.209.264.221 241.768.818.230 417.2 4.2 Lai nhuasn sau thug chu'a thyv
hia'n 1,384582 24.050.370
440 TONG CONG NO' PHAI TRA VA VON CHU SO' HU'U 2.347.081.261.571 2.001.931.728.398
7
Cong ty Trach nhilem HCPu han MOt thanh vien Chung khoan Maybank Kim Eng
BAO CAO TINH HINH TAI CHINH (tiep theo) ngay 31 thang 12 nam 2020
CAC CHI TIEU NGOAI BAO CAO TINH HINH TAI CHINH
B01-CTCK
Maybank Kim
Eng Securities Limited
Ma s6 CHI TIEU
Thuyet minh
SO cuoi nam VND
So clAu nam VND
A. TAI SAN CUA GONG TY VA TAI SAN QUAN L? THEO CAM KET
005 1. Ngoai to cac bpi (nguyen te) 20.1 USD 175.388,28 183.219,68 SGD 811,30 1.799,88
008 2. Tai san tai chinh niem yet/clang ky giao djch tai Trung tam Lu'u ky Chung khoan cua COng ty 20.2 1.120.000 630.000
B. TAI SAN VA CAC KHOAN PHAI TRA VE TAI SAN QUAN LY CAM KET Vol KHACH HANG
021 1. Tai san tai chinh niem yet/clang Icy giao dich tai Trung tam Lu'u ky Chtling khoan cua Nha clau tu, 20.3 8.279.545.180.000 8.684.463.610.000
021.1 - Tai san tai chinh giao dich to do chuy4n nhvong 7.745.447.510.000 8.431.799.310.000
021.2 - Tai san tai chinh han the chuya'n nhuong 171.514.750.000 42.354.910.000
021.3 - Tai san tai chinh giao dich cam c6 65.450.000.000 111.517.200.000
021.5 - Tai san tai chinh ch& thanh town 297.132.920.000 98.792.190.000
022 2. Tai san tai chinh cla !Liu ky tai Trung tam Lim ky chi:mg khoan va chu'a giao djch cua Nha d6u tu' 20.4 1.683.994.910.000 1.578.650.080.000
022.1 - Tai san tai chInh da luu kit tai Trung tarn Lure ky ChCmg khoan va chua giao dich, ty, do chuAn nhuong 1.374.784.600.000 1.344.390.870.000
022.2 - Tai san tai chinh cla luv ky tai Trung tarn Lu'u ky Chang khoan va chipa giao dich, han chO chuyon nhvong 242.102.600.000 227.259.210.000
022.3 - Tai san tai chInh Gia luv V tai VSD va chum giao dich, cam c6 67.107.710.000 7.000.000.000
023 3. Tai san tai chinh cho' ye cua Nha deu tu' 20.5 215.967.440.000 89.159.820.000
8
NI4LIEIN OT 11 lAti'd Yip CHatiG1110PAR iilAYBANK
T6 QuOc Tuen E
Giam ciao Tai chlrltaw P
phe duye,t:
hien Quang Giam cl6c
phe d
9
Cong ty Trach nhilem HCr. u han MOt thanh vier] Chang khoan Maybank Kim Eng
BAO CAO TINH HINH TAI CH1NH (tiep theo) ngay 31 thang 12 nam 2020
CAC CHI TIEU NGOAI BAO CAO TINH HINH TAI CHiNH (tiep theo)
B01-CTCK
Maybank Kim
Eng Securities Limited
Ma s6 CHI TIEU Thuyet minh
----- s6 cu6i nam
VND S6 (feu flair)
VND
B. TAI SAN VA CAC KHOAN PHAI TRA VE TAI SAN QUAN Li' CAM KT Vol KHACH HANG (tiep theo)
026 4. Tien gi.pi dm khach hang 20.6 924.693.477.941 256.563.119.621 027 4.1 Tien gryi cua Nha du tu' ye
giao djch chimg khoan theo phu'o'ng thU'c CTCK guar' ly 433.128.339.491 131.333.951.021
028 4.2 Tien gCri tong hQ'p giao djch chirng khoan cho khach hang 215.916.499.562 92.957.287.150
029 4.3 Tien gClii VI trCe va thanh toan giao djch cht:mg khoan 275.648.638.888 32.271.881.450
029.1 - Tian gt}i ha trir va thanh toan giao djch chCrng khoan ceta nha dau tu, trong auto 271.976.890.753 31.978.543.476
029.2 - Tian geri bei ITO' va thanh toan giao (itch cht:mg khoan caa nha clau to nutc ngoai 3.671.748.135 293.337.974
031 5. Phai tra nha deu tu' ye tien gCri giao djch chumg khoan theo phirang thil,c CTCK quan Iy 20.7 924.693.339.597 256.561.752.912
031.1 5.1 Phai tra nha Mu tu' trong mrcir ye tien gCri giao djch chting khoan theo phcrang thCrc cOng ty chimg khoan pan lk 863.088.914.331 192.039.377.830
031.2 5.2 Phai tra nha cleu to nutc ngoai ye tien girl giao djch chCeng khoan the° phcrang th (Pc cOng ty chCmg khoan guanl.2 61.604.425.266 64.522.375.082
035 6. Phai tra có tin, gec va Jai trai phieu 20.7 138.344 1.366.709
Ngu,t/i kiem soft:
Nguyen Thj Minh H6ng Tren Thj Ngcc Huang Ke toan vier) Ke toan Tripang
Thanh pho HO Chi Minh, Viet Nam
Ngay 9 thang 2 nam 2021
Ngu'' i
9
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiOm HCru hen (Mt thanh vier' Chiang khoan Maybank Kim Eng
BAO CAOKT QUA HOAT BONG
302-CTCK cho nam tai chfnh ket thuc ngay 31 thang 12 nam 2020
Ma s6 CHI TIEU
Thuy-gt minh
Nam nay VND
Nam truOy VND
E. DOANH THU HOAT DONG
01 1. Lai tir cac tai san tai chinh ghi nhan thOng qua 161/16 (FVTPL) 21.1 20.357.945.327 4.258.418.879
01.1 1.1 Lai ban cac tai san tai chInh FVTPL 1.122.136.364 143.102.557
01.2 1.2 Chenh tech tang v6 cranh gia !pi cac tai san tai chinh FVTPL 1.104.123 1.720.055
01.3 1.3 C6 tirc, tie'n lei phat sinh fey tai san tai chInh FVTPL 19.234.704.840 4.113.596.267
03 2. Lai tu, cac khoan cho vay va phai thu 21.1 157.138.702.320 172.667.254.113 06 3. Doanh thu nghiep vy mOi giO1 chUng
khoan 21.2 152.230.742.634 101.097.873.302 08 4. Doanh thy nghiep vy tu, van dau ty,
cht:Png khoan 21.2 158.000.000 - 09 5. Doanh thu nghiep vy km ky chimg
khoan 21.2 4.725.117.424 5.513.391.495 10 6. Doanh thu host Ong tu' An tai chfnh 21.2 35.129.783.257 382.600.000 11 7. Thu nhap hopt Ong khac 21.2 6.528.376.185 7.689.234.164
20 Cong doanh thu hot Ong 376.268.667.147 291.608.771.953
U. CHI PHI HOAT DQNG
21 1. L6 VI, cac tai san tai chfnh ghi nhan thong qua la1/16 (FVTPL) 1.048.100 1.472.404
21.1 1.1 L6 ban cab tai san tai chinh FVTPL 328.949
21.2 1.2 Chenh lOch Om danh Iai cac tai sail tai chInh FVTPL 1.048.100 1.143.455
24 2. Chi phf lai vay, 16 tu, cac khaki cho vay va phai thu 22 22.845.712.903 28.404.218.833
27 3. Chi phi nghiep vy mOi giOi chiPng khoan 23 114.342.058.319 84.727.505,985
30 4. Chi phi nghiep vy lu,u ky chiPng khoan 7.822.999.682 6.558.639.783
31 5. Chi phi host Ong tu' van tai chfnh 7.539.007.082 9.314.927.574
40 COng chi phi host Ong 152.550.826.086 129.006.764.579
III. DOANH THU HOAT BONG TAI CHINH
41 1. Chenh lech lei ty gia h6i doai (15 va chu'a thcrc hien 106.684.454 53.509.170
42 2. Doanh thu, dy' thu co ti:Pc, lei ti6n gt:pi khOng co Binh 2.403.934.333 3.007.066.175
50 Ct)ng doanh thu host di:mg tai chinh 24 2.510.618.787 3.060.575.345
10
Ngu'&i kiem scat: NguOi pher O duyet:
Mayb
an
k Kim
Eng
Secu
rities Limite
d
Cong ty Trach nhiem HO'U han MOt thanh vien Chiang khoan Maybank Kim Eng
BAO CAO KET QUA HOAT BONG (tiep theo)
B02-CTCK cho nam tai chinh ket thCic ngay 31 thang 12 nam 2020
Ma s6 CHI TIEU
Thuy4 t minh
Nam nay VND
Nam trvac VND
IV. CHI PHI TAI CHINH
51 1. Chenh loch 16 tjt gia hoi doai de va chua thvc hien 29.850.620 28.770.123
60 Cc)ng chi phi tai chinh 29.850.620 28.770.123
62 VI. CHI PHI QUANn% DOANH NGHIp3 25 94.813.923.942 80.131.098.615
70 VII. KET QUA HOAT DONG 131.384.685.286 85.502.713.981
VIII.THU NHAP KHAC VA CHI PHI KHAC
71 1. Thu nhep khac 50.000.000 502.490.909 72 2. Chi phi khac 7.866.668 1.719,666
80 C6ng ke't qua hot Ong khac 42.133.332 500.771.243
90 IX. TONG Lol NHUAN Ke TOAN TRU'O'C THUE 131.426.818.618 86.003.485.224
91 1. Lgi nhuen d'ã thvc hien 131.425.434.036 85.979.434.854 92 2. Lgi nhuen chu'a thu'c hien 1.384.582 24.050.370
100 X. CHI PHI THUE THU NHAP DOANH NGHIP (TNDN) 26 26.518.173.948 17.274.541.507
100.1 1. Chi phi thue TNDN hien hanh 26.447.986.834 17.033.696.487 , 100.2 2. Chi phi thue TNDN hoan lai 70.187.114 240.845.020
200 XI. LQ'l NHUAN Kt TOAN SAU THUE TNDN 104.908.644.670 68.728.943.717
400 T6ng thu nhap Wan din 104.908.644.670 68.728.943.717
Ngveilep:
Nguyen Thi Minh Hong Tran Thi Ngoc Huang TO Qu6c Tun
Fm Thien Quang Ke toan vien Ke town Trudeng
Giam aóc Tai chinh TOng Giam d6c
Thanh pho H6 Chi Minh, Viet Nam
Ngay 9 thang 2 nam 2021
11
Maybank Kim
Eng Securities Limited
COng ty Trach nhiem HCpu MOt thanh \den Cht:mg khoan Maybank Kim Eng
BAo CAO LU'U CHUYEN TIEN -re
BO3b-CTCK cho nam tai chInh ket th0c ngay 31 thang 12 nam 2020
Ma s6 CHI TIEU
Thuyet mirth
Nam nay VND
Nam boor VND
I. WU CHUYEN TIEN TO' HOAT DQNG KINH DOANH
01 1. Lqi nhuOn trwo,c thue TNDN 131.426.818.618 86.003.485.224
02 2. Dieu chinh cho cac khoan: (7.886.746.694) 10.874.936.989 03 - Khau hautai sari c6 dinh 9,10 6.219.218.197 6.270.583.748 04 - Cac khoan du, phOng (139.812,500) (410.187.500) 07 - Lai tO, hoat Ong dau Le (21.638.639.173) (7.247.673.897) 08 - Du, thu tien lai (15.263.038.621) (16.018.114.439) 09 - Cac khoan dieu chinh khac 22.935.525.403 28.280.329.077
10 3. Tang cac chi phi phi ti6n te (1.048.100) (1.143.455) 11 L6 danh gialai gia tri can tai san tai
chlnh ghi nhan theng qua l'ai/lb FVTPL (1.048.100) (1.143.455)
18 4. Giam cac doanh thu phi ti6nt-e 1.104.123 1.720.055 19 Lai danh gia lai gia tri cac tai sar-
tai chfnh ghi nhan th6ng qua lai/16 FVTPL 1.104.123 1.720.055
30 5. L6 tiv hoat dOng kinh doanh trutoc thay dal von lull dOng (338.275.192.192) (518.768.373.397)
31 Tang tai_san tai chinh ghi nhan thong qua lailO FVTPL (454.043) (3.292.610)
33 Tang cac khoan cho vay (310.823.458.213) (470.973.511.710) 36 Giam phai thu va dcr thu
c6 toc, ti6n lai cac tai san tai chfnh 16.017.596.939 12.181.194.880 37 (Tang)/giam cac khoan phai thu,dich
Vcicong ty of-It:mg khoan cung cap (27.152.984.595) 1.083.892.422 39 Giam/(tang) cac khoan phai thu khac 805.875.862 (904.653.323) 40 Giam/(tang) cac tai san khac 73.452.750 (10.102.931.060) 41 Tang chi phi phai tra (khOng bao
g6m chi phflai vay) 1.956.607.029 248.304.334 42 Gam chi phi tra tare.ec 1.094.963.000 1.450.759.456 43 Thue thu nhap doanh nghiap da n6p 16 (17.641.679.998) (15.565.198.639) 44 La'i vay da tra (22.787.942.922) (28.314.406.333) 45 Tang ph5i tra ngutl ban 4.230.460.208 2.136.866.978 46 (Giam)/tang cac khoan trich nOp
phOcigi nh5n vien (316.210.932) 316.210.932 47 Tang/(giam) thue va cac khoan phai
n6p nha nu,O'c (khOng bac Om thue TNDN (la n6p) 7.722.482.204 (364.385.089)
48 Tang/(giam) phai tra ngu'ol laocl6ng 8.615.452.024 (10.026.580.437) 50 (Giarn)8ang phai tra, phai n0p khac (69.351.505) 69.356.802
60 Tien than siv Ong vao hoat Ong kinh doanh (214.735.064.245) (421.889.374.584)
12
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiOm u hn Mt thanh vien Chang khoan Maybank Kim Eng
BAO CAO LU'U CHUYEN TIEN TE (tiep theo)
B03b-CTCK cho narn tai chit-1h ket thOc ngay 31 thang 12 nam 2020
Ma so CHI TIEU
Thuyet minh
Nam nay VND
Nam truck VND
II. LU'U CHUYEN TIEN TO' HOAT ONG cAu TIP
61 Tien chi de mua sam, xay dumg tai san co dinh (1.465.106.332) (9.919.941.045)
62 Tien thu 'Kr thanh Iy, nhugng ban tai san co dinh, bat dOng san dau tu' va cac tai san khac - 2.490.909
65 Tien thu ye co tirc va loi nhuan duvc chia tCr cac khoan dau tu' tai chinh dai han 21.638.639.173 7.245.182.988
70 Tien thuan tCP/(s6, dyng vao) host Ong diu tu' 20.173.532.841 (2.672.267.148)
III. LU'U CHUYEN TIEN Ti? HOT DONG TAI CHiNH
73 Tien vay g6c 14 5.325.617.580.000 5.206.691.980.000 73.2 Tin vay khac 5.325.617.580.000 5.206.691.980.000 74 Tien chi tra rig g6c vay 14 (5.116.538.290.000) (4.932.745.180.000)
74.3 Tien chi tra no' g6c vay khac (5.116.538.290.000) (4.932.745.180.000)
80 Tin thuin tt), hot Ong tai chinh 209.079.290.000 273.946.800.000
90 TANG/(GIAM) TIEN THUAN TRONG NAM 14.517.758.596 (150.614.841.732)
101 TIEN VA CAC KHOAN TU'O'NG DU'O'NG TIEN DAu NAM 4 133.946.184.149 284.561.025.881
101.1 Tien 73.946.184.149 134.561.025.881 101.2 Cac khoan tang &rang tien 60.000.000.000 150.000.000.000
103 TIEN VA CAC KHOAN TUVNG DU'O'NG TIEN CUOI NAM 4 148.463.942.745 133.946.184.149
103.1 Tien 98.463.942.745 73.946.184.149 103.2 Cac khoan twang &yang Wen 50.000.000.000 60.000.000.000
13
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiem HO'u han M'Ot thanh vien Chthg khoan Maybank Kim Eng
BAo CAO LU'U CHUYEN TIEN TE (tiep theo)
B03b-CTCK cho nam tai chinh ket thOc ngay 31 thang 12 nam 2020
PHAN LU'U CHUYEN TIEN TE HOATDONG MOI GIO'I, UY THAC CUA KHACH HANG
Ma' so CHI TIEU
Thuyet minh
Nam nay VND
Nam tru'&c VND
I. Lu'u chuyen tien ho4t dOng mai gio'i, Ciy thac cua khach hang
01 1. Tien thu ban chi:mg khoan mei gi&i cho khach hang 27.922.636.909.402 18.552.001.572.129
02 2. Tien chi mua chirng khoan mei giel cho khach hang (26.874.528.187.353) (18.346.258.424.894)
07 3. Nhan tien gill de thanh toan giao dich chirng khoan cua khach hang 31.674.474.503.158 20.958.431.519.082
08 4. Chi tra thanh toan giao dich chOng khoan dm khach hang (32.049.727.749.463) (21.151.750.044.579)
11 5. Chi tra phi luu 4 chirng khoan cua khach hang (4.725.117.424) (5.513.391.495)
20 Tang Wen thuan trong Warn 668.130.358.320 6.911.230.243
30 II. Tien va cac khoan twang &Kong tien deu nam cua khach hang 20.6 256.563.119.621 249.651.889.378
31 Tien gCri ngan hang deu ky 256.563.119.621 249.651.889.378 32 1. Tien gCri cua nha deu tu, ye
giao dich chCrng khoan theo phirang thirc CTCK quan ly 131.333.951.021 187.321.346.078
33 2. Tien gCri tong hcyp giao dich chirng khoan cho khach hang 92.957.287.150 44.387.679.321
34 3. Tien gO'i bu trir va thanh toan giao dich chCrng khoan 32.271.881.450 17.942.863.979
40 III. Ti6n va cac khoan twang du'o'ng Hen cu6i nam cua khach hang 20.6 924.693.477.941 256.563.119.621
41 Tien gCri ngan hang oil& ky 924.693.477.941 256.563.119.621 42 1. Tien gCri cua nha clau to ye
giao dich ch0'ng khoan theo phtrang thCpc CTCK quail ly 433.128.339.491 131.333.951.021
43 2. Tien gO'i tong two giao dich chirng khoan cho khach hang 215.916.499.562 92.957.287.150
44 3. Tien gCri b0 trtr va thanh toan giao dich chirng khoan 275.648.63 32.271.881.450
ONO C11
POT Ti
i'llAYOANK Kira ENE
NguiCeidap:
Nguai kiem soat:
guyen Thi Minh Wing Tian Thi Ngcc Huang TO Quec Tuan Ke toan vien KC toan Trireyng Giam doe Tai chInh
Thanh ph6 He Chi Minh, Viet Nam
Ngay 9 thang 2 nam 2021
(lien Quang Tong Giarn dOc
14
CoNa - r te CH titittM
OT THAW. @ CkING KtiOAN
MAYBANK Kim ENG
duyet:
44.1044,..
/hien Quang Tong Gam Mc
Cong ty Trach nhiem hiCtu han MOt thanh vien Chiang khoan Maybank Kim Eng
BAO CAO TINH HINH BIEN HONG VON CHU SO' HU'U
B04-CTC K cho nam tai chinh k6t th6c ngay 31 thang 12 nam 2020
CHI TI ELI
So clau nam S6 tang/(gi4rn) S6 cu6i flan)
Ngay 01/01/2019 VND
Ngay 01/01/2020 VND
Mary limn Nam nay
Ngay 31/12/2019 VND
Ngay 31/12/2020 VND
Tang VND
Gia m VND
Tang VND
Glen) VND
A 1 2 3 4 6 7
1. BIEN HONG VON CHO SO' Fall
1. Von du by dia chil so, hCpu 1.056.110.000.000 1.056.110.000.000 - - - - 1.056.110.000.000 1.056.110.000.000 - V6n phap clInh 250.000.000.000 250.000.000.000 - - - - 250.000.000.000 250.000.000.000 - V6n b6 sung 806.110.000.000 806.110.000.000 - - - - 806.110.000.000 806.110.000.000
2. Quy" city tril, b6 sung von drou le 11.515.579.503 14.952.026.685 3.436.447.182 - 5.245.432.233 - 14.952.026.685 20.197.458.918
3. QuSt* city phong tai chinh va rut ro nghi4 vu 11.515.579.499 14.952.026.685 3.436.447.186 5.245.432.234 14.952.026.685 20.197.458.919
4. Lai nht4n chu'a phan ph6i 179.936.819.251 241.792.868.600 68.728.943.717 (6.872.894.368) 104.908.644.670 (10.490.864.467) 241.792.868.600 336.210.648.803 - Lai nhuan sau
thu6 cla thtrc hi6n 179.852.534.485 241.768.818.230 68.704.893.347 (6.788.609.602) 104.907.260.088 (10.466.814.097) 241.768.818.230 336.209.264.221
- 1_0 nhuan sau thu6 chin thtic hiOn 84.284.766 24.050.370 24.050.370 (84.284.766) 1.384.582 (24.050.370) 24.050.370 1.384.582
TONG CONG 1.259.077.978.253 1.327.806.921.970 75.601.838.085 (6.872.894.368) 115.399.509.137 (10;4904,.164,4gk 1.327.806.921.970 1.432.715.566.640
N i lap: Ngifol kiem scat: NgLyeei phe duyet:
L C
Nguyen Thi Minh HOng Tran Thi Ngoc Huang TO QUOc Tuan Ka town vien Ke toan Trif&ng Giam cl6c Tai chinh
Thanh pho He) Chi Minh, Viet Nam
Ngay 9 thang 2 nam 2021
15
V.A.N. Asa •••..4 paptun sa.g.un..7as 5ug tu.oppeqXeN
Maybank K
im Eng S
ecurities Lim
ited
Cong ty Trach nhiOm FICru Ilan Met thanh vien Chivng khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINN
1309-CTCK tai ngay 31 thang 12 narn 2020 va cho nam tai chfnh ket th0c ciing ngay
I. THONG TIN DOANH
COng ty Trach nhiem han Met thanh vien Chi:rng khoan Maybank Kim Eng ("Cong ty") duvc thanh lap theo Giey phep Thanh lap va Hot (long sO 117/GP-UBCK ngay 3 thang 1 nam 2014 va gia'y phep ciiau chinh so 30/GPDC-UBCK ngay 17 thang 4 narn 2018, thay the Giac y phep Thanh lap va Hoat Ong so 71/UBCK-GP ngay 14 thang 12 narn 2007.
COng ty c6 tru chinh dat tai tang 4A - 15 + 16, tea nha Vincom Center Deng Kho,i, sO 72 Le Thanh Ton, PhuOng Ben Nghe, Qu'an 1, Thanh ph6 HO Chi Minh, cac chi nhanh tai Thanh phe He Chi Minh, HO Nei va cac tinh thanh khac.
SO luong nhan vien cUa COng ty vao ngay 31 thang 12 nam 2020 la 177 ngu,61 (31 thang 12 nam 2019: 172 nguti).
Nhirng c diem chinh ve hoot Ong cua Cong ty
Quy mo von
Tai ngay 31 thang 12 nam 2020, tong von dieu le cila COng ty la 1.056.110.000.000 VND va tong tai san la 2.347.081.261.571 VND.
M(IC tiou tu'
COng ty hot Ong vti muc tieu chung cung cep cac dich vu chuyen nghiep tao ra gia tri cho khach hang Ceng ty nei rieng va cua Tap doan n6i chung, hen den vi tri dan dau trong t6t ca cac hoat Ong kinh doanh, xay du,ng ngu6n lu,c thOng minh va hieu qua, tai da hea nhuan cho COng ty.
Han che creu
Gong ty tuan thu guy clinh tai Dieu 44, ThOng tu so 210/2012/TT-BTC ngay 30 thang 11 nam 2012 huitng (Ian ye thanh lap va hoat deng c6ng ty chi:rng khoan va Theng tu, s6 07/2016/TT-BTC agay 18 thang 1 nam 2016 sCra dei be sung met so dieu cUa ThOng tu, s6 210/2012/TT-BTC.
2. CO' se' TRiNH BAY
2.1 Chuo'n ITIVC va Che toan Op dung
Bac cao tai,chinh.c6a COng ty &roc trinh bay bang clang Viet Nam ("deng" hoa'c "VND") phu hop v61 Che ke toan Doanh nghiep Viet Nam, cac guy dinh va hutng dan ke toan ap dung cho cOng ty chang khoan duvc guy dinh tai ThOng tu, s6 210/2014/TT-BTC ngay 30 thang 12 nam 2014 cua Be Tai chinh, Th6ng tu' sO 334/2016/TT-BTC ngay 27 thang 12 nam 2016 dia Be Tai chfnh sCra del, be sung va thay the Phu lug 02 va 04 cua Theng tu, so 210/2014/TT-BTC, Th6ng tu, so 146/2014/TT-BTC ngay 6 thang 10 nam 2014 huVng dan che de tai chinh del vo'i cOng ty chang khoan, cOng ty guan gu9 va cac Chuan rnyc Ke toan Viet Nam khac do Be Tai chinh ban hanh theo:
Quyet dinh so 149/2001/QD-BTC ngay 31 thang 12 n'am 2001 ye viec ban hanh ben Chuan muc Ke toan Viet Nam (Dot 1);
• Quyet dinh so 165/2002/(lD-BTC ngay 31 thang 12 nam 2002 ye viec ban hanh sau Chuan mci,c Ke toan Viet Nam (Dot 2);
• Quyet clinh so 234/2003/QD-BTC ngay 30 thang 12 nam 2003 ye viec ban hanh sau Chuan mu,c Ke toan Viet Nam poot 3);
• Quyet dinh s6 12/2005/QD-BTC ngay 15 thang 2 narn 2005 ye viec ban hanh sau Chuan hive KO toan Viet Nam (Dgt 4); va
I> Quyet dinh sO 100/2005/QD-BTC ngay 28 thang 12 nam 2005 ye vioc ban hanh ben Chuan muc Ke toan Viet Nam (Dot 5).
16
Maybank Kim
Eng Securities Limited
COng ty Trach nhiOm HOu han MOt thanh vier) Chang khaki Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep thee) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thuc cling ngay
2. CO' So' TRiNH BAY (tiep theo)
2.1 Chun M1,FC va Ch6 d() ke toan ap dyng (tiep theo)
Theo c16, bao cao tai chinh duvc trinh bay kern theo va viec six dung cac bao cao nay khOng danh cho cac el& kro'ng khOng duvc cung cep cac thong tin ye cac thu tyc va nguyen tac va th6ng le ke tan tai Viat Nam va han nCra khOng duvc chu djnh trinh bay tinh hinh tai chinh, ket qua hopt dang kinh doanh va Iu'u chuyen tien to theo cac nguyen tac va thong le ke tan duvc chap nhan (Ong rai a cac nuVc va lanh thO khac ngoai Viet Nam.
Cac khoan muc khong duvc trinh bay tren bao cao tai chinh nay theo ThOng so 334/2016/TT-BTC ngay 27 thang 12 nam 2016 va ThOng so 146/2014/TT-BTC ngay 6 thang 10 nam 2014 do BO Tai chinh ban hanh la cac khan myc khOng CO SO du'.
2.2 Minh thin s6 ke toan ap dyng
Hinh thin s6 ke toan ap dyng duvc clang ky cua COng ty 15 Nhat ky chung.
2.3 Kk ke fain nam
Ky ke tan nam cua COng ty bat du to ngay 1 thang 1 va ket th0c ngay 31 thang 12.
2.4 Dan vi tien to sCp dung trong kb` toan
Bac) cao tai chinh duvc lap bang don vi tien to sir dung trong ke tan cua Cong ty la VND.
3. TOM TAT CAC CHINH BACH KE TOAN CHO YEU
3.1 Thay doi trong Minh sach ire toan va thuyet minh
Cac chinh each ke toan cua COng ty six dyng de lap bao cao tai chinh duvc ap dung nhat quan vOi cac chinh sach da duvc six dung de lap bao cao tai chinh cho nam tai chinh ket thilc ngay 31 thang 12 nam 2019.
3.2 Tihn va cac khoan Wang cluang tien
Tien va cac khan twang du'ong tien bao gem tien mat tai qu9, tien girl ngan hang cua cong ty chung khoan, cac khoan du ttY ngan han co thOi han thu h6i khOng qua ba thang ke to' ngay mua, co tint) thanh khan cao, co kha nang chuyen dOi de dang thanh cac luvng tien xac djnh va khOng co nhieu raj ro trong chuyen dOi thanh tien.
Tien giri cua nha cleu tu' ye giao djch chirng khoan va tien cua to chirc phat hanh duvc phan anh tai cac chi tieu ngoai bao cao tInh hlnh tai chinh.
17
Mayb
an
k Kim
Eng
Secu
rities Limite
d
Cong ty Trach nhiOm friCru han Mot thanh vien Chiang khaki Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINN theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tat chinh kat thCic clung ngay
3. TOM TAT CAC CHINH SACH Kt TOAN CHU YEU (flap theo)
3.3 Tai san tai chinh ghi nhan thOng qua la7/16 (FVTPL)
Cac tai san tai chinh FVTPL la tai san tai chfnh thea man mot trong cac dteu kien sau:
a) Tai san tai chinh divot phan !cal vao nhOm nam giCy de kinh doanh. Tai san tai chinh duvc phan loci vao nhOm chVng khoan nam giO, de kinh doanh, neu:
Duct mua hoac tao ra chu yeu cho muc dich ban laitrnua la' trong thgi gian ngen;
Co bang chtlYng ye viec kinh doanh cong cu do nham muc dich thu Igi ngen han; hoac
Cong cu tai chinh phai sinh (ngoai trix cac cong cu tai chfnh phai sinh duvc xac dinh la mot hap clang bao lanh tai chfnh hoac met cong cu phOng ngt:ya 101 ro hieu qua).
b) Tai thOi diem ghi nhan ban dau, cac tai san tai chinh xac dinh se duvc trinh bay hgp ly han neu phan Ica' vao tai san tai chinh FVTPL vi met trong cac ly do sau day:
Viec phan loci vao tai san tai chinh FVTPL loaf fru, hoac lam giam clang ke su, khOng thong nhat trong ghi nhan hoac xac dinh gia tri tai san tai chinh theo cac co' so' khac nhau; hoac
Tai san tai chinh thuec met nhOm cac tai sari tai chinh duvc quart ly va ket qua quan ly duvc danh gia dva tren ca sO' gia tri hcyp ly dOng th6,i phO hgp v&i chfnh sach quan ly rui ro hoac chien lutt dau tu, cua Cony ty.
Cac tai sari tai chinh FVTPL duct ghi nhan ban dau theo gia g6c (gia mua cua tai san khOng bao gen chi phi giao dich phat sinh trvc tiep tix viec mua cac tai san tai chinh nay) va &Tic tiep tuc ghi nhan sau ghi nhan ban dau theo gia tri hgp 19.
Khoan chenh lech tang do danh gia tai tai san tai chfnh FVTPL theo gia tri hop ly so v&i ky tru,gc duvc ghi nhan vao bao cao ket qua hoat ciOng tren khoan mix "Chenh lech tang ye danh gia tai cac tai san tai chinh FVTPL". Khoan chenh lech giam do danh gia Jai tai san tai chinh FVTPL thee gia tri hap ly so vgi ky truegc duvc ghi nhan vac) bao cao ket qua host Ong tren khoan rnuc "Chenh tech giam ye danh gia tai cac tai san tai chinh FVTPL".
Chi phi mua cac tai san tai chinh FVTPL duvc ghi nhan vao chi phi giao dich mua cac tai san tai chinh 008 bao cao ket qua hoat Ong ngay khi phat sinh.
3.4 Cac khoan cho vay
Cac khoan cho vay 1a cac tai san tai chinh phi phai sinh co cac khoan thanh toan co dinh hoac CO the xac dinh va khOng duvc niem yet tren thi truteng hoan hao, ngopi trCy:
a) Cac khoan ma COng ty coy COdinh ban ngay hoac se ban trong twang lai gen duvc phan Ica' la tai san nam gra, vi muc dich kinh doanh, va cong nhu, cac loci ma tai thol diem ghi nhan ban dau duvc COng ty xep vao nhOm ghi nhan theo gia tri hgp ly thOng qua bao cao kat qua heat Ong;
b) Cac khoan clugc COng ty xep vao nhOm san sang de ban tai thO'i diem ghi nhan ban dau; hoac
c) Cac khoan ma ngutei nam,giO, co the khong thu hOi dugc phan gia tri dau to ban dau, khOng phai do suy Om chat luting tin dung, va duvc phan teal vao nhOm san sang de ban.
Cac khoan cho vay dugc ghi nhan ban dau theo gia goc. Sau ghi nhan ban dau, cac khoan cho vay duvc ghi nhan theo gia tri phan be sir dung phuteng chap 1a1 suet thvc.
Gia tri phan be cua cac khoan cho vay duvc xac dinh bang gia tri ghi nhan ban dau cua tai san tai chfnh ft-Cy di cac khoan hoan tra 960 cong hoop tru, cac khoan phan PO lay ke tfrth theo phvang phap 101 suet thvc cua phan chenh lech gi'Va gia tri ghi nhan ban dau va gia tri dao han, tri.Y di cac khoan giam trt:Y phang do suy giam gia tri hoac do khOng the thu Wei (neu 06).
18
Maybank Kim
Eng Securities Limited
COng ty Trach nhiem HD' u han MOt thanh vien Chung khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINN (tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thOc cOng ngay
3. TOM TAT CAC CHiNH SACH Kt TOAN CHCJ YEU (tiep theo)
3.4 Cac khoan cho vay (tiep theo)
Dv phOng cho cac khoan cho vay &roc trich lap dva tren thlii gian qua hpn cua cac khoan cho vay theo quy Binh tai Thong tly so 48/2019/TT-BTC nhu' da trinh bay O' Thuyet minh 3.8 hoac civa tren civ phong u,lic tinh tir viec khOng chac than ye kha nang thu hOi cua nhOmg khoan cho vay do.
3.5 Gia tri hap ly/gia tri thi trtFeyng cua tai san tai chinh
Gia tri thi truling/hop ly cua chirng khoan duvc xac Binh theo cac co so' sau:
• Gia tri thi tru'ling cua chCrng khoan niem yet tren So' Giao dich ChCmg khoan Ha NOi va SO Giao dich ChCrng khoan Thanh ph6 HO Chi Minh la gia &mg cua tai ngay gan nhat co giao dich tlnh den ngay danh gia gia tri chung khoan.
D61 vlii cac chirng khoan cua cac cOng ty chu'a niem yet tren thi tru'O'ng chCmg khoan nhu'ng da clang ky giao dich tren thi tru,ling giao dich cua cac c6ng ty dai chung chu'a niem yet (UPCoM) thi gia tri thi trvling cliroc xac dinh la gia clOng cira binh quan tai Nay gan nhat co giao dich tinh den ngay dart gia gia tri chirng khoan.
Doi vo'i chung khoan niem yet bi huy hoac bi dinh chi giao dich hoac bi ngumg giao dich ke to ngay giao dich thCr sau trli di, gia chivng khoan that to is gia tri sO sach tai ngay lap Bao cao tinh hinh tai chinh gan nhat.
• to6ivlii chOmg khoan chu'a niem yet va chva clang ky giao dich tren thi truling giao dich cua cac cOng ty (Jai chung chu'a niem yet (UPCoM) thi gia chung khoan thvc to tren thi trubmg gia trung binh cua cac mCrc gia giao dich thvc to theo bao gia cua ba (03) tong ty chung khoan CO giao dich tai th&i diem gan nhat vlii thlii diem danh gia gia tri chCmg khoan.
Cho muc dich lap du' phOng giam gia chung khoan, gia thi tru'o'ng cilia chung khoan &roc xac dinh theo quy dinh cua Thong tu' so 146/2014/TT-BTC va ThOng tu' 48/2019/TT-BTC.
Cac chCeng khoan khOng co gia tham khao 'Kr cac nguOn tren se cluoc danh gia gia tri hop ly dya tren viac xem xet tinh hinh tai chinh va gia tri sO sach cua to chCrc phat hanh tai ngay danh gia gia tri chCvng khoan.
3.6 No.spng ghi nhOn tai san tai chinh
Tai san tai chEnh (hoac mOt phan cua mOt nhOm tai san tai chinh Wong tax) &roc ngCmg ghi nhan khi:
• COng ty khong con quyen thu tien phat sinh tix cac tai san tai chinh; hoac
▪ COng ty chuyen giao quyOn thu tien phat sinh tir tai san tai chinh hoac clong thlii phat sinh nghia vu thanh toan gen nhu' lap tiro toan b0 sO tien thu duvc cho ben thir ba thong qua hop dong chuyen giao; va:
Cong ty chuyen giao phan Ian rui ro va Ich gan v6i tai san; hoac
COng ty khOng chuyen giao hay giCr lai toan bO rui ro va loi ich gam vlii tai san dO nhu'ng dä chuyen giao quyen kiem soat tai san.
Khi Cong ty chuyen giao quyen thu tien phat sinh to tai san hoac da ky hop clang chuyen giao vOl ben thCr ba nhu'ng van chu'a chuyen giao phan Ilin moi rui ro va lai Ich gan lien vlii tai san hoac chu'a chuyen giao quyen kiem soat dOi vol tai san, tai san yen cluvc ghi nhan la tai san cua COng ty. Trong tripling hop do, COng ty tong ghi nhan mOt khoan no phai tra tvong Crng. Tai san duvc chuyen giao va no phai tra twang Crng &roc ghi nhan tren co' so' phan anh quyen va nghia vu ma COng ty giCr Ipi. Trvling hop khoan no ghi nhan co hinh thCrc bao (anti cac tai san chuyen nhuvng ghi nhan theo gia tri nho han giCva gia tri ghi sO ban dau cua tai san va sO tien tOi da ma COng ty duvc yeu cau phai thanh toan.
19
Maybank K
im Eng S
ecurities Lim
ited
Cong ty Trach nhiem HCru han MOt thanh vien Chung khoan Maybank Kim Eng
THUYT MINH BAO CAO TAI CHINH (tiep theo) 809-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh kat thac cling ngay
3. TOM TAT CAC CHINH SACH Kt TOAN CHU YEU Nap theo)
31 Phan loci 101 tai san tai chinh
Phan Iopi bpi khi ban tai san tai chinh khOng thuOc nhOm FVTPL
COng ty chuing khoan khi ban cac tai san tai chinh khOng thuec lopi tai san tai chinh FVTPL phai thyv hien phan loai lei cac tai san tai chinh tu, cac loaf tai san khac co lien quan ye tai san tai chinh FVTPL. Cac chenh lech danh gia lei tai san tai chinh AFS hien clang theo d6i tren khoan myc "Chenh tech danh gia tai san theo gia tri hop ly" se duvc ghi nhen vao tai khoan doanh thu hoac chi phi twang tYng tai ngay phan foal lei cac tai san tai chinh AFS khi ban.
Phan /op/ Ipi do thay doi dv dinh hoec kha nang nam giir
COng ty 0N:frig khoan cluvc phan loci lei cac tai san tai chinh vao nhOm tai san tai chinh khac phi] hop do thay clei dyr dinh hoac kha nang nam glO', theo clO:
Tai san tai chinh FVTPL phi phai sinh va khOng bi yeu ceu phan loci vao nhOm tai san tai chinh FVTPL vao 10c ghi nhen ban day CO the cluvc phan loci Ipi vao nhOm cho vay va phai thu trong met so trugng hop dac biet hoac vao nhOm tien va trang &rang tien neu th6a man cac they kien duvc phan loci vao nhOm nay. Cac khoan 101, 10 da ghi nhen do danh gia lai tai san tai chinh FVTPL truck that diem phan Joel lai se khong duvc hoan nhap.
13, Neu do thay clei thy Binh hoac kha nang nam gi0,, viec phan loaf met khoan day tu' vao nhOm /lam giO, den khi ciao flan khOng con phV hop thi khoan dau tu' dO phai duvc chuyen sang nhOm tai san tai chinh AFS va phai dinh gia Ipi theo gia tri hop ly. Chenh lech giCra gia tri ghi 56 va gia tri hop ly se duoc ghi nhen vac) Khaki myc "Chenh tech danh gia tai san theo gia tri hgp ly" thuec Von chta se' hOu.
3.8 Cac khoan phai thu
Cac khoan phai thu duvc ghi nhen ban day theo gia g6c ve hien clugc phan anh theo gia g6c trong th61 gian tiep theo.
Cac khoan phai thu duvc xem xet trich lap dy, phong rut ro theo tu6i no qua han cua khoan no hoac theo ton that thy kien co the xay ra trong trugng hop khoan no chu,a den hpn thanh toan nhu'ng to ch0,c kinh to lam vao tinh tang pha san hoac clang lam th0 tyc giai the; ngu,gi ncy met tich, be tron, Bang bi cac ca quan phap luet truy to, giam gi0,, >cat x6,, clang thi hanh an hoac cla chat.
Chi phi thy phOng phat sinh &ego hach toan vao bao cao ket qua haat Ong tre'n khoan myc "Chi phi dv phOng tai san tai chinh, th1ji ton that cac khoan phai thu kh6 dOi ye 1(3 suy giam tai san tai chinh va chi phi di vay cua cac khoan cho vay" trong nam.
MlYc trich lap thy phong clOi vei cac khoan no phai thu qua han thanh toan theo hireng den cua ThOng tu' so 48/2019/TT-BTC nhly sau:
ThOi gian qua han Mire trich dtr phOng
TO, trail sau (6) thang den du,c51 met (1) nam 30% TV, met (1) nam den cltygi hai (2) nam 50% TO, hai (2) nam den ducYi ba (3) nam 70%
TO' ba (3) nam tre len 100%
20
Mayb
an
k Kim
Eng
Secu
rities Limite
d
Cong ty Trach nhiOm HCru han MOt thanh vier) ChCmg khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo)
B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chlnh ket thOc cung ngay
3. TOM TAT CAC CHINH SACH Kt TOAN CHO YeU (tiep theo)
3.9 Tai san c6 Binh
Tai san ce dinh duvc the hien theo nguyen gia tri:r di gia tri khau hao lOy ke. Nguyen gia tai san c6 dinh bao gem gia mua va nhimg chi phi c6 lien quan trvc trep den viec du'a tai san vao hat Ong nhu' du' kien.
Cac chi phi mua sem, nang cep va del mei tai san c6 dinh duvc ghi tang nguyen gia cua tai san. Cac chi phi bao tri, si.fa craa duvc hach toan vao bao cao ket qua hoat Ong khi phat sinh.
Khi tai san c6 dinh dirgc ban hay thanh ly, cac khoan lai hoac 16 phat sinh do thanh ly tai san c6 dinh (la phan chenh lech giCra giva tien thu thuan tix viec ban tai san vd'i gia tri con lai cua tai san) cluicyc hach toan vao bao cao ket qua hoat Ong.
3.10 Khau hao va hao mon
Kheu hao va hao mon tai san c6 dinh hCru hinh va tat san c6 dinh v6 hinh duvc trich theo phutng phap khau hao dutmg thang trong suet thO'i gian h0,u dung utc tinh cua cac tat san nhu' sau:
May mec thiet bi Phutng tien van tai Tat san c6 dinh hCru hinh khac Phan mem tin hoc
3.11 Thud tai san
5 nam 6 nam 5 nam 5 nam
Viec xac dinh met thoa thugn CO phai la thoa thuan thue tai san hay khOng dy,a tren ban chat cua them thuan do vao thol diem,kh61 dgu: lieu viec thyc hien thoa thuan nay c6 phy thuec vao viec st:r dung met tat san nhat dinh va thoa thuan c6 bao gem (lieu khan ye quyen six dung tai san hay khOng.
Cac khan tien thue theo hgp clang thue hoat Ong duvc hach toan vao bao cao ket qua hoat deng theo phutng phap duOng thang di.ya theo thoi han cua hap dung thue.
3.12 Chi phi tra &troy
Chi phi tra tru'O'c bao gem cac chi phf tra trot t ngen han hoac chi phi tra tru'&c dat han tren bao cao tinh hinh tai chinh va duvc phan be trong khoang theyi gian tra trutc cua chi phi tu,ang Crng v61 cao lai ich kinh to duvc tao ra tir cac chi phi nay.
Cac 'al chi phi sau day duvc hach toan vao chi phi tra trutc de phan be den tO, met (1) den ba meal sau (36) thang vao bao cao ket qua hoat Ong:
I> Chi phi cai tao van phOng;
0,- Chi phi thue van phOng; va
I , Chi phi vat dung van phOng.
3.13 Cac khoan vay
Cac khan vay duvc dugc cong be va trinh bay theo se dir gec tai thti diem ket thuc ky ke toan.
3.14 Cac khoan phai tra va chi phi trich truerc
Cac khan phai tra va chi phi trich trutc duvc ghi nhgn cho se tien phai tra trong twang lai lien quan den hang h6a va dich vu da nhan dircec khOng phy thuec vao viec Cling ty da nhen dugc hOa don cua nha cung cep hay chlya.
21
Mayb
an
k Kim
Eng
Secu
rities Limite
d
Cong ty Trach nhiOm HCru han Mt thanh vien Chiang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINN (tiep theo) B09-CTCK tai ngay 31 thong 12 nam 2020 va cho nam tai chinh ket th0c cOng ngay
3. TOM TAT CAC CH1NH SACH KE TOAN CHU YEU (tiep theo)
3.15 Lcyi ich cua nhan vien
3.15.1 Trg cap nghi huv
Nhan vien COng ty khi nghi hu,u sO dc nhan tra cep ye hu'u ttY Bo hiem X5 hei thuec Be Lao Ong va Thu,ang binh Xa hei. COng ty clang gOp vao tra cep hu'u tri nay bang viec clOng bao hiem xã hei cho m6i nhan vien bang 17,5% lu,ang co ban hang thang, phy cep lung ye cac khoan PO sung khac. Ngoai ra, COng ty khong phai CO met nghia vçi nao khac ye tra cep nghi hu'u cCia nhan vien, ngobi nghia vçi dOng tien cho Bao hiem Xa hei hang thang.
3,15.2 Bao hiem thgt nghiOp
Theo quy dinh hien hanh, C6ng ty CO nghia vcidong bac hiem that nghiep vai mirc bang 1% quj, tien luvng, tien cOng clang bac hiem that nghiep cOa nhumg nguti tham gia bac hiem that nghiep va trich 1% tien lu'ong, tien ceng thong slang bao hiem that nghiep cua bang ngu,gi lao Ong de dOng cOng iCic vao Quct Bo hiem That nghiep.
3.16 Cac nghlOp vi bang ngoai
Cac nghiep vu phat sinh bang cac don vi tien to khac vai don vi tier' te ke ban cua COng ty (VND) duvc hach toan theo tci gia giao dich cua ngan hang thu,ang mai tai ngay phat sinh nghiep vçi. Tai ngay ket thOc nam tai chinh, cac khoan muc tien t co gOc ngoai to duvc danh gia lai nhu' sau:
Cac khoan muc tai san dtygc danh gia lai sir dung LY gia mua ngoai to cua ngan hang thuang mai nai COng ty thing xuyen CO giao dich.
Cac khoan muc no, phai tra duvc danh 910 lai sir dung t;/ gia ban ngoai te cua ngan hang thiyang mai nai COng ty thu,ang xuyen co giao dich.
Tat Ca cac khoan chenh lech tji gia thkfc te phat sinh trong nam va chenh lech do danh gia lai sO du, tien te cO g6c ngoai t cuoi nam du,gc hach toan vao bac coo ket qua hopt Ong.
3.17 Ghi nhOn doanh thu
Doanh thu duvc ghi nhen khi COng ty co kha nang nhan duvc cac Igi ich kinh te CO the xac dinh du,oc met cach chac chan. Cac dieu kien ghi nhan Cu the sau day cOng phai cit.= dap Ong khi ghi nhan doanh thu:
Doanh thu hag dOng m6i gi&i chimg khoan
Khi cO the xac dinh duvc ket qua hop deng met cach chac chan, doanh thu se dc ghi nhen diya vao mCvc de hoan thanh‘cOng viec. Trong thyang hp khOng the xac dinh cluvc ket qua hap clang met cach chac chan, doanh thu se chi du,gc ghi nhan mCrc co the thu hei duroc cOa cac chi phi da &roc ghi nhan.
Thu nhap ter kinh doanh chO'ng khoan
Thu nhap kinh doanh chivng khoan duvc xac dinh dya ten mCFc chenh lech gia ban va gia yen binh quan cua chi:mg khoan.
Thu nhOp 10i
Doanh thu ghi nhan khi tien lai phat sinh tren ca so' den tich (CO tinh den lai tt"Pc ma tai san dem lai) trey khi kha nang thu hei tien lei khOng chac chan.
22
Maybank Kim
Eng Securities Limited
C6ng ty Trach nhiem FICfu han Mt thanh vien ChU'ng khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CH1NH (tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thiic cOng ngay
3, TOM TAT CAC CHINH SACH KE TOAN CHU YEU (tiep theo)
3.17 Ghi nhOn doanh thu (tiep theo)
C6 toy
Doanh thu duct ghi nhan khi quyen dc nhan khoan thanh toan ce tt:rc cua COng ty cluigc xac isp, ngoai trip c6 tCpc nhan bang Co phieu chi auto cap nhat va theo d6i sO luvng CO phieu nam giCr. ma khOng dutc ghi nhen la doanh thu.
Doanh thu cung cap dich \Ai khac
Khi CO the xac dinh duvc ket qua Op (long met cach chgc chart, doanh thu sé duigc ghi nhan cliya vao mirc de hoan thanh gang viec.
Neu khOng the xac dinh duvc ket qua hgp dung met cach chgc chgn, doanh thu sé chi clu'gc ghi nhan 6' mac CO the thu hei dutc cua cac chi phi da dutc ghi nhan.
Thu nhdp khac
Cac khoan thu nhap khac bao gem cac khoan thu tix cac hoat Ong xay ra khOng thu'&ng xuyen, ngoai cac hot Ong to ra doanh thu dugc ghi nhen la thu nhap khac theo quy dinh ti Chugn rrvc KO toan Viet Nam sO 14 - Doanh thu va thu nhap khac, gem: cac khoan thu ye thanh ly tai san co dinh, nhutng ban tai san cO dinh; thu tier) phat khach hang do vi ohm hap dOng; thu tien bao hiem ducyc boi thugng; thu cluvc cac khoan ng phai thu da x6a sO tfnh vao chi phi nam trutc; khaki ng phai tra nay met chu dirgc ghi tang thu nhap; thu cac khoan thug clutc giam, diyac hoan lai; va cac khoan thu khac.
3.18 Chiphldivay
Chi phi d vay bao gem Iài tien vay va cac chi phi khac phat sinh lien quan tnic tiep den cac khoan vay cua C6ng ty. Chi phi di vay clu,gc hach toan nhu' chi phi chat sinh trong nam ngoai trip cac khoan duvc vOn hda.
3.19 Thue thu nhOp doanh nghiep
Thud thu nhdp hidn hanh
Tai san thu e thu nhap va thug thu nhap phai np cho nam hien hanh va cac nam trut'c duvc xac dinh pang se tien kien phai np cho/hoc cluvc thu hoi tip co, quan thue, cluia tren cac mirc thu e suat va cac luat thug CO hieu lu,c den ngay ket thOc nam tai chinh.
Thue thu nhap hien hanh duvc ghi nhan vao bao cao ket qua hoat Ong ngoai trix trutng hp thug thu nhep phat sinh lien quan den met khoan muc duvc ghi thgrig vao von chO so'
trong trutng hp nay, thu e thu nhap hien hanh cOng du,gc ghi nhan tryc tiep vac von
COng ty chi cluvc bU trip cac tai san thug thu nhap hien hanh va thu e thu nhap hien hanh phai tra khi COng ty CO quyen hgp phap clutc bU trix giaa tai san thug thu nhap hien hank v61 thug thu nhap hien ,hanh phai nep va COng ty dy' dinh thanh toan thug thu nhap hien hanh phai tra va tai san thue thu nhap hien hanh tren ca thuan.
23
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiem HCFu hen Mi)t thanh vien Chung khoan Maybank Kim Eng
THUYET MINH BAO CAO TAICI-111\11-1(tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chit-1h ket thCic cung ngay
3. TOM TAT CAC CHINH SACH KE TOAN CHID YEU (tiep theo)
3.19 Thue thu nhap doanh nghlOp (tiep theo)
Thuo thu nhap hoar) tai
Thue thu nhap hoan tai duvc xac djnh cho cac khan chenh tech tam trial tai ngay ket thilc nam tai chinh giCra co, so' tinh thue thu nhap cua cac tai sari va no phai tra va gia trj ghi so cua chOng cho muc dfch lap bao cao tai chinh.
Thue thu nhap hoan Ipi phai tra &roc ghi nhan cho tat ce cac khan chenh tech tam thgi chju thue, ngoai thue thu nhap hoan lai phai tra phat sinh ghi nhan ban clau cua met tai san hay ng phai tra tO' mot giao djch ma giao dich nay khOng c6 anh htygng denlgi nhuan kd tan hat Igi nhuan tinh thue thu nhap (hat 16 tinh thue) tai thgi diem phat sinh giao djch.
Tai san thug thu nhap hoan lai can dirgc ghi nhan cho tat ca cac chenh tech tam thgi duvc khau trir, gia tri duvc khau trt'Y chuyen sang cac nam sau cua cac khan 10 tfnh thue va cac khoan thue china sir dung, khi chat chan trong ttycyng lai se co lgi nhuan tfnh thue de six dung nh&ng chenh tech tam th61 duvc khau trir, cac khanI6 tfnh thue va cac tru dai thue china six dung nay, ngoai trite tai san thue hoan lai phat sinh tir ghi nhan ban dau cua mot tai san hoac ng phai tra tir mat giao djch ma giao djch nay khong c6 anh hugng den Iai nhuan ke tan hoac Iai nhuan tinh thue thu nhap (hat 10 tfnh thue) tai that diem phat sinh giao djch.
Gia tri ghi so cue tai san thue thu nhap doanh nghiep hoan lai phai du'oc xem xet lai tai ngay ket thCic nam tai chinh va phai gram gia trj ghi so cue tai san thue thu nhap hoan lai den mirc bao dam chec chen c6 du Igi nhuan tinh thue cho phep Igi fch cua met phan hoac town bc)tai san thue thu nhap hoan lai duvc sir dyng. Cac tai san thue thu nhap doanh nghiep hoan Iai china ghi nhan trtygc day duoc xem xet lai tai ngay ket thOc nam tai chinh va &roc ghi nhan khi chat chen CO du 191 nhuan tinh thue de CO the sir dung cac tai san thue thu nhap hoan lai chtra ghi nhan nay.
Tai san thue thu nhap hoan lai va thue thu nhap hoan tai phai tra &roc xac djnh theo thue suet dui tinh se ap dyng cho nam tai chinh ma tai san diroc thu hbi hay ng phai tra cluvc thanh tan, du'a tren cac mt:rc thue suet va luat thue CO hieu Ivo tai ngay ket thOc nam ke town. Thue thu nhap hoan lai duvc ghi nhan vao bao cao ket qua hot dOng ngoai trir trtygng hop thue thu nhap phat sinh lien quan den mot khoan muc &roc ghi thang vao von chu so' h'Cru, trong trtygng hop nay, thud thu nhap hoan lai cung duvc ghi nhan try'c tiep vat) van chit
hiru.
Cong ty chi aroc 60 trO' cac tai san thue thu nhap hoan lai va thue thu nhap ho5n lai phai tra khi Cong ty co quyen hop phap duvc bu trO' giCra tai sari thue thu nhap hien hanh v61 thue thu nhap hien hanh phai nep va cac tai sari thue thu nhap ho5n lai va thue thu nhap hoan lai phai tra nay lien quan t&i thue thu nhap doanh nghiep duvc quart ljt 601 cung mot co' quan thue
1> dOi vai cung mot do'n vi chju thue; hoac
COng ty du, djnh thanh toan thue thu nhap hien hanh phai nop va tai san thue thu nhap hien hanh tren ca so' thuen hoac thu hot tat san dong thol vgi viec thanh town no phai tra trong tirrig ky ttyang at khi cac khan trong yeu cua thue thu nhap hoan Iai phai tra hat tai san thue thu nhap hoan lai duvc thanh town hoac thu h6i.
3.20 V6n chu so, hCpu
V6n gop cua ch0 hay
Von gap tie phat hanh co phieu duoc ghi vao tai khan von dieu le theo menh gia.
Log ninian chu'a phan ph6i
Lgi nhuan china phan ph6i bao gam loi nhuan da thy'c hien va china thcrc hien.
Lgi nhuan china thvc hien cilia ky ke town la sec) chenh tech giCra tong gia trj lei, 16 danh gia lai cua cac tat sari tai chinh ghi nhan thOng qua lai/16 hoac tai sari tai chinh khac tinh vao bao cao tat 16 dm bao cao ket qua hat dOng thuOc danh muc tai san tai chinh cua COng ty cht:rng khan va chenh lech tji gia hal dal.
24
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiOm HQ'u han MOt thanh vien OhCvng khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chfnh ket thuc clung ngay
3. TOM TAT CAC CHINH SACH Kt TOAN CHO YEU Nap theo)
3.20 V6n chit sey (tiep theo)
nhuanLori chu'a ph5n ph6i(tiep theo)
LC/i nhuan da thtyc hiOn cua ky ke toan la só chenh loch giCra tong doanh thu, thu nhap v6+1 tong cac khoan chi phf tinh vao bao cao ket qua hoat deng cua Cong ty ngoai cac khoan lai, 16 do danh gia lai tai san tai chfnh da duvc ghi nhan vaolginhuan chu'a thcrc hien.
Cac quy
COng ty sir dung iai nhuan sau thug hang nam de trich lap cac quy theo quy dinh tai Thong tip so 146/2014/TT-BTC do BO Tai chfnh ban hanh ngay 6 thang 10 nam 2014 nhu' sau :
MCrc trich lap ter 101 nhuan sau thus Miro trich lap t61 cra
Qu9 du' trO' be) sung vOn diet.' 10 5% 10% von dieu 10 Qu9 phOng tai chfnh va rui ro nghiOp vu 5% 10% vOn dieu 10
Vilec trfch lap cac qu9 con lai do tO. ch0,c tgr guyet dinh.
3.21 Phan chia loi nhuan
Lai nhuan thuan sau thug thu nhap doanh nghiOp CO the duvc chia cho chit so' sau khi da trich lap cac qu9 dux phOng theo Dieu 10 Cong ty va cac quy dinh cua phap lust ViOt Nam.
4. TIEN VA CAC KHOAN -WONG DU'O'NG TIEN
s6 cu6i nam S6 deu nam VND VND
Tien - Tien met tai quy 56.116.134 56.471.065 - Tien girl cho hopt Ong cua COng ty 85.489.687.932 73.755.915.476 - Tien gCri bit trey va thanh toan giao dich chCrng
khoan 12.918.138.679 133.797.608
Cac khoan twang &rang tien - Tien girl c6 ky hpn du6i 3 thang
TONG CONG
50.000.000.000 60.000.000.000
148.463.942.745 133.946.184.149
Cac khoan twang &rung tien la khoan tier) giri tai Ngan hang thtrang mai vCri mirclaisAt la 4,00%/nam.
25
Maybank Kim
Eng Securities Limited
COng ty Trach nhiem HCFL.1 han Mt thanh vien ChOng khoan Maybank Kim Eng
THUYT MINH BAO CAO TAI CHINH (tip theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chInh ket thOc cung ngay
5. GIA TR! VA KHOI WONG GIAO DICE' TFRYC HN TRONG NAM
Nam nay Nam trtigc
Kh6i Icrpng Gia Kh6i lugng Gia tr,i
(don vi) (VND) (dor vi) (VND)
a. C6ng ty - C6 phieu
b. Nha da'u tu, - 06 phieu
10.180.987
3.752.528.272
344.786.789.987
55.738.011.231.675
2.383.645
2.319.960.457
43.821.138.622
37.051.554.800.148
TONG CONG 3.762.709.259 56.082.798.021.662 2.322.344.102 37.095.375.938.770
6. CAC LO AI TAI SAN TAI CHINH
6.1 Tel san tài chinh ghi nhOn timing qua la7/16 (FVTPL)
SO cid& nam
S6 clAu nam
GO g6c Gia trj hgp g6c hgp
VND VND VND VND
C6 phieu Mem yet 2.742.407 3.375.030 2.400.410 2.977.010
26
C6ng ty Trach nhiem HOU han M6t thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) tai nay 31 thang 12 nam 2020 va cho nam tai chinh ket thOc cung ngay
6. CAC LOA! TAI SAN TAI CHINH (tiep theo)
6.2 Cac khoan cho vay
B09-CTCK
s6 cu6i nam
S6 °tau nam
Gia g6c
Dv ph6ng Gia tri hap 13i
GO g6c
D pheng
Giatrihap1y
VND
VND VND
VND
VND
VND
1. Float dOng cho vay k9 gu9 1.920.554.807.820 (3.342.102.022) 1.917.212.705.798 1.741.006.386.629 (3.392.102.022) 1.737.614.284.607 2. Hoat ddng Cfng tru,ac ten
ban chOng khoan 183.845.179.961 - 183.845.179.961 52.570.142.939 52.570.142.939
TONG GONG 2.104.399.987.781 (3.342.102.022) 2.101.057.885.759 1.793.576.529.568 (3.392.102.022) 1.790.184.427.546
Xac dinh gia tri hap 19 dia COI-1g cu tai chinh
Gia tri hap 19 cila cac tai san tai chinh duvc phan anh theo gia tri ma cong cy tai chinh co the duoc chuyen doi trong mot giao dich hien tai giCra cac ben tham gia, ngoai trix trudYng hop bat budc phai ban hoac thanh 19.
Cling ty six dog phu'ung phap va gia dinh sau day de u,O'c tinh gia tri hop 19:
Gia tri hop 19 cilia cac khoan cho vay k9 guy, Ong trir&c tin ban chivng khoan tuang du'ong vai gia goo trO, di du, phong da trick lap cua cac khoan myc nay do nhOng cong cy nay co ky [Ian ngan.
27
pawn sagproas nig ully NiegifeN
Cong ty Trach nhiem Him han Wit thanh vien Chung khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) tai ngay 31 thang 12 nam 2020 va cho nam tai chinh kat thuc cUng ngay
6. CAC LORI TAI SAN TAI CHINH (tiep theo)
B09-CTCK
Maybank Kim
Eng Securities Limited
6.3 Du, phong suy giam gia tri cac khoan cho vay
S6 cuoi nam VND
SO cl6u nam VND
3.392.102.022 4.121.903.023 (50.000.000) (500.000.000)
(229.801.001)
3.342.102.022 3.392.102.022
SO cuoi nam S6 dau nam VND VND
28.509.402.709 1.356.418.114 25.355.000.000 179.625.000 1.939.205.484 766.642.311 1.215.197.225 410.150.803
15.263.038.621 16.018.114.439 14.839.527.980 15.834.752.512
297.264.066 55.964.668 126.246.575 127.397.259
38.378.358 601.022.500 517.500
205.048.856 448.280.576
44.016.386.044 18.423.835.629
(115.300.395) (205.112.895)
43.901.085.649 18.218.722.734
SO cuoi nam SO dau nam VND VND
S6 dau nam Hoan nhap trong nam
SO dung dty phang xO Iy rui ro trong ham
s6 cuoi nam
7. CAC KHOAN PHAI THU
Phai thu cac dich vu cOng ty chOng khoan cung cap - Phai thu phi tu, van va to chCFc cl6u gia - Phai thu phi Iu'u ky cCia nha dau tu' - Phai thu phi rnOi giai Cac khoan phai thu va do thu co tt:Pc, tien la'i cac TSTC - Du, thu lai cho vay haat Ong ky guy" - Du, thu lai cho vay haat dOng Crng ft-v(5,c
tier? ban - D thu tai tien geFi co ky han Tra tru'&c cho ngool ban Khoan phai thu ban cac tai san tai chinh Cac khoan phai thu khac
Do phOng suy giam gia tri cac khoan phai thu khac
TONG CONG
8. TAI SAN NGAN HiNN KHAC
Tam Ong Chi phi tra tuft Nen han - Chi phi bao tri he thong
Tra trubr tien thud van phOng - Chi phi vat dung van phOng - Chi phi tra truck ngan han khac
33.500.000 125.139.773
2.345.428.898 2.178.985.987
1.856.904.007 1.582.669.871
234.020.376 237.620.376
44.987.774 53.873.604
209.516.741 304.822.136
TONG CQNG 2.378.928.898 2.304.125.760
28
Cong ty Trach nhiem HtTru han Mot thanh vien Chi:mg khaki Maybank Kim Eng
THUYET MINH BAO CAO TA1CHINH (tie) theo)
B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thilc cung ngay
9. TAI SAN CO DINH HU'U HINH
Nguyen gia
May m6c thiet bi VND
Phuryng tian van tai
VND
Tai san 66 crinh him hinh khac
VND T6ng Ong
VND
so cfau nam 50.556.682.724 3.052.011.905 954.064.162 54.562.758.791 Mua trong nam 1.506.729.000 - 1.506.729.000 Thanh 19, nhuvng ban (2.561.686.399) - - (2.561.686.399)
s6 cu6i nam 49.501.725.325 3.052.011.905 954.064.162 53.507.801.392
Hao mon tuy ke
So cfau nam 36.817.587.628 3.052.011.905 891.335.745 40.760.935.278 Tang trong nam 4.492.275.712 18.953.000 4.511.228.712 Thanh 19, nhu'o'ng ban (2.553.819.731) - - (2.553.819.731)
SO cuoi nam 38.756.043.609 3.052.011.905 910.288.745 42.718.344.259
Gia tri eon fai
so dAu nam 13.739.095.096 62.728.417 13.801.823.513
S6 cuoi nam 10.745.681.716 43.775.417 10.789.457.133
Nguyen gia tai san c6 dinh hCiu hinh da khau hao het nhu'ng van can six dung tai ngay 31 thang 12 nam 2020 la 37.930.183.986 dung (ngay 31 thang 12 nam 2019: 31.497.583.022 dong).
29
411 erne KJ paywn sagunoas 503 tiiolueqifeht
Cong ty Trach nhiOm HCvu han MOt thanh vien Chung khoan Maybank Kim Eng
THIJYT MINH BAO CAO TAI CHINH (trap theo) B09-CTCK tai ngay 31 thong 12 nam 2020 va cho nam tai chinh ket thuc cung ngay
10. TAI SAN CO DINH VO HINH
Maybank Kim
Eng Securities Limited
PhAn mom tin hoc VND
Nguyen gia
So dau nam Mua trong nam
SO du' cuoi nam
25.400.661.235 4.406.473.000
29.807.134.235
Hao mon lOy ke
SO dau nam Tang trong nam
SO cuoi nam
22.994.164.939 1.707.989.485
24.702.154.424
Gia tri con Iai
SO aau nam
So cuoi nam
2.406.496.296
5.104.979.811
11.
Nguyen gia tai san co dinh vO hinh da khau hao 12 nam 2020 la 19.316.946.518 citing (ngay 31
CHI PHI TRA TRUtC DAI HAN
het nhu'ng van con sir dung tai ngay 31 thong thong 12 nam 2019: 16.567.836.818 dOng).
S6 cuoi nam S6 cidu ham
VND VND
Bao tri he thong 1.837.281.014 2.682.915.500 Chi phi cal too van phong 127.049.772 542.821.197
TONG CQNG 1.964.330.786 3.225.736.697
12. TAI SAN THUS THU NHAP HOAN LAI
S6 cuoi nam S6 crAu ham 11 VND VND
Tai san thue thu nhOp hoan Iai
Dv phong cac khoan cho vay ky qu9 1.916.956
Tai san thue thu nhap hoan 10 lien quan den khoan chenh lech tam th&i phat sinh do su' khac nhau trong viec trich lap du' phOng giCra chinh sach kb' toan cua cong ty va ThOng tu' so 48/2019/TT-BTC ngay 8 thong 8 nam 2019 cifa BO Tai chfnh trich rap va xir Ijr cac khoan du ph6ng giam gia hang ton kho, ton that cac khoan dau tu', nq phai thu kh6 dOi va boo hanh san pham, hang h6a, dich vu, cong trinh xay dung tai doanh nghiep,
Maybank Kim
Eng Securities Limited
Cong ty Trach nhiOm HCru han MOt thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thCic cCing ngay
12. TAI SAN THUE THU NHAP ROAN LAI (tap theo)
Bien dOng tai san thue thu nhap ho5n lai trong nam nhu' sau:
Bao cao tinh hinh tai chinh Bac) cao ket qua hoat dOng
S6 cuoi nam S6 dau nam Nam nay Nam trvor
VND VND VND VND
Tai san thu thu nhap hoan Iai Dtx phong cac khoan cho vay ky qu9 1.916.956 (1.916.956) (233.821.864)
13. TIEN NOP QUI? HO TRQ' THANH TOAN
Tien n6p guy h6 trg thanh town phan anh cac khoan tien ky guy va tien dOng ggp vao Quy bu trCr tai Trung tam Lu'u ky ChCrng khoan Viet Nam.
Theo Quyet dinh s6 27/QD-VSD ngay 13 thang 3 nam 2015 ye viec ban hanh Quy the quart ly va sir dung Quy H6 trg thanh town cua Tong Gam dOc Trung tam Lu'u ky ChCrng khoan Viet Nam, COng ty phai ky guy mat khoan tien ban Tau la 120 trieu dOng tai Trung tam Lu'u ky Chivng khoan va hang nam phai dOng be sung 0,01% Ong gia tri chirng khoan moi giai cua nam tuft nhtmg khOng qua 2,5 ty dong/nam. Giai han tOi da ye min dOng gOp vao Quy h6 fro/ thanh toan la 20 ty (Tong del vai Thanh vien Ityu ky la COng ty chit:mg khoan co nghiep vu tty doanh va mgi
Theo Quyet dinh s6 97/QD-VSD ngay 23 thang 3 nam 2017 ye viec ban hanh guy the guan ly va sir dung Quy bit trir cua Tong Giam dOc Trung tam Lu'u ky ChtYng khoan Viet Nam, C6ng
ty.cO trach nhiem dOng g6p vao Quy trir, vai mCrc clang toi thieu ban dau la 10 ty dOng do' vai thanh vien bu trir true tiep.
Bien d6ng tien n6p qu9 trong nam nhu, sau:
Nam nay Nam truck
VND VND
Se du' elk! nam Tien nep be sung trong nam
S6 du' cuoi nam
30.000.000.000 20.000.000.000 18.187.023 10.000.000.000
30.018.187.023 30.000.000.000
14. VAY NGAN HAN
S6 dau !lam S6 vay trong !Yam S6 da tra trong nam S6 cuoi nam VND VND VND VND
Vay nga'n han 646.656.800.000 5.325.617.580.000 (5.116.538.290.000) 855.736.090.000
{Day la cac khoan vay tin chap ngan han g6c ngoei to tir to chCrc nuac ngoai vai mCrc lai suet 2,10 — 2,15%/nam nham tai tra cho gag hoat d6ng hang ngay cua COng ty.
31
B09-CTCK
Maybank Kim
Eng Securities Limited
S6 cr6u nam VND
Cong ty Trach nhiem HOu han MOt thanh vien Chung khaki Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (ti6p theo) tai ngay 31 thang 12 nam 2020 va cho nam tai chfnh ket thk cOng ngay
15. PHAI TRA NGU'&I BAN NGAN HAN
SO cu6i nam VND
Phai Va cho cac ben lien quan (Thuyet minh 27.1) Cac khoan phai tra khac
TONG CONG
6.753.466.002 389.141.399 66.705.344 2.200.569.739
6.820.171.346 2.589.711.138
16. THUS VA CAC KHOAN PHAI NOP NHA NU'O'C
STT Chi tieu só cigu nam
VND
SO phii n:Op trong nam
VND
S6 a nO'p trong nam
VND SO cuOi nam
VND
1 Thue thu nhap ca nhan
2.254.856.118 47.515.284.518 (44.134.542.103) 5.635.598.533
- C6a nhan vien Cong ty
792.919.608 19.232.309.034 (18.655.469.888) 1.369.758.754
- Ctia nha dau to, ca nhan
1.461.936.510 28.282.975.484 (25.479.072.215) 4.265.839.779
2 Thue nha thu 199.203.048 3.712.136.650 (2.871.676.132) 1.039.663.566
3 Thue thu nhap doanh nghiap 2.322.255.006 48.813.055.679 (38.569.715.371) 12.565.595.314
- Ccia COng ty 1.647.102.469 26.447.986.834 (17.641.679.998) 10.453.409.305 - Gera nha clau
tu, to chCrc 675.152.537 22.355.068.845 (20.928.035.373) 2.112.186.009
4 Thue mon bei 8.000.000 (8.000.000)
5 Thue gia trj gia tang 83.111.443 4.293.862.141 (2.229.616.342) 2.147.357.242
TONG CONG 4,859.425.615 104.342.338.988 (87.813.549.948) 21.388.214.655
17. CHI PHI PHAI TRA NGAN HAN
S6 cu6i nam S6 ciau nam VND VND
Chi phf giao dich 3.392.845.096 1.491.822.268 Chi phf trfch trutec 1.855.394.407 1.739.958.443 Lai vay phai tra 892.438.901 1.040.021.382 Phi dich vu chuyen mon 846.850.094 580.129.660 Chi phi lipu ky 350.462.772 381.870.007
TONG CONG 7.337.991.270 5.233.801.760
32
Mayb
an
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Eng
Secu
rities Limite
d
COng ty Trach nhiOm Hau han Mc)t thanh vien Chiang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHfNH (tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chlnh ket thuc clung ngay
18. THUS THU NHAP HOAN LAI PHAI TRA
S6 cuoi nam S6 dal' nam
VND VND
Thu thu nh4p hoan I?i phai tra
Khau hao tai san co dinh 125.789.383 57.519.225
Thue thu nhap hoan lai phai tra lien quan den khoan chenh lech tam theYi phat sinh do khac biet giCra ty le kheu hao cua tai san CO dinh theo chlnh sach ke toan cua C6ng ty va Thong tu' so 45/2014/TT-BTC ngay 25 thang 4 nam 2013 va Quyet djnh so 1173/2013 ngay 21 thang 5 nam 2013 cua Bp Tai chlnh quy djnh ye viec quan ly, sir dung va khau hao tai san co dinh.
Chi tiet bien Ong khoan thue thu nhap hoan lai phai tra trong nam nhu' sau:
Bao cao tinh hinh tai chlnh Bab cao ket qua hoot Ong
S6 du, cudi nam SO du clau nam Nam nay Nam truerc VND VND VND VND
Thu thu nhOp hoan Iai phai tra
Khau hao tai san CO djnh 125./89.383 57.519.225 (68.270.158) (7.023.156)
33
Gong ty Trach nhikn HCni han MOt thanh vier) Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (ti4p theo)
B09-CTCK ti ngay 31 thang 12 nam 2020 va cho nam tai chinh kat thilc cung ngay
19. VON CHO SO Hal
Qujidi, phOng
V6n du tu' cela
Quji du, tr& von tai chinh va ro
Lai nhuTpsn
chei sifY him
diet] 10
nghiOp 11(1 chu'a phan phOi
T6ng c6ng
VND
VND
VND
VND
VND
So du nam 1.056.110.000.000 14.952.026.685 14.952.026.685 241.792.868.600 1.327.806.921.970 - Lai nhuan thuan trong nam 104.908.644.670 104.908.644.670 - Trich qu9 trong nam 5.245.432.233 5.245.432.234 (10.490.864.467)
só cu6i nam 1.056.110.000.000 20.197.458.918 20.197.458.919 336.210.648.803 1.432.715.566.640
34
paytun sa.q.unoas 5ua ully wegifetv W sr•rav a k
Maybank Kim
Eng Securities Limited
COng ty Trach nhiem HO'u han MOt thanh vien ChOng khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) 809-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh kat thilc cung ngay
20. THUYET MINH VE CAC CHI TIEU NGOAI GAO CAO 'FINN HINH TAI CHINH
20.1 Ngopi to cac lopi cua COng ty (nguyen te)
S6 cif& nam
S6 cidu nam
USD
175.388,28
183.219,68 SGD
811,30
1.799,88
20.2 Tai san tai chinh niem yet/clang kk giao Bich tai Trung tam Luv Ky ChCrng khoan (VSD) cua COng ty
SO cuoi nam So ciAti nam
Tai san tai chinh giao dich tax do chuyen nhuvng 1.120.000 630.000
20.3 Tai san tai chinh niem yet/clang kjr giao (itch tai VSD cua Nha dau tu'
cuOi nam
SO alhu nam
VND
VND
Tai san tai chinh giao dich tu' do chuyen nhuvng - Co phieu Tai san tai chinh han the chuyen nhuvng Tai san tai chinh giao dich cam c6 Tai sari tai chinh ch& thanh town
TONG GONG
7.745.447.510.000 8.431.799.310.000 7.745.447.510.000 8.431.799.310.000
171.514.750.000 42.354.910.000 65.450.000.000 111.517.200.000
297.132.920.000 98.792.190.000
8.279.545.180.000 8.684.463.610.000
20.4 Tai san tai chinh da kj tai VSD va chu'a giao dich cua Nha cleu tu'
CO phieu
SO cuoi nam VND
S6 clAu nam VND
1.374.784.600.000 1.344.390.870.000
242.102.600.000 227.259.210.000
67.107.710.000 7.000.000.000
1.683.994.910.000 1.578.650.080.000
SO cuOi nam SO cid u nam VND VND
215.967.440.000 89.159.820.000
Tai san tai chinh (la luru ky tai VSD va chua giao dich, tu' do chuyen nhuvng Tai san tai chinh da kjr tai VSD va chu'a giao dich, han the chuyen nhu'c'ng Tai san tai chinh da tai VSD va chu'a giao dich, cern c6
TONG CONG
20.5 Tai san tai chinh cho, it6 cua Nha cleu tu'
35
Cong ty Trach nhiOm Hiau han MOt thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHI NH (trep theo)
B09-CTCK tai ngay 31 thang '12 nam 2020 va cho nam tai chinh ket thiic cUng ngay
20. THUYET MINH lit CAC CHI TIEU NGOAI BANG CAN DOl Kt TOAN (tiep theo)
Maybank Kim
Eng Securities Limited
776n ctia nha clhu tu'
Tien giyi cCia Nha dau tu v6 giao dich chu,ng khoan
S6 cuoi nam VND
So cleu nam VND
theo phu,ang thin cong ty chUng khoan quan ly 433.128.339.491 131.333.951.021 Ctia Nha clau tur trong nurbc 382. 817. 833.225 80.707.806.439
-'la Nha clau tu, ntptic ngoai 50.310.506.266 50.626.144.582
Tien 01 tong hop giao dich chixng khoan cho khach hang 215.916.499.562 92.957.287.150 - Cua Nha clau ttr trong nutc 207.861.508.697 79.354.394.624 - Ctla Nha der.] tur ntr6c ngoai 8.054.990.865 13.602.892.526
Tien girl bia trix va thanh toan giao dich chOng khoan cua Nha d'hu tu' 275.648.638.888 32.271.881.450 - Cua Nha clan tu' trong nverc 271.976.890.753 31.978.543.476
Caa Nha cleu rh.ro,c ngoai 3.671.748.135 293.337.974
TONG CONG 924.693.477.941 256.563.119.621
Phai tra nha ciSti tu,
So cuoi Warn S6 creu ham VND VND
Phai tra Nha deu tu' ye tien girl giao dich cht'yng khoan theo phu,ang thin cling ty chOng khoan quan ly 924.693.339.597 256.561.752.912
Ct'ta Nha cidu trong nutc 863.088.914.331 192.039.377.830 - COa Nha cleu to ntr&c ngoai 61.604.425.266 64.522.375.082
Phai tra co cho Nha cieu tit' 138.344 1.366.709
TONG CONG 924.693.477.941 256.563.119.621
DOANH THU HOAT BONG
Co tipc, tier, la' phat sinh tai san tai chinh FVTPL, cac khoan cho vay va phthi thu H
Nam nay Nam tatty A 3
VND VND
TO, tai san tai chinh FVTPL 20.357.945.327 4.258.418.879 - Lai tien gCri co ky han 19.234.608.212 4.113.473.967 - Co tiro 96.628 122.300 - Cac khoan khac 1.123.240.487 144.822.612 Tir cac khoan cho vay va phai thu 157.138.702.320 172.667.254.113 - Tien lai cho vay ky guy" 153.388.252.199 170.202.921.643 - Tien la7 cho vay Cmg trtp6c tien ban 3.750.450.121 2.464.332.470
TONG CONG 177.496.647.647 176.925.672.992
20.6
20.7
36
Maybank Kim
Eng Securities Limited
COng ty Trach nhiOm HCru han MOt thanh vien ChCrng khoan Maybank Kim Eng
THUYET tai ngay
21.
21.2
MINH BAO CAO TAI CH(NH (tiep theo) 31 thang 12 nam 2020 va cho nam tai chinh ket thilc cOng nay
DOANH THU HOAT DQNG (tiep theo)
Doanh thu ngoai thu nkap tfpcac tai san tai Minh
Nam nay VND
B09-CTCK
Nam &leen VND
Doanh thu nghiep vu chaing khoan 152.230.742.634 101.097.873.302 Doanh thu host ciOng tu, yen tai chinh 35.129.783.257 382.600.000 Doanh thu nghiep vu Iuu ky chi:mg khoan 4.725.117.424 5.513.391.495 Doanh thu nghiep vu tu' yen d6u chi:mg khoan 158.000.000 Doanh thu khac 6.528.376.185 7.689.234.164
- TO, phi nghien Guy va cac haat Ong khac 6.528.376.185 7.689.234.164
TONG LONG 198.772.019.500 114.683.098.961
22. CHI PHI LA! VAY, LO TO' CAC KHOAN CHO VAY VA PHAI THU
Nam nay Nam truyYc VND VND
Chi phi tai vay cho hopt Ong ky qu9 22.935.525.403 28.314.406.333 (Roan nhap)/chi phi clu, phOng suy giam gia tri cac khoan phai thu khac (89.812.500) 89.812.500
TONG CONG 22.845.712.903 28.404.218.833
23. CHI PHI NGHIU. VU MO! GIO1 CHONG KHOAN
Nam nay Nam trutc VND VND
Chi phi dich vu mua ngoai 58.525.301.865 40.751.286.994 Luang va cac khoan philc Iai 53.152.057.627 40.901.300.055 Bao hiem xa hai, bac hiem y te, Pao hiem that nghiep va kinh phi cong down • 1.630.404.101 2.306.084.751 Chi phi khau hao va hao man tai san co dinh 918.857.075 625.429.687 Chi phi cOng Cu, dung cu 70.938.401 92.116.648 Chi phi van phong phem 44.499.250 51.287.850
TONG CONG 114.342.058.319 84.727.505.985
24. DOANH THU HOAT DQNG TAI CHINH
Nam nay Nam trutv VND VND
Doanh thu lai tin kheng c6 dinh 2.403.934.333 3.007.066.175
Chenh tech tjr gia hoi cloai 106.684.454 53.509.170
TONG GONG 2.510.618.787 3.060.575.345
37
Cong ty Trach nhiem HOu hen MOt thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) tai ngay 31 thing 12 nam 2020 va cho nam tai chinh ket thOc cOng ngay
25. CHI PHI QUAN LY
809-CTCK
Maybank Kim
Eng Securities Limited
Luang va cac khoan phOc lad Chi phi dich vu mua ngoai Chi phi khau hao va hao mon tai san co Binh Bao hiem xa hei, bao hiem y te, bao hiem that nghiep va kinh phi cOng down Chi phi acing cu, dung cu Chi phi van phong phem Chi phi khac
TONG CONG
Nam nay VND
Nam tra6c VND
57.850.102.556 43.348.699.346 26.131.567.557 25,657.323.801
5.288.254.310 5.644.316.814
5.268.401.365 4.864.966.628 164.293.730 394.903.216 91.392.631 110.106.717 19.911.793 110.782.093
94.813.923.942 80.131.098.615
26. THUS THU NH/‘13 DOANH NGHleP
COng ty c6 nghTa vg nap thus thu nhap doanh nghiep ("TNDN") vii mire thus suet la 20% Igi nhuan tinh thus trong nam.
Cac bao cao thus cua COng ty se chiu scr kiem tra cua ca quan thus. Do vise ap dung luat va cac quy dinh ye thus doi vii cac loci nghiep vu khac nhau co the ciu'O'c giai thich theo nhieu each khac nhau, so thus duvc trinh bay tren bao cao tai chinh co the se bi thay dei theo quyet dinh cuOi piing cua ca quan thus.
Thu4 TNDN hiOn hanh
Thus thu nhap doanh nghiep hien hanh phai tra duoc xac dinh diya ten thu nhap chiu thus cua nam hien tai. Thu nhap chiu thus khac vii lei nhuan duac bao cao trong bao cao ket qua hoat clang vi rn ,thu nhap chiu thus khOng bao go cac khoan muc thu nhap chiu thus hay chi phi dU'Q'C khau trio' cho mvc dich tinh thus trong cac ky khac va cOng khOng bao gam cac khoan 1-11VC khOng phai chiu thus hay khOng diyac khau tru, cho mix dich tinh thus. Thus suet thus TNDN hien hanh phai tra cua COng ty duvc tinh theo thus suet da ban hanh den ngay ket thOc ky ke toan.
Dt.rai day la doi chieu chi phi thus TNDN trong nam va ket qua cua lei nhuan ke toan truac thus nhan vii thus suet thus TNDN:
N5m nay VND
Nam trut,c VND
Lai nhuin trithc thu6 131.426.818.618 86.003.485.224
Thu6 TNDN theo thu6 suit hiOn hanh (20%) 26.285.363.724 17.200.697.045
Cac khoan (lieu chinh tang: - Chi phi khOng duvc khau trig 215.650.550 163.151.438 - Dieu chinh khac 9.416.581 25.582.454
Cac khoan diau chinh - Thu nhap khOng chiu thus va chenh loch tam th&i
chiu thus nhCr. ng nam tru'ac (62.444.021) (229.603.223) - Dieu chinh thus TNDN trong nhUng nam trirac - (126.131.227)
Chi phi thug TNDN tro,c tinh trong nam 26.447.986.834 17.033.696.487
38
Mayb
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Eng
Secu
rities Limite
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Cong ty Trach nhiem HCru han MOt thanh vien Chung khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CH1NH (trap theo) 609-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thCic cling ngay
26. THUS THU NHAP DOANH NGH1$P (tiep theo)
Thue TNDN boat? lai
Chi phi thue thu nhap hoan lai trong nam trinh bay du,c51 day:
Nam nay
Nam tru'&c
VND
VND
Chi phi thue thu nhap hoan lai (Thuyet minh 18)
Chi phi thue thu nhap hoan lai (Thuyet minh 12)
TONG CONG
68.270.158 7.023.156 1.916.956 233.821.864
70.187.114 240.845.020
27. NHCYNG THONG TIN KHAC
27.1 NghiOp vy vai ca c ben lien quan
NhOmg giao dich trong you cua COng ty vbi cac ben lien quan trong nam nhui sau:
Ben lien quan An6i quan he NOi dung nghiep vy
Nam nay VND
Nam truCk VND
Maybank Kim C6ng ty me Vay 2.508.712.530.000 695.844.500.000 Eng Holdings Tra g6c vay 2.000.820.940.000 348.000.000.000 Limited Lai vay cla tra 4.806.065.307 988.017.775
Trfch tru'O'c lai vay
847.259.617 891.834.648
Maybank Chi nhanh cua Vay 2.776.905.050.000 4.210.847.480.000 international COng ty chu pan Tra goc vay 3.055.717.350.000 4.234.745.180.000 Labuan Branch cap cao nhat Lai vay da tra 8.386.600.446 17.168.275.082
Trfch tru'&c lai vay
108.041.203
Maybank Kim Cong ty con cua Phi hoa hong 9.742,938.293 5.893.886.431 Eng Securities Maybank Kim cia tra Pte. Ltd Eng Holdings
Limited Trfch trubc phi hoa hong
5.911.501.973 431.181.605
Thu phi hoa hong
80.296.688
Doanh thu thu xep von
36.915.417
Maybank Kim COng ty con cua Thu phi 453.987.365 217.156.954 Eng Securities Maybank Kim m6i gibi (Thailand) Public Eng Holdings Company Ltd Limited
39
N6i dung s6 cu6i nam S6 du nam nghi6p vu VND VND
Vay (855.736.090.000) (347.844.500.000) Lai vay phai tra (804.896.602) (891.834.648)
Vay - (278.812.300.000) Lai vay phai tra - (108.041.203)
Ben lien quan mai quan he
Maybank Kim Eng Holdings Limited
Maybank International Labuan Branch
COI:1g ty 111Q
Cong ty con cua cOng ty chu quan cao nhat
Mayb
an
k Kim
Eng
Secu
rities Limite
d
Cong ty Trach nhilem HO'U han MOt thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TA! CHINH (tiep theo)
B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thuc cimg ngay
Malayan Banking Chi nhanh cua
Phi dich vu hoan Berhad Cong ty chu
el& Wen to
nhanh Ho Chi quan cao nhat Minh
Trfch tru,ac phi dich vu hoan dOi tien to Phi ngan hang Thu lei tien
Maybank Kim
COng ty con cua Thu phi Eng Research
Maybank Kim
nghien cOu Pte. Ltd
Eng Holdings
Tra phi Limited
nghien u
Malayan Banking Chi nhanh cua Berhad - Chi COng ty ch0
dai tien to Phi djch vu hoan
nhanh Ha NOi quan cao nhat
Maybank COng ty con cua Tra phi thong tin Investment Bank COng ty chu quan Berhad cao nhat
Ban Tong Gam cl6c Thu nhap
Tai ngay ket thus nam tai chinh, cac khoan phai thu/(phai tra) voi cac ben lien quan nhu' sau:
27. NHU'NG THONG TIN KHAC (tiep theo)
27.1 NghiOp vu vo'i cac ben lien quan (tiep theo)
Ben lien quan moi quan he
N6i dung nghi6p vu
Nam nay VND
Nam trudr VND
6.392.758.965 1.856.680.000
87.542.299 648.706.897
72.159.933 9.497.430 2.076.398 3.142.680
6.528.376.185 7.689.234.164
3.317.849.685 2.325.447.129
5.472.262.500
592.502.707
15.519.976.046 17.126.139.676
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Maybank Kim
Eng Securities Limited
COng ty Trach nhiOm HCru han M(5t thanh vien Chang khaki Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket th0c cOng ngay
27. NHUNG THONG TIN KHAC (tiei) theo)
27.1 Nghiep vu voq cac ben lien quan (tiep theo)
NOi dung S6 quo/ nam Ben lien quan m6i quan he nghiep vu VND
B09-CTCK
SO cldu nam VND
Maybank Kim Eng Securities Pte. Ltd
COng ty con cue Maybank Kim Eng Holdings Limited
Phi hoa hang phai tra Phai thu phf thu xep von Phai tra khac
(5.335.130.532) (389.141.399)
40.606.959
(855.457.898)
Malayan Banking Berhad - Chi nhanh HO Chi Minh
Chi nhanh cua cong ty chu pan cep cao n het
Tien girl tai ngan hang
Phai tra dich vu hoar) dui tien to
(87.542.299)
741.537.330
Maybank Kim COng ty con Eng Securities cue Maybank (Thailand) Kim Eng Public Holdings Company Ltd Limited
Phai tra tien ban (1.226.241.212) cuai thang
Maybank
COng ty con
Phai tra phi thOng
(562.877.572) Investment
cua COng ty
tin Bank Berhad chi.) quail cao
nhat
27.2 Cam ket thud hog d(ing
Cong ty hien Bang thud van phong theo cac hgp ei6ng thud hopt Ong. Tai theyi diem cuOi nam, cac khoan tier] thud phai tra trong tucyng lai theo hgp dOng thue hoat ddng duvc trinh bay nhu, sau:
SO cuoi nam S6 dAu nam
VND VND
Den 1 nam 9.163.585.990 13.429.464.553 Tu, 1 - 5 nary) 2.480.476.380 11.106.745.839
11.644.062.370 24.536.210.392
41
Maybank Kim
Eng Securities Limited
COng ty Trach nhiOm Hu'u flan MOt thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) B09-CTCK tai ngay 31 thing 12 nam 2020 va cho nam tai chit-1h kat thCic cong ngay
27. NHONG THONG TIN KHAC (tiep theo)
27.3 WC dich va chinh sach quan ly rui ro tai chinh
Na phai tra tai chinh cua CC:mg ty cho yeu bao gam cac khan vay va ng, cac khoan phai tra ngLigi ban va cac khoan phai tra khac. Myc dich chinh cua nhCrng khoan ng phai tra tai chinh nay la nha'm huy dOng nguan tai chinh phyc vy cac haat dOng cua Cong ty. COng ty CO cac khan cho vay, phai thu khach hang va cac khan phai thu khac, tier' mat va tien girl ng'an han phat sinh tru'c trap tCr hat dOng cua C6ng ty. COng ty khong nam giO, hay phat hanh cong cy tai chinh phai sinh.
COng ty co rui ro thi trugng, rui ro tin dung va rui ro thanh khan.
Nghiep vy quan ly rui ro la nghiep vu khOng the thieu,cho toan ba hoat (rang kinh doanh cua COng ty. Cong ty da xay dcrng he thong kiem sat nham dam bao scr can bang a mi.'rc hop ly giCl'a chi phi rid ro phat sinh va chi phi quan ly rui ro. Tong Giam dOc lien tyc theo dOi quy trinh quan ly rui ro cua COng ty de dam bao scr can bang hap ly giCra rui ro va kiem sat rui ro.
Tong Giam doc xem xet va thong nhat ap dung cac chinh sach quail ly cho nhO'ng rui ro nal hen nhu' sau.
Rui ro thi trvang
Rui ro thi truing la rui ra ma gia trj hap ly cCia cac !yang tier] trong tiyung lai cua mot cong cy tai chinh se bien clOng theo nhCvng thay doi cua gia thj trugng. Gia thj trtygng gam cac lopi rul ra: rui ro lai suit, rui ro tien to va rui ro ye gia khac, thong han nhu, rui ro ve gia co phan. Cong cy tai chinh bj anh hiring b&i rui To thitruVng bao gam cac khan vay va ng, den girl, cac khan dau to chCing khoan.
Rui ro lei suet
Rui ro lai suit la rui ro ma gia tr.j hgp ly hoac cac !Yang tien trong twang lai cua mot cong cy tai chinh se bien clang theo nhirng thay doi cua lai suet till tru,grig. ROI ro thj truVng do thay dOi lai suit cua COng ty chu yeu lien quan den cac khan tien girl ngan han cua ang ty. -Day la cac khan dau tu, ngen han va khong duvc Cong ty nam giCr nham muc dich thu Igi tu,,sty tang len trong gia trj.
COng ty quail ly rui ro lai suet bang cach phan tich tlnh hinh canh tranh ten thi truVng de co &Iva cac lai suit c6 Igi cho muc dich cua COng ty va van nam trong giai han quan ly rui ro cua minh.
COng ty khOng thyv hien phan tich dO nhay dOi vgilai suet vi rui ro do thay dOi lai suet cua COng ty tal ngay lap bao coo la khong clang ke.
Rai ro ngooi fe
ROI ro ngopi to la rui ro ma gia trj hop ly hoa'c cac luang tien trong twang lai cua mat cong cu tai chinh bien Ong do thay do' ty gia ngoai to hoi doai. COng ty chiu rui ro do sy' thay doi cua ty gia hOi doai lien quan Wye tiep den cac hot Ong kinh doanh cua COng ty (khi doanh thu va chi phi cluvc thcrc hien bang clan vi Wen to khac vii dOng tien ke tan hpch tan cua COng ty).
Rui ro do Sry thay dOi ty gia hOi dal cua ang ty la khOng dang ke.
Rui ro ye gia co phi4u
Cae co phieu da niern yet va chtra niem yet do COng ty nam giCebianh hiro'ng bai cac rui ro thi trirgng phat sinh tir tfnh khong chic chin ye gia trj twang lai cua co phieu day tt.r.
Rui ro do sty thay dOi ve gia co phiL cua Cong ty fa khOng clang a
N
4
Cong ty Trach nhiOm HCru han MOt thanh vien Chang khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tiep theo) tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thiic cung ngay
27. NHCPNG THONG TIN KHAC (tiep theo)
27.3 Myc clich va chinh sach quan if/ rui ro tai chinh (tiep theo)
B09-CTCK
Mayb
an
k Kim
Eng
Secu
rities Limite
d
ROi ro tin dung
ROI ro tin dung la rui ro ma mot ben tham gia trong mOt cong cy tai chinh hoac hop dung khach hang kh6ng thcPc hien cac nghia vu cua minh, den den ton that ye tai chinh. COng ty co rui ro tin dung ter cac hoat dOng san met kinh doanh cua minh (chu yeu dOi cac khoan cho vay khach hang) va tix hoat dOng tai chinh cua minh, bao gem tien giri ngan hang, nghiep vu ngoai hei va cac cong cu tai chinh khac.
Tien g(ii ngan hang
COng ty chCi yeu duy trl s6 tien girl tai cac ngan hang duvc nhieu ngueri biet den 0' Viet Nam. Rill ro tin dung doi vc51 so du' tien gixi tai cac ngan hang duioc quan ly beyi bO phan ngan quy cua COng ty theo chinh sach cua COng ty. ROI ro tin dung tOi da cua Cong ty doi voi cac khoan muc trong Bac cao tinh hinh tai chinh tai mOi nam lap bao cao chinh la gia tri ghi so nhu, trinh bay trong Thuyet minh 4. COng ty nhan they mix dO tap trung rui ro tin dung doi vOi tien gt:Pi ngan hang la the!).
C6c khoan cho vay va Cmg trut:c cho khach h6ng
COng ty quan ly rui ro tin dung khach hang thong qua cac chinh sach, thu tuc va quy trinh kiem scat cua COng ty co lien quan den quy trinh cho vay ky qu9 va Ong tru,Oc cho khach hang. Cong ty thcpc hien danh gia va them Binh khach hang de xac djnh han mik tin dung cung nhu, cac ty le ky quy trithc khi ky kat cac hop clang margin va Ong tru'Oc cho khach hang, cung nhu' djnh ky kiem tra lai tinh hinh tai chinh cua khach hang vay de c6 cac dieu chinh phO hop ye ty le ky quy va han mCfc tin dung.
COng ty thuong xuyen theo dOi cac khoan phai thu khach hang chu'a thu &roc. Cac phan tich ye kha nang lap phOng &roc thtyc hien tai ngay lap bao cao tren ca sO tCyng khach hang dOi vai cac khach hang IOn. Cong ty tim each duy tri kiem scat chat the cac khoan phai thu ton Ong va thanh lap mot 130 phan kiem scat tin dung de giam thieu rOi ro tin dung. Cac hoat ciOng canh bao nguy co giam tien ky qu9 (margin call) cua khach hang &roc thvc hien diing han va tuan thu theo dung ban chat cua san phern giao dich 4 qu9.
Theo quan diem da not tren va thcfc to rang cac khoan phai thu khach hang cua COng ty danh cho mot s6 luonglOn khach hang da clang, do do khong CO rui ro tap trung ye tin dung.
Ngopi trip cac tai san tai chinh ma Cong ty da lap dy' phOng nhu' trong Thuyet minh 6, TOng Giam d6c cua COng ty danh gia rang tat ca cac tai san tai chinh deu trong han va khong bi suy giam vi cac tai san tai chinh nay deu lien quan den cac khach hang co uy tin va c6 kha nang thanh toan tot tai ngay 31 thang 12 nam 2020.
43
Cong ty Trach nhi8rnEvu han MOt thanh vi8n Ching khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (tie)o theo) tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thUc cOng ngay
B09-CTCK
27. NHU'NG THONG TIN KHAC (tiep theo)
27.3 Muc Bich va chinh sach quail 1y rill ro tai chinh (ti6p theo)
Red ro tin dung (ti6p theo)
Ngay 31 thang 12 nam 2020
Tien girl Cac khoan cho vay Tai san tai chinh khac
Qua han Wiring khong bi: suy gia rn KhOng qua han va Bi suy Om
Wing bj suy gram Dutti 3 thang 3 - 6 thang 6 - 12 thang Tre n 1 nam gia tri Ting cing VND VND VND VND VND VND VND
50.000.000.000 - - - 50.000.000.000
2.101.057.885.759 - - 3.342.102.022 2.104.399.987.781
43.901.085.649 - - 115.300.395 44.016.386.044
TONG CONG
Rol ro thanh khoan
2.194.958.971.408 3.457.402.417 2.198.416.373.825
Ruff ro thanh khoan la ruff ro COng ty gap kh6 khan khi thkrc hien cac nghia vu tai chinh do thieu von. Rini ro thanh khoan cua COng ty chi) yeu phat sinh tir viac cac tai san tai chinh va no' phai tra tai chinh c6 cac thoi diem dao han tech nhau.
Cong ty, giarn sat yro thanh khoan thong qua viec duy tri mot Rgng tin mat va cac khoan twang &rang tin va cac khoan vay ngan hang & mCrc ma Tong Giam doc cho lb du de dap O'ng cho cac hoat d6ng cua COng ty va de giarn thieu anh Wong cua nhang bien cl(ing ye luOng Wen.
44
paytun saminoas 5u3 tuN )itieq/(epv
Cong ty Trach nhiem HOU han M(Ot thanh vien Chimg khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINH (ti6p theo)
B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thiic ding ngay
27. NHU'NG THONG TIN KHAC (tiep theo)
27.3 Muc ouch va chinh sach gain lk nh ro tai chinh (ti6p theo)
Rai ro thanh khoan (tiep theo)
Bang dual day,tang,hop thOi han thanh toan cac khoan phai tra tai chinh cua C6ng ty du'a tren cac khoan thanh toan chaa &roc chiet khau:
kin theo hop clang tren so's
Qua flan KhOng ky han Den 1 nam TO' 1 - 5 nam Tron 5 nam T6ng cOng VND VND VND VND VND VND
Tai san tai chinh Tai san tai chinh ghi nhan thang qua lai/I6 3.375.030 3.375.030 Cac khoan cho vay 3.342.102.022 - 2.101.057.885.759 - 2.104.399.987.781 Phai thu cac dich vu cong ty chang khoan cung cap 28.509.402.709 28.509.402.709 Cac khoan phai thu khac 115.300.395 15.391.682.940 15.506.983.335 Tien va cac khoan tu'o'ng &rang tik 98.463.942.745 50.000.000.000 148.463.942.745
TONG CONG 3.457.402.417 98.463.942.745 2.194.962.346.438 2.296.883.691.600
No, tai chinh Vay va no' tai chinh ngan han 855.736.090.000 - - 855.736.090.000 Phai tra haat clang giao dich chang khoan 38.042.096 - 38.042.096 Phai tra ngual ban 6.820.171.346 - - 6.820.171.346 Chi phi phai tra 7.337.991.270 - 7.337.991.270 Cac khoan phai tra, phai nap khac 304.797.923 - 304.797.923
TONG CONG 870.237.092.635 870.237.092.635
MCyc chenh Iech thanh khoan rang 3.457.402.417 98.463.942.745 1.324.725.253.803 - 1.426.646.598.965
C6ng ty cho rang mac do tap trung rui ro dai vai viac tra no' la thap. Cong ty c6 du kha nang tiep can cac ngu6n von va cac khoan vay den han thanh toan trong vong 12 thang CO the &roc tai tuc vai cac ben cho vay hien tai.
45
LA Ir. ...re pa//tun sa.1.7.unoas 51.13 ull,p/ueckfetv
NguVi ap: Nwei kiem soat: Ngueri phe CONG t: ACH NOM hu
01 NH IAN ONG KHOAN
isiii4YBANK KIM DIG
duyet:
Nguyen Thi Minh Hong Iran Thi Ngoc Huang To Quec Tuan Ka toan vien Ke toan Trixamg Giam den Tai chinh
Thanh phO HO Chi Minh, Viet Nam
Ngay 9 thang 2 nam 2021
;rfi1-hien Quang Tong Giarn deo
Mayb
an
k Kim
Eng
Secu
rities Limite
d
Cong ty Trach nhiem H han M(it thanh vier) Chimg khoan Maybank Kim Eng
THUYET MINH BAO CAO TAI CHINN (tiep theo) B09-CTCK tai ngay 31 thang 12 nam 2020 va cho nam tai chinh ket thOc cOng ngay
27. NHONG THONG TIN KHAC (tiep theo)
Quin tri ngu6n von
Ty le von kha dung la met thuVc do cianh gia MI:PC de an toan tai chinh cua COng ty, ph& anh kha nang cua COng ty trong viec thanh toan nhanh cac nghia vu tai chinh va kha nang bu dap cac loaf rui ro phat sinh trong qua trinh hot Ong cCia COng ty.
Tji le nay duvc tinh toan va trinh bay trong Bac) cao ty le an toan tai chinh cua COng ty cluvc lap dinh ky hang thang va tuan thi] theo quy djnh trong ThOng tu, so 87/2017/TT-BTC ngay 15 thang 8 nam 2017 dia BO Tai chinh quy djnh chi tieu an toan tai chinh va bien phap xir ly dei v(51 cac to chirc kinh doanh chi:mg khoan khong dap Crng chi tieu an toan tai chinh. Theo do, Cong ty guar) tri va kiem &At ty le von kha dung khong thap hurl 180%.
Tai ngay 31 thang 12 nam 2020, ty le von kha dung cila Cong ty la 1.960%.
28. CAC SU' KIEN PHAT SINH SAU NGAY KeT THUG NAM TAI CHINH
Kheng CO six kien nao phat sinh sau ngay ket th0c nam tai chinh yeu cau phai &Ivo dieu chinh hay trinh bay trong bao cao tai chinh dia Cong ty.
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