CONG TY CO PHANCHUNG KHoAN HOA BiNH

CQNG HOA XA HQI CHU NGHiA VI-'::T NAMDQc I~p _ TV do _ Hanh phuc

S6: 03IBC-HDQTHa N(ji, ngay 20 thang 01 nam 2017

BAo cAo TINH HINH QUAN TRJCONG TY CO PHAN CHUNG KHoAN HOA BINH

(Nam 2016)

Kinh gfri: Uy Ban Chung Khoan Nha NlfC)'CSir Giao Djch Chung Khoan Ha NQiSir Giao Djch Chung Khoan Tp. HAChi Minh

Ten Cong ty: Cong ty ce phan Chung khoan Hoa Binh- Dja chi tru so' chinh: T§.ng 7+9, Toa nha 46-48 ph6 Ba Trieu, phuong Hang Bai, quan

Hoan Kiem, Ha N9i,

- Di~n thoai: 04 39368866 Fax: 04 39368665 Email: Hbs_ho@hbse.com.vn

V6n di~u I~: 329,999.980,000 d6ng

Ma chtrng khoan: HBS

Llfoat dQng ciia D~i HQiDAng c6 Dong:

s6 NghjSTT quy~t/Quy~t Ngay NQidung

dinh

I 01INQ-DHDCD 20104/2016 Thong qua cac van de thuong nien cua Dai h9i codong

II. HQiDAng Quan Trj

1. ThOng tin v~ thanh vien HQiDAngQuan Tr]'--.

~gity b~t sa bu8iSTT Thanh vien HDQT Chtrc vu dau /khong

hop tham Ty I~ Ly do khOng tham d\l'con lit thanhvien HDQT d\l'

1 Ba Nguyen Thi Loan Chu tich HDQT 4/4 100%

4 Ong Tr~n Anh Quan Uy vien HDQT 4/4 100%

6 Ong Tr~n Kien Cuang Uy Vien HDQT 4/4 100%

7Ong Nguyen Quoc Uy Vien HDQT 3/4 75%

Cuong

Ba Mai Th! HangUy Vien HDQT 3/4 75% Giai quyet viec rieng cua

8 gia dinh

2. Hoar dQng giam sat cua HDQT d6i vo; Ban Giam d6c:

CM rich HDQT da chu tri cac cuoc hop cua HDQT, d6ng thai thay m~t cac thanh vienHDQT tham du' cac cuoc hop voi Ban T6ng Giam d6c, cac Truong phong chirc nang cua cong tyd~ nghe bao cao tinh hinh hoat dong kinh doanh, d6ng thai c6 nhfrng y kien chi dao true ti~p taicac cuoc hop.

Ben canh do, Chu tich HDQT cling thuong xuyen thong bao cho cac thanh vien HDQTbing van ban, dien thoai, email v~ tinh hinh heat dQng cua cong ty d~ thong nhAt y kien chi daova ra cac quyet dinh. Nam 2016 HDQT da t~p trung chu trong chi dao sat sao va don d6c ho~tdQng cua Ban T6ng Giam D6c trong cac ho~t dQng chu y~u sau:

'* T6 chu·c D~i hQi d6ng c6 dong thuong nien 2016 vao ngay 20104/2016 thanh cong t6t d~p.

"* Chi d~o chufrn bi k~ ho~ch tri~n khai soat xet BCTC 6 thang dAu nam v6·i dan vi dAu m6i laPhong Tai chfnh - K~ toano

... T6ng k~t nam 2016

3. HOl;itdQng cna cac ti~u ban thuQc HQi dAng quan tri: (Khong c6)

4.Cac Nghi quy~t, Quy~t dinh cna HQi DAng Quan Tri

s6 NghiSTT quy~t/Quy~t Ngay NQi dung

dinh

1 OI/QD-HBS 20101/2016 Giao chi tieu kinh doanh quy I nam 2016.

- Bao cao tong ket cong tac to chuc DHCD

2 02/HBS-25/05/2016

thuang nien 2016NQHDQT - ChuAn bi k~ ho~ch soat xet BCTC 6 thang

dAunam 2016

- Thong qua bao cao soat xet ban nien va ket'") 03/HBS-

25/08/2016 qua kinh doanh toan cong ty nu·a dAunam.)

NQHDQT 2016

404/HBS- Thong qua k~t qua kinh doanh quy 3 nam25/10/2016 -NQHDQT 2016

2

- Chi dao trien khai ke hoach tong ket cuoinam

III. Ban Ki~m Soat

1. Thong Tin v~ thanh vien Ban ki~m soat

Thanh Ngay blit dAu So buoiSTT vien Chirc v\I /khong con la hop BKS Ty I~ Ly do khong tham dlf

BKS thanh vien BKS tham dlf

Nguyen

1 Thj Truong Ban 4/4 100%Thanh Kiern SoatLan

Dao Thj Thanh vien2 Ban Kiem 4/4 100%

Thorn Soat

Pham Thanh vien3 Ban Kiem 4/4 100%

Thj Sen Soat

2. Ho~t dQng giam sat ella Ban Ki~m Soat dBi VOl HDQT, Ban Giam DBcDi~u Hanh va cADong

BKS danh gia: Hoi d6ng quan tri da trien khai thuc hien Ngh] quyet Dai h<)ic6 dong nam2016, HDQT da quan ly, chi dao cac hoat d<)ngthea dung phap luat, di€u 1~t6 chirc va hoat dongella Cong ty, ngh] quyet ella Dai hoi d6ng e6 dong d€ ra nam 2016. Ban t6ng giam d6e da di€uhanh eong ty tuan thll Nghj quy€t ella d~i h<)id6ng e6 dong va Nghj quy€t ella H<)id6ng quan trjdung vai eh(l'e nang, nhi~m vt.I va quy€n h~n ella T6ng giam d6e. Trong nam 2016, HDQT vaBan di~u hanh da d~t dU'Q'ek€t qua nhu sau:

- T6 chu'c thanh eong D~i h<)id6ng e6 dong thuong nien 2016

- Ch i d~o tri€n khai hoan thanh k€ ho~eh d€ ra eho nam 2016

- Chi d~o tri€n khai k€ ho~eh eong tae soM xet Bao eao tai ehinh 6 thang d~u nam va Baoeao tai ehfnh ki€m toan nam 2016.

Cong ty da eh~p hanh d~y dll va nghiem We quy djnh ella Phap lu~t, UBCKNN, So' giao djehehu'ng khoal1 v€ eong be, thong tin ella T6 ehue niem y€t, Cong ty chUng khoan

3

3. S., phtH hQ'P hoat dl)Dg gifra Ban Ki~m Soat dBi vo; hoat dl)ng ciia HDQT, Ban Giam DBc

Di~u hanh va cac bl) ph~n quan Iy khac

. Trang nam 2016, BKS ducc eung dp d~y du thong tin v~ cac quyet djnh cua HQi d6ng quantri, Ban di~u hanh; d6ng thai nhan ducc SI), h6 tro va tao di~u kien thuan loi d~ phuc VI,I ehoe6ng tac kiern tra, giarn sat cua minh.

HDQT va BKS lu6n e6 su trao d6i thong tin trong cac vlin d~ lien quan d€n dinh huang cuaHBS, bam sat nhiem VI,I duoc giao d~ hoan thanh t6t.

Tu nhirng y ki€n dong g6p cua BKS, Ban di~u hanh va cac phong ban chirc nang nghiem tucthuc hien nham nang eao hon ntra hieu qua e6ng tac quan ly va k€t qua kinh doanh toan Cong ty.

4. Hoat dl)Dgkhac ciia BaDKi~m Soat: Khong co

IV. Dao t~o v~ qUaDtrj CODgty :

Cae khoa dao t<:10v~ quan tri C6ng ty rna cae thanh vien HDQT, thanh vien BKS, T6ng giam d6edi~u hanh, cae can bQ qufm Iy khae va Thu ky C6ng ty da tham gia thea quy dinh v~ quan trjC6ng ty : Kh6ng e6

4

V. Danh sach v~ ngm'ri co lien quan cua cfmg ty niem y~t tbeo quy djnh t~i khoan 34di~ll 6 lu~t chung khoan va giao djch ciia nguoi co lien quan toi cong ty

1.Danh sach nguoi co lien quan cua Cong ty vOi chinh cong ty

ST Ten t6 chtrc TK Clnrc vu s6 Dia Thm Tbm Ly doT Ica nhan giao t~i Cong giAy chi di~m b~t di~m

djch ty NSHI lien dAula khongchung N,ay h~ nguoi co con lakhoan cap, lien quan nguot(N~u noi co lienco) cAp quan

1 Nguyen Th] Chu tichLoan HDQT

2 Tran Anh Quan TVHDQT3 Tnln Kien TVHDQT,

Cuong QuyenTGD

4 Nguyen Quae TVHDQTCuong

5 Mai Thi Hang TVHDQT6 Pharn Hong Ph6TGD

Vuong7 Nguyen Ha Ph6TGD

Hili Nhu8 Nguy~n Thi Truong

Thanh Lan BKS9 Dao Thi Thorn TVBKS10 P1WtnThj Sen TVBKSII Nguyen Ngoc KIT

Dung

2. Giao djch gifra Cong ty vOi Ngum co lien quan cua Cong ty, ho~c gifra Cong ty vOi cbdong 10'n, c6 dong nQi bQ, ngum co lien quan ciia ngum nQi bi} : Khong co

3. Giao djch gifra nguo-i ni}i bi} cong ty niern y~t, ngum co lien quan ciia ngum ni}i bi}vOi cong ty con, cong ty do cong ty niem y~t n~m quy~n ki~m soat: khong co

4. Giao dich gifra Cong ty vo-i cac d6i tm;mg khac : khong co

5

IV. Giao djch cB phieu cua ngmYi ni}i bi}va nguoi lien quan vo'i ngm)i ni}i bi}

1. Danh sach ngU'oi ni}i bi}va nguot co lien quan cua ngU'o; ni}i bi}

STT TEN co Gi6'i Loai cB Quan CMTIHC/DKKD Chirc Ngay Taikhoan SL cB Dia chi Di~n Fax Qu6cDONG tinh dong h~ vo; Lo~i So N~ay Noi Vl} dU'Q'c S6 Ngay phieu thoai tich

I- b6CDNB dip cap mo' namnhiern gifr

1 Nguy~n Nfr CDNB CMT CTH S652, Vi~tTh] Loan DQT, nha 6, Nam

TGD TTNam

;I.Dong,D6ngDa,HaNoi

1.1 Nguyen Nam NCLQ B6 CMT TTDit Vi~tQuoc Vi~t Bac, Dit Nam

B~c,HoaBinh

1.2 Pharn Thi Nu' NCLQ M€t CMT TTDit Vi~tQue B~c, Dit Nam

B~c,HoaBinh

1.3 Nguyen Ncr NCLQ Chi CMT TTDit Vi~tThi Lien B~c, Dit Nam

B~c,HoaBinh

1.4 Nguyen Nam NCLQ Anh CMT TTDit Vi~t

6

Quoc Dire sac, Da NamBac,HoaSinh

1.5 Le Van Nam NCLQ Chong Vi~tSinh (da Nam

mit)1.6 r.e Xwln Nam NCLQ Con CMT SN 16, Vi~t

Tung r.e 6 NamTrungYen 12,TrungHoa,Cc1uGi&y,HaN(>i

1.7 t.e Dinh Nam NCLQ Con Chua SN 16, Vi~tDuong co Lo 6 Nam

TrungYen 12,TrungHoa,CauGiay,HaN(>i

2 Trin Nam Uy CMT 28/04/ 373, Vi~tKien vien 2014, Bach NamCuong HDQT, 25/05/ D~ng,

Q.TGD 2015 HoanKi~m,HaNoi

2.1 Tnln Van Nam NCLQ Bo CMT Hung Vi~tDon Yen Nam

2.2 D6 Thi Nu' NCLQ My CMT Hung Vi~tBinh Yen Nam

7

....I ..'_ .,-_.- r"'"\ \.'

2.3 Tran Minh Nam NCLQ Anh CMT HaNQi Vi~tDuc Nam

2.4 Tran Nam NCLQ Anh CMT Hung VietPhuong Yen NamDong

2.5 Phan Tien Ncr NCLQ VQ' CMT HaNQi Vi~tDung Nam

2.6 Tran Ngoc Nil NCLQ Con Chua Ha NQi Vi~tLinh c6 Nam

2.7 Tran Linh Ncr NCLQ Con Chua HaNQi Vi~tChi c6 Nam

2.8 Tran Nam NCLQ Con Chua HaNQi Vi~tThi~n c6 NamMinh

3 Mai Thi Nfr UVHD CMT HilNQi VNHing QT

4 Tran Anh Nam UVHD CMT HaNQi VNQuan QTTnln Tien Nam NCLQ Bo DaB9i matNguyen Ncr My BaThi Kim matBimNguyen xo NCLQ Chi Cong VNKim tyNgan TNHH

AccorAdvantagePlus

Le Vi~t Ncr NCLQ Vq Cong VNNga ty

CPTM

8

Vi~tHung

Tr~nBao Nam NCLQ Can Con VNAn nh6

Nfl' NCLQ Can Con VNTr~n Bao nh6Quyen

5 Nguy~n Nam UVHD CMT 260 VNQu6c QT NghiCmrng Tam,

TayH6,HaN<)i

Nguyen Nam NCLQ Bo CMT 260 Vi~tTi€n Hung Nghi Nam

Tam,TayHf;, HaNoi

Dao Thi Nfl' NCLQ MJ;: CMT 260 Vi~tBinh Nghi Nam

Tam,TayH6, HaNQi

Nguyen Nam NCLQ Em CMT 260 Vi~tQuoc Nghi NamDung Tam,

TayH6,HaN<)i

Ng6 VQ"Phuong

9

AnhNguyen Con

INh~t MinhNguyen ConBao Han

6 Nguy~n Nfr CDNB CMT Ph6 10El, Vi~tHi! Hili TBng T~p NamNhU' Giam th~

D6c VanChurrng,PhU'<rng VanChU'O'ng,Qu~nD6ngDa,HaNoi

6.1 Nguyen Nam Bo CMT SN01, Vi~tNam Ng52, NamChinh Duong

XuanDieu,Tp.HaDnh

6.2 Tran Thj M~ CMT SN 01, Vi~tThai Hoa Ng52, Nam

DuongXuanDieu,Tp.HaDnh

6.3 Tran Thj Nfr Em CMT P304 Vi~tHai Van 03, Nam

10

T~p theTrungT1;J',HaN9i

6.4 Nguyen Nam Em CMT P301, Vi~tTnln Lam EI Van NamPhuo-c Chuon

g, £)6ng£)a,HaN9i

6.5 Nguyen Chong CMT P402 Vi~tXuan EI T~p NamTn;mg th~ Van

Chuong, HaN9i

6.6 Nguyen Nam Con P402 Vi~tDuc Kien El T~p Nam

th~ VanChirong,HaN9i

6.7 Nguyen P402 Vi~tDire Duy EI T~p Nam

th~ VanChuong, HaN9i

7 Pham Nam CDNB CMT Ph6 P303 Vi~tHAng T6ng Nha NamVuong Giam 176

Dbc PhlfO'ng Li~t,PhlfO'llg Iiet,

11

Q.Thanhxuan,TP.Hani)i

7.1 Pham Huy Nam NCLQ 86 CMT P303Hung Nha

176PhuongLiet,Phuongli~t,Q.Thanhxuan,TP.Han(li

7.2 Vii Thj Nii' NCLQ My CMT P303Tam Nha

176PhuangLiet,Phuangli~t,Q.Thanhxuan,TP.Han(li

12

703 PharnVan Nam NCLQ Em trai CMT P303Th~ Nha

176PhuongLi~t,Phuongliet,QoThanhxuan,TPoHan<)i

7.4 Nguyen Nil NCLQ Vg CMT P303ThjThanh NhaLoan 176

PhuongLiet,Phuongliet,QoThanhxuan,TPoHan<)i

70S Pham Huy Nam NCLQ Con Chua P303ChiDung co Nha

176PhuongLi~t,Phuongliet,QoThanh

13

xuan,TP.HAnQi

7.6 PharnTh] Ncr NCLQ Can Chua P303Khanh Vy co NhA

176PhuongLiet,Phuongliet,Q.Thanhxuan,TP.HAnQi

8. Nguy~n Nil CDNB CMT KTT 29 ViftNgQc Quang NamDung Trung,

HoanKi~m,HaNoi

8.1 Nguyen Nam NCLQ B6 CMT 29 Vi~tDinh rue Quang Nam

Trung,HmlnKiem,HaNQi

8.2 MaiThi Nit NCLQ My CMT 29 Vi~tNhir Ngoc Quang Nam

Trung,HoAnKi~m,

14

Ha N<)i8.3 Nguyen Ncr NCLQ Em CMT 29 Vi~t

Quynh Quang NamMai Trung,

HoanKiern,Ha N<)i

8.4 Nguy€n Nam NCLQ Chong CMT 29 Vi~tTi~n Minh Quang Nam

Trung,HoanKi~m,HaN<)i

8.5 Nguy€n Nfl' NCLQ Con Chua 29 Vi~tMai Linh co Quang Nam

Trung,HoanKi~m,HaN<)i

8.6 Nguyen Nil' NCLQ Con Chua 29 Vi~tMinh co Quang NamHAng Trung,

HoanKiern,HaN<)i

9. Nguy~n Nfr CDNB CMT TBK S617, Vi~tThi S Ngo NamThanh 124/64Lan Au c«,

TayH6,HaNoi

9.1 Nguyen Nam NCLQ Bo CMT 135 r.e Vi~tTh~ Trong DuAn, Nam

Hoan15

Kiem,HaNQi

9.2 Tran Thi Nfr NCLQ M~ CMT 135 Le Vi~tKha Duan, Nam

HoanKiern,Ha NQi

9.3 Nguyen Nam NCLQ Anh CMT 135 Le Vi~tThS Trung Duan, Nam

HoanKiSm,HaNQi

9.4 Nguyen Nam NCLQ Anh CMT 135 t.e Vi~tThS Duan, NamCuong Hoan

KiSm,HaNQi

9.5 Nguyen Nam NCLQ Anh CMT 135 t.e Vi~tTh6 Manh Duan, Nam

HoanKi6m,HaNQi

9.6 Nguyen Nam NCLQ Chong CMT So 17, Vi~tTrung Ng5 NamThanh 124/64

Au Co,TayH6,HaNQi

9.7 Nguy€n Nam NCLQ Con Chua So 17, Vi~tDuc Ti6n co Ng5 Nam

124/64Au Co,TayH6, Ha

16

NQi9.8 NguySn Ncr NCLQ Con Chua So 17, Vi~t

HaLinh c6 Ng5 Nam124/64Au CO',H.yH6, HaNQi

10. Pham Th] Nfr CDNB CMT TV- 03/04/ 304, Vi~tSen BKS 2013 All, Nam

NghiaTan,C~uGi§y,HaNoi

10.1 Vf NgQC Nam NCLQ Chong CMT 304, Vi~tTrinh All, Nam

NghiaTan,CauGiay,HaNQi

10.2 ve Tien Nam NCLQ Con Chua 304, Vi~tD<;lt c6 All, Nam

NghiaTan,cAuGiAy,HaNQi

10.3 vu Tien Nam NCLQ Con Chua 304, Vi~tDang c6 All, Nam

NghiaTan,cAuGiay,

17

HaNQi11. DilO Thj Nfr CDNB CMT TV- 03/041 Nhan Vi~t

ThO'm BKS 2013 Thanh, NamYenThanh,Ngh~An

11.1 Nguyen Nam NCLQ Chong CMT Nhan Vi~tDuy Giap Thanh, Nam

YenThanh,Ngh~An

18 Tong So 18, Vi~tCong ty Ly NamDu lich Ha ThuongNQi Ki~t,

HoanKiem,HaNQi

19 Tong 34Hai Vi~tCong ty Ba NamBAu Tu va Trung,Phat trien HoanNhaHa Kiern,NQi HaNQi

18

2. Giao djch ella ngm)i nQi bQ va ngutri eo lien quan d6i voi e6 phi~u ella cong ty

niern y~t:

Khong c6

VII. Cac vAnd~ dn hru y khac: Khong c6.

Thoi gian qua, HDQT da thuc hien nghiern tuc noi dung Nghj quyet cua Dai HQi D6ng

C6 dong, h6 tro t6t Ban Giam d6c trong qua trinh hoat dQng cua Cong ty va k~t qua kinh

doanh cua HBS luon luon c6 nhirng dong gop nhat dinh cua HDQT.

Tren day la nQi dung bao cao co' ban cac hoat dQng cua HDQT Cong ty C6 phan Chung

khoan Hoa Blnh nam 2016. HDQT Cong ty se n6 lire hon ntra trong cong tac quan tr] cling

nhu hoat dong giam sat di€u hanh d~ HBS khang dinh hon ntra thuong hieu cua mot cong ty

chung khoan chuyen nghiep.

Kinh bao!

Noi nhq.n:- Nhu tren;- Ltnt: HBS

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