dal dien cho Ban tOng Giam doc,

uang Huy Tong Giam doe

Ha N01, ngay 28 thong 4 nom 2010

BAO CAO CUA BAN TONG GIAM DOC

Ban Tong Giam dew Cong ty CO phin Chang khoan Dau khf (goi tit la "Cong ty") a trinh bao cao nay cong vol bao cao tai chinh di dugc soar xet cua C6ng ty cho ky hoat deng tix ngay 01/01/2010 den 31/03/2010.

HQI DONG QUAN TRI VA BAN TONG GIAM DOC

Cac thanh vien caa 1-10i dOng Quan tri va Ban Ring Giam dOc Cong ty da dieu hanh Ceaig ty trong ky va den ngay lap bao cao nay Om:

HOi dlin2 Quin tri

Ong Bin Ngoc Thing Ong Trinh An Huy Ong Vu Thanh Le Ong D6 Tun Binh Ong Trin Minh Hoang Ong Nguyen Anh Tub BA Ha Lan

Ban Tiring Giam dtic

Ong Phan Quang Huy Ong Tran Hang [ring Ong Nguyen Xuan Hung

TOng Gam dew Ph6 Tang Giam dOc Ph6 T6ng Giam id&

TRACH NHIVVI CUA BAN TONG GIAM DOC

Ban TOng Giam dOc Cong ty c6 trach nhiem lap bao cao tai chinh hang kY phan anh m0; each trung thgc va hop lY tinh hinh tai chinh cling 'Mu kit qua kinh doanh va tinh hinh ltru chuyen tien to cua Cong ty trong kY. Trong viec lap cac bao cao tai chinh nay, Ban 'ding Giam doe dugc yeu eau phai:

• Lga chon cac chinh sach ke toan thich hop va ap dung cac chinh sach d6 met each nhiit quan; • Dua ra cac xet down va trac tinh met each hop ly va than trong; • Neu ro cac nguyen tic ke toan ditch hop c6 dugc Man tha hay kheing, c6 nhang ap dung sai loch trong y6u can

dugc cong b6 va giai thich trong bao cao tai chinh hay kh6ng; • Lap bdo cao tai chinh tren ca s6 hoot dOng lien tuc trig truarng hop kitting the cho ra Cong ty se tiep tuc hoat

dOng kinh doanh; va • Thi'et ke va thgc hien he thong kiem soot nOi be met cach hitu hieu cho attic dich lip va trinh bay bao cao tai

chinh hgp ly nhim han the rai ro va gian

Ban Tong Giam (kw Cong ty chiu trach nhiem dam bao rang s6 sach ke Man dugc ghi chef met cach pha hop de phan anh met each hop 15, tlnh hlnh tai chinh cua ang ty o bit kY thai diem nao va dam bao fin; bao cao tai chinh Man tha cac Chuin mire Ke toan Viet Nam, He thOng KC toan Viet Nam ap dung cho cac cong ty ct ling khoan va cac quy dinh hien hanh ve ke toan tai Viet Nam. Ban TOng Giam d6c cling chiu trach nhiem dam bao an toan cho tai san cua Cong ty va thgc hien cac bien phap thich hop de ngan chin va phat hien cac hanh vi gian In va sai p am khac.

Ban TOng Giam dOc xac nhan ring Cong ty da tuan tha cac yeu ciu neu tren trong viec lap bao cao tai chinh.

Chu tich Uy vien IJy vien (1)6 nhiem ngay 28/01/2010) Uy vien (1)6 nhiem ngay 28/01/2010) Uy vien (b6 nhiem ngay 28/01/2010) Uy vien (mien nhiem ngay 28/01/2010) Uy vien (mign nhiem ngay 28/01/2010)

CONG TY Co PHAN CHUNG KHOAN DAU KHI SO 20 NO Quyen, quan Hoan Kiem Ha N0i, CHXHCN Viet Nam

Deloitte Cong ty TNHH Deloitte Viet Nam SO 8-Pharr Ngoc Thach,flOng Da Ha N0i, Viet Nam TE I : +84-4 3852 4123 Fax: +84-4 3852 4143 www.deloitte.com/vn

Si.. /Deloitte-AUDHN-RE

BAO CAO ICET QUA CONG TAC SOAT MET BAO CAO TAI MINH

Kinh Cfic Co (long Cong ty Co phAn Chung khoan DAu khi (PSI)

Chung toi da thgc hien cong tac scat xet bang candOi ke toan tai ngay 31 thang 03 nam 2010 ding vai bdo cao ket qua hoat dung kinh doanh, bao cao km chuyen tien to va thuyet minh bdo cao tai chinh kern theo cua Cong ty Co phan Chang khodn Dau khi (pi tat la "Cong ty") cho ky hoat Ong tar ngay 01 thank 01 nam 2010 den ngay 31 thang 03 nam 2010. Cac bdo cao tai chinh kern theo khong nham phan anh tinh hinh tai chinh, ket qua hoat dOng kinh doanh va tinh hinh luu chuyen tien to theo cac nguyen tac va th6ng le ke toan duot chap than chung tai cac nurac khdc ngoai Viet Nam. Viec lap va trinh bay bdo cao tai chinh thuOc trach nhiem do Ban Ping Giam doe Cong ty. Trach nhiem cua chung toi la dun ra bdo cao nhan xet ve bdo cao tai chinh nay tren co' s6 tong tac soot xet cua chung toi.

Chang UM da thurc hien Ong tac soot xet bao cao tai chinh theo Chuan muc Kiem toan Viet Nam ve tong tac soot xet. Chuan muc nay yeti cau ding tac soot xet phai lap Ice hoach va thurc hien de c6 su dam bdo vira phai rang bao cao tai chinh khong chira dung nhang sai sat trong yeu. C6ng tac soar xet bao gum cha 611 la viec trao doi vai nhan su caa Cong ty va ap dung cac thii tuc phan tich tren nhcmg thong tin tai chinh; cong tar nay cung cap mot mat TO dam bao thap horn cong tac kiem toan. Chung toi kh6ng thuc hien cong viec kiem toan nen khong dim ray kien kiem town.

Tren ca sa cong tac soot xet cda chung toi, chung toi khong thay co su kin nao de"' chung toi cho rang bdo cao tai chinh kern theo day khong phan anh trung thruc va hop 15/, tren cac khia canh trong yeu, firth hinh tai chinh caa Cong ty tai ngay 31 thang 03 nam 2010 ding rilur ket qua hoat d'Ung kinh doanh va tinh hinh hr I chuyen tien to cho krj/ hoat dOng tix ngay 01 thang 01 nam 2010 den ngay 31 thang 03 nam 2010, pha hop vai cac Chun muc Ke toan Viet Nam, He th6ng Ke toan Viet Nam ap dung cho cac cong ty chirng khoan va cac quy dinh hien hanh khac ve ke toan tai Viet Nam.

Chang toi xin luu ji ngtr•i dot bao cao tai chinh tai Thuyet minh s6 20 - "SO lieu so sant". SO lieu bao cao tai chinh cho ky hoat Ong to ngay 01 thang 01 nam 2009 den ngay 31 thang 03 nam 2009 clam d 'VC kiem toan hoac soot xet va duoc trinh bay cho muc dich tham khao.

CONG TLL

TRACHNHO Hi. f HAN

DEL. 1

g Anh Ming Pho Tong giant doc Ching chi Kiem toan vien so D.0029/KTV

Thay mat vd dgi din cho CONG TY TNHH DELOITTE VIET NAM

Ng* 28 thang 4 nam 2010 Ha NOV, CHXHCN Viet Nam

Bang Van KhAi Kiem toan vier] ChUng chi Kiem toan vien so 0758/KTV

CONG TY CO PHAN CHIYNG KHOAN DAU KHI S6 20 NO Quy&t, quan Hoan Kim Ha NOi, CHXHCN Vi4st Nam

Bao cao tai chinh Cho lcji hog dOng tir ngay 01 thang 01 nam 2010

dtn ngay 31 thang 03 nam 2010

BANG CAN DOI KE TOAN Tai ngay 31 thang 03 nam 2010

MAU SO B 01 -CTCK Don vi: VND

Thuytt Ma s6 minh 'CAI SAN 31/03/2 )10 31/12/2009

A - TAI SAN NGAN HAN 100 1.145.812.331.749 1.017.438.378.066 (100=110+120+130+140+150) I. Titn va cac khan twang throng tin 110 4 170.272.854.157 337.412.062.234 1. Ti&1 111 170.272.854.157 331.412.062.234 2. Cdc khoan Wang dtrcmg tin 112 6.000.000.000

H. Cfic khoan du tw tai chinh ngAn hip 120 5 894.648.961.302 497.046.152.182 G 1.Dau ttr ngan han 121 899.384.461.270 499.051.504.980 ":4 2. Du• phemg giam gia dau to ngan han 129 (4.735.499.958) (2.005.352.798) 11 HI. Cac khoan phai thu ngin han 130 77.977.310.791 180.191.913.096 ',1i 1.Midi thu khach hang 131 6 33.168.627.153 50.757.916.302 — 2. Tra tilt& cho ngtreri ban 132 2.802.811.739 394.193.422 T

x...- 3. Phai thu boat dOng giao dich cherng khodn 135 7 740.364.830 28.972.060.000 4. Cac khoan phai thu khac 138 8 41.265.507.059 100.067.743.372

IV. Hang ton kho 140 107.091.414 2.349.999 a

V. Tai san ngin han khac 150 2.806.114.035 2.785.900.555 '.. 1.Chi phi tra tuft ngan han 151 1.575.377.158 2.133.214.040 2. Thue GTGT dtr cot khau tar 152 1.418.1 74 3. Thu va cdc khoan phai thu Nha nude 154 85.580.739 '• 4. Tai san ngan han khdc 158 1.229.318.753 567.105.776 I

B - TAI SAN DAI HAN (200=220+250+260) 200 19.942.689.915 68.386.901.159 I

I. Tat san co dinh 220 17.545.875.621 17.757.986.865 1.Tai san c6 dinh him hinh 221 9 10.162.057.840 10.513.183.269 - Nguyen gici 222 15.214.979.249 14.953.671.007 - Gia Mi hao mon luji ki 223 (5.052.921.4 9 9) (4.440.487.738) 2. Tai san c6 dinh vo hinh 227 6.914.912.781 1.246.867.596 - Nguyen gici 228 7.948.133.430 1.925.250.830 - Gici tri hao mOn 11071d 229 (1.033.220.629) (678.383.234) 3. Chi phi xay dung co. ban der dang 230 468.905.000 5.997.936.000

H. CAc khoan dint t• tai chinh dal hull 250 10 - 48.232.100.000 1.Dau t• dai han khac 258 - 51.714.600.000 2. Dv phOng giam gia dau hr tai chinh dai han 259 - (3.482.500.000)

HI. TM san dai kin khac 260 2.396.814.294 2.396.814.294 1.Ti'n Op Quy- h6 tro thanh toan 263 880.817.6/ 4 880.817.684 2. Tai san dai han khac 268 1.515.996.6: 0 1.515.996.610

7".

TONG CONG TAI SAN (270=100+200) 270 1.165.755.021.664 1.085.825.279.225

Ccic thuyet minh tin trang 7 clin trang 17 la bd phdn hop thanh cita boo cao tai chinh

1.853.521.730.0( 0 1.803.319.640.0(0

8.032.100.0(10

1.795.179.740.0( 0

107.800.0t 0

50.202.090.000 50.202.090.0(0

1.696.867.730.000 1.696.867.730.000

/.373. 720.000

1.695.494.010.000

g Huy 'Ding Giant doc

Ha N0i, ngay 28 thang 4 nam 2010

CONG TY CO PHAN CHUNG KHOAN DAU Kill St) 20 NO QuySn, quan Hoan KiSm Ha NSi, CHXHCN ViSt Nam

Bao cao tai chinh Cho lcy hog d(ing ter ngay 01 thang 01 tam 2010

den ngay 31 thang 03 nam 2010

BANG CAN DOI ICE TOAN (Tie') theo) Tai ngay 31 thang 03 nam 2010

MAU SO B 01-CTCK Don vi: VND

NGUON VON 31/03/2010 Thuyet

MA A minh 31/12/2009

A - NQ PHAI TRA (300=310) I. No. ngAn flan 1. Vay va nq ngin han 2. Phai tra nothi ban 3. Nguai mua tra tiSn tr•ac 4. Thus va cac khoan phai nop Nha nuac 5. Phai tra nguai lao dOng 6. Chi phi phai tra 7. Phai tra hat d(ing giao dich chimg khan 8. Phai tra h0 ob." tire, g6c va lai trai phi'eu 9. Cac khoan phai tra, phai nSp ngan han khac

B - NGUON VON (400=410+430)

I. VOn chu so. him 1. V fon diSu IS 2. Thong du. von c6 phan 3. Quy du• phong tai chinh 4. Loi nhuan sau thuS chua phan phSi

II. Quy khen tht•omg, phac loi

300 733.021.171.323 664.460.348.566 310

733.021.171.323 664.460.348.566 311

300.000.000.000 312

497.475. )00 45.275.000 313

375.706.045 265.706.645 314 11

4.313.000.338 286.233.615 315

1.893.636.951 5.835.943.488 316

4.702.819.431 19.101.907.076 320

176.213.387.061 195.396.879.823 321

9.360.119.70 6.390.215.213 328 12

535.665.026. 27 137.138.187.706

400 13 432.733.850.341 421.364.930.659 410 431.326.450.241 421.789.278.577 411 397.250.000.( 00 397.250.000.000 412 22.000.000.( 00 22.000.000.000 418 257.656.:62 257.656.762 420 11.818.793.5.79 2.281.621.815

430 1.407.400.( 00 (424.347.918)

TONG CONG NGUON VON (440=300+400) 440 1.165.755.021.E64 1.085.825.279.225

CAC CHI TIEU NGOAI BANG CAN DOI KE TOAN

MA s6 31/03/2010

VND 31/12/2009

VND

1. Chfing khoan hru k5 1.1. Chang khoan giao dich 1.1.1. Chung khoan giao dich Mkt thanh vien hru 10,

1.1.2. Cluing khoan giao d/ch cua khach hang trong fluor

1.1.3. Cluing khoan giao dich ctia khach hang nubs ngobi

1.2. Chimg khoan tam ngimg giao dich 1.2.1. Cluing kho6n tam ngetng giao dich cita khach hang trong mak

006 007 008

009

010

012 013

2. Chtrng khan hru 14 ding ty dal cluing chua niem y4t 050 34.679.650.000

Nguyen Van Nhilem KO tan trt•O•ng

Cac thuyAt minh ter trang 7 an trang 17 161)0 phan hop thanh cita boo cao tai chinh

01 01.1 01.2 01.5 01.6 01.7 01.9

02

10

11 14

20

25

30

31

32

40

50

51 15

60

70

40.207.219.128 8.098.4 76.669 1.683.436.710

511.175.362 470.915.432

29.443.1 A.955

40.207.219.128

15.802.5 74.545

24.404.674.583

9.568.453.773

14.836.210.810

14.836.210.810

3.374.6)1.128

11.461.519.682

289

5.959.852.686 458.083.870

1.408.020.400

89.750.792 1.929.000

4.002.068.624

5.959.852.686

835.193.748

5.124.658.938

4.972.906.449

151.752.489

153.893.008

153.893.008

305.645.497

305.645.497

11

Nguyen VAn Nhiem Ke toar tru•fmg

ang Huy Tiing Giam &lc

Ha N0i, ngay 28 thong 4 nam 2010

CONG TY CO PHAN CHUNG KHOAN DAU Kill s6 20 NO Quy"'n, quart 14oan Kim Ha N '6i, CHXHCN Vi6st Nam

Ban coo thi chinh Chokyhootdingtrngay01 thong 01 nam 2010

den ngay 31 thong 03 nam 2010

BAO CAO KET QUA HO ,AT DQNG KIN! DOANH Cho ky hoar (icing tir ngby 01 thong 01 nam 2010 adn ngery 31 thong 03 nam 2010

MAU SO B 02-CTCK Don vi: VND

CHI TIEU MA Thuyet Ti• 01/01/2010 TA. 01/01/2009 so minh den 31/03/2010 den 31/03/2009

1. Doanh thu hoot dOng kinh doanh khoan Doanh thu m6i gi6i chi:mg khoan cho ngtrbi dau ttr Doanh thu hog d'Ong dau ttr chtIng khoan, gip von Doanh thu hog Ong tu. van Doanh thu km 14 chi:mg khoan Doanh thu hoat dOng fly thac du gia Doanh thu khac

2. Cac khoan giam trig doanh thu

3. Doanh thu thuAn ye hoot do, ng kinh doanh

4. Chi phi hog dOng kinh doanh

5. Loll nhuan gqp mia hoot dOng kinh doanh (20=10-11)

6. Chi phi quan ly doanh nghiep

7. Loi nhuan thuAn ti• hoot Ong kinh doanh (30=20-25)

8. Thu nhap khac

9. Chi phi khac

10. Lo• nhuan khac (40=31-32)

11. Tong loi nhuan ke toan trunk thud (50=30+40)

12. Thue thu nhap doanh nghiep phai nip

13. Lcri nhuan sau thud thu nhtlp doanh nghiep (60=50-51)

14. LAi cif ban tren co phidu

Cac May& minh tir trang 7 clen trang 171a bO' phan hop thanh cua boo coo tai chinh

Ma so A Tir 01/01/2010 din Tir 01/01/2009 din 31/03/2010 31/03/2009

01 14.836.210.810

967.271.136 (752.352.830)

(10.983.140.514)

4.067.98E .602

38.007.572.505 (104.741.415)

378.116.917.142 (285.763.876.320)

(2.416.549.)99)

(92.600.300)

131.814.710.515

21 (286.254.392) 27 1.332.336.300 30 1.046.081.108

305.645.497

02 03 05 06

08

09 10

11 12 13 14 16

20

606.980.832 23.579.161.980

(20.053.410.331) (578.023.731) /

3.860.354.247

(18.542.074.283) 145.284.616

170.146.498.072 (140.570.032.792)

(354.737.726) 1.611.988.035

(50.937.332.867)

(34.640.052.698)

(310.722.395) 199.993.400

(110.728.995)

g Huy Tong Giam doe

Ha MX, ngay 28 thang 4 nam 2010

(300.000.000. )00)

(300.000.000.800)

(167.139.208.177)

337.412.062.234

170.272.854. (57

(34.750.781.693)

131.212.033.916

96.461.252.223

34

40

50

60

70

Nguyen VAn NhiOni Ke toan &•in

CONG TY CO PHAN CHUNG KHOAN DAU ICH' So 20 NO Quytn, quan Hoan Mani Ha NOi, CHXHCN Viat Nam

Bac) cao tai chinh Cho kje hog Ong tir ngay 01 thong 01 nam 2010

ddn ngay 31 thong 03 nam 2010

SAO CAO CHUYEN TIEN TE Cho 10 hoot clOng tit ngay 01 lining 01 nam 2010 din ngay 31 thong 03 nam 2010

MAU SO B 03-CTCK Dan vi: VND

CHI TIEU

I. LIM CHUYEN TIEN TU HOAT BONG KINH DOANH

1. Loi nhua'n &L•ov thud

2. Dieu chinh cho cac khoan: Khau hao tai san c6 dinh Cac khoan du phang (La) Ur hog dOng dau tu .

Chi phi I'M vay

3. Lcol nhuAn ti• hoot dung kinh doanh tru*c thay doi von lull Ong

Giam/(tang) cac khoan phai thu (Tang)/giam hang ton kho Giam cac khoan phai tra kd Iai vay phai tra, thud TNDN phai Op) (Tang)/ giam chi phi tra truhc va tai san ngan han khdc Tidn lai vay da tra Thud thu nhap doanh nghiap da nOp Tidn chi khac cho boat dOng kinh doanh

Lu.0 chuyin lien thuhn lir hogt Ong kinh doanh

II. LUU CHUYEN TIEN TU HOAT BONG DAU TU

1. Tidn chi de mua sam, xay dtmg TSCD va cac tai san dai han khac 2. Tidn thu lai cho vay, c6 tirc va Iqi nhuan &roc chia

Lim chuyin tidn thain tir holm &Ong dau tu.

HI. LU'U CHUYEN TIEN TU. HOAT BONG TAI CHINH

1. Tidn chi tra not g6c vay

Luu chuyin lien thwin holm Ong ad chink

Ltru chuyin tien thuAn trong ky (50=20+30+40)

Tien va cac khoin twang (twang tien ton dAu ky

Tien va cac khoan twang duong tien cutli ky (70=50+60)

Cele thuy& minh tit trang 7 din trang 17 la 60 phOn hap thanh ctia bozo cao tat chinh