CONG TV CO PHAN CHUNG KHOAN DAu TV' VJ~T NAM

BAo cAo THUONG NIEN

NAM 2014

2. Qua trinh hinh tlumlt va pluit tdin

Cong ty cb phan Chung khoan D~u tu Viet Nam tnroc la Cong ty C5 phan Cherng khoan VNSdiroc thanh lap vao ngay 28 thang 08 nam 2007 tai Quyet dinh s6 69/UBCK-GPHDKD do Uyban Cherng khoan Nha nuoc cap.

Quyet dinh s6 311 IQD-SGDHN ngay 30106/20 II cua Sa Giao dich Chung khoan Ha NQi v~viec chap thuan niern y~t cb phieu CTCP Chung khoan VNS (nay la CTCP Cherng khoan 8Aunr Viet Narn) voi m3 cb phieu IVS.

Thong bao s6 551/TB-SGDHN ngay 25/07/2011 cua Sa Giao dich Cherng khoan Ha NQi \ ~viec ngay giao dich o~u tien cb phieu niem y~t cua Cong ty cb phan Cherng khoan VN. , cophieu cua Cong ty chinh thtrc diroc giao dich tai san HNX nr ngay 0110820 II.

Gi~y phep oi~u chinh s6 54/GPDC-UBCK do UBCK Nha nuoc cap nga, 2 09 :2011. Cong [,obi ten tir CTCP Chung khoan VNS thanh Cong ty ce phan Chung khoan D~u nr Vi ~t '\'am.

3. Nganh ngh~ va dia ban kinh doanh

- ganh nghe kinh doanh: Cong ty tlnrc hien cac nghiep vu kinh doanh sau:

1. Mo: gioi chung khoan.

2. Tu van d~u tu chirng khoan.

3. TV doanh chimg khoan.

4. Luu ky chimg khoan.

- Dia ban kinh doanh: HQi sa chinh: Ha NQi va Chi nhanh: H6 Chi Minh.

4. Thong tin v~ mo hinh quan tri, ta clurc kinh doanlt va b(Jmay qutin ~v- Mo hinh qulin tri:

Cong ty duoc tb chirc theo mo hinh cong ty cb phan, dung o~u la Dai ho: D6ng co dong: Bankiem soat, HQi dong qulin tri; Ban giam o6c dirng O~ll la Tbng giarn doc, cac Ph6 T5ng giamo6c va cac phong ban nghiep vu:

CONG TV CO PHA2014

8AU TU' vier AM -IVS

I. THONG TIN CHUNG

1. Thong tin khtii quat

• Ten, giao dich : Cong ty cb ph~n Chung khoan D~u tu Viet Nam• Giay CN£)KKD s6 : Gi~y phep di~u chinh s6 54/GPDC -lJRCK do llRCK Nha nuoc

cap ngay 27/09/2011, Cong ty d5i ten nr CTCP Cherng khoan VNS thanh Cong ty C6phan Cherng khoan D~u tu Viet Nam

• V6n dieu I~ : 161.000.000.000d• V6n o~u tu cua CSH : 161.000.000.000d• Dia chi• se dien thoai• se fax• Website• M3 c6 phieu

: Tang I toa nha VCCI, s6 9 Bao Duy Anh, D6ng Da, Ha NQi.: 04.35730073: 04.35730088: www.ivs.vnlwww.ivs.com.vn: rvs

,: '; ~ ~ " .• r II; ~~~~

~. : • ~I

'I'

BAO cAo TIIlJ'{)'NG N1f:N 2() 14C()N(j I Y CO PIIAN ClIl'J'N(, ""()AN i)AU 'Il)' VII;T NAM -IVS--~~~~~~~~~~~-~'~-~--~--~-~""~~~~~~--

[,Pholl,gTlr \'iill

'.-.,y~_.~J

PhongTCKT

PhollgPT&DT

~

Pho~:~llKSN;!P//C i

I

ILD/~I H<)I DONG CO DONG

-=-'::: __ ====::::'~::::"-:::::=7.::::;:::::-,,::;::=--::::""::::-,,:::::::.,-

.::::::::.:::::=:::=::::::==--== ::;:=:=:~::::::: :::: ::::::- ::;1

11<)1DONG QUAN TR!

1'-='-

[ BAN TONG GIAM ooc

TI,

Cong ngh~

y

E~s::J

r=~-'II Phungi HCQT

Iil ;ll__ =: ;;...}

BQ ph~nQTRR

Phbng (; I)

PhongNhan St.J'Khf.i KD

Cac PhongKD

CacChi nhan

PhilngDVTC

BAO cAO TRUONG NIEN 2014CONG TY CO PHAN CHUNG KHOAN f)AU TU' YfI;:T NAM -IVS

5. Dinh lurong pluit trien

- Cac muc tieu nam 2015

+ Tap trung phat tri~n hoar dong moi gioi va cac san pham ticn ich:

+ Phat tri~n khach hang t6 chirc va ca nhan nurrc ngoai

+ Nang cao ti~m lV'Ctai chinh;

+ Hien dai h6a co sa ha tang, cong nghe thong tin;

+ Thuc hien c:t~y du nguyen tac ki~m scat va quan tri rui roo

- Chien luoc phat trien trung va dai h<;111:

+ Tro thanh Cong ty Chung khoan hang c:t~uViet Nam.

+ M6 rong va phat trien mang luoi tren toan quoc va ra thi truong nuoc ngoai dac biet la khuVIlC Chau A.+ ChLI trong phat tri~n co sO' ha tang cong nghe thong tin. chuyen nghiep o<)i ngu can b<)nharn nang eao eh~t hrorig phuc V~1.

- Cac rnuc tieu c:t6i voi moi tnrong. xii hoi va cong dong CLIaCong Iy: Tharn g ia ,\it, dll'ng hinh anhCong ty van minh. lich sir: CBNV than thien hoa dong. Tham g ia cac chuong tri nh ling he) Ill' ihicn.giao due ... ; cac chuang trinh th~ thao. ca nhac cua nganh ...

c11t

Jf

6. Cac rui ro:

Trong nam 20 14 n~n kinh t~ Viet Nam n6i chung va thi truong chirng khoan n6i rieng co

nhi~u chuyen bien tieh cue. Chi s6 gia tieu dung giam, mat bing lili suat giarn, lam phat va ty gia

duoc ki~m scat, cac giai phap VI mo, tai du true n~n kinh t~ diroc tri~n khai dong be) va c6 hieu

quan d§n c:t~n thi tnrong chirng khoan ciing co nhfrng thay 06i kha quan. niflll tin cua nha dALI ur

oLl'Q'Cnang cao ...

Ti~p c:ta nam 2013, trong narn 2014 UBCK tiep tuc thuc hien quyet liet cac gia: phap o~ tai cau trL1C

thi truong, tai du true cac cong ty chirng khoan, danh gia ph an 10<;1icac cong ty chung khoan dua

vao dien theo doi, ki~m soat.

Ben canh do thi truong chung khoan nam 2014 cung oa trai qua nhirng phicn kho khClll nhu khi ell

su tranh chap 6 Bi~n Dong, gia d~u quoc t~ giam 111<;1l1h....

Danh gia lai mot each toan dien va ciing lam co sa cho dinh hurrng sjp t6i cua C6ng Iy. IVS

nhan thay nhirng rui ro co th~ anh huong den heat dong kinh doanh cua Cong ty nhu sau:

- Rui ro hoat dgng:

3

BAO cxo THUONG NIEN 2014co G TY co PHA CHU G KHOA DAU TU' VI~T NAM -IVS

Day la nhirng rui ro duoc sinh ra do cac nhan t6 nhir doi ngu nhan vien. he thong cong nghc cua

c6ng ty, cac tac dong khach quan khac. Rui ro nay bao gorn ca nhirng nguyen nhan khach quan d

nguyen nhan chu quan.

E>~han ch~ thap nhat rui ro nay IVS da: thirc hien day dLI cac nguyen tac \'~ k iern soar rui ro. quan ni

rui ro: c6ng nghe hien dai, ph§n mem giao dich tien tien co dQ an toan cao. dao [~O nang cao nghicp

V~Iva dao dire nghe nghiep cho CBNV, tuan thu nghiem cac quy trinh da: duoc ban h{1I1h Vi \ t\\

trong narn 2014 IVS da: kh6ng d~ xay ra rui ro nao nghiern trong.

- Rui ro tin dung:

La rui ro ma CTCK co kha nang kh6ng thu diroc no hoac khach hang khong time hicn ngh,;) \1I hnr"

dong.

Trong tinh hinh hien tai thi giao dich ky quy van duoc coi la I11Qtcong cu c,1I1h tranh va hl) tro cho

cuoc dua gianh thi phan moi gioi vi vay viec tuan thu quy trinh giao dich k)' quj'. C?P nhap danh

sach danh muc, theo doi va don d6c thu no la mot bien phap hiru hien d~ quan Iy rui ro nay.

Rui ro nay phat sinh la do C6ng ty cho phep khach hang sir dung don bay tai chinh cao ma chua dat

nang yeu cau quan tri rui ro cling nhu viec can d6i nguon ti~n thuc t~ d~ thanh IO~1I1,

Narn 2014 voi ti~m lire tai chinh cong them voi S1:l' tuan thu va than troug IVS darn bao "hClI1g ph.u

sinh rui ro v~ thanh toan, tai khoan cua khach hang diroc tao dieu k icn doi ta trong giao dich..

- Rui ro thanh roan:

86 la rui ro phat sinh trong qua trinh thanh roan va thu h6i c6ng no f)~ han che rui ro n8) ht'J phan

phap ch~ nghien ctru tLI' luc trien khai.hop dong. cac di~u khoan trong hop dong. di~u khoan thanh

toan. Phong k~ to an thuong xuyen don doc thu h6i cac khoan cong no da \~I sap dell hall ....

- Rui ro thanh khoan cua th] truong:

Khi thanh khoan cua thi truong bi~n dong b~t thuong va dQt ngQt se anh huong, d~n Cong ty chung

khoan dac biet la cac nghiep vu tv doanh, ky quy va cac dich vu h6 tro tai chinh khac.

Trong narn 2014 vira qua da: chirng ki~n SlJ bi~n dong tich cue cua thi tnrong do cac yeu t6 chinh tri:

tinh hinh a Bi~n Dong. cac y~u t6 th~ gioi: gia dau giarn.. .d~u anh huung kil()ng nho d~n CLiC cling

ty chung khoan.

Trong nam 2014 ciing chirng k ien S\J bung n6 CLIakh6i ngoai. W Ih;)l11 gia manh cua cac qll) d,111III

chi s6 ...

4

BAo cxo TRUONG NIEN 2014CONG TY CO PHAN CHUNG KHOA.N DAu TU' VI€:T NAM -IVS

C6 the thay rui ro thi twang la rui ro bi~n dong, khong loai bo hoan toan vi V~lYde k iem sout l~l rUI

ro nay [VS oil chu trong dao tao oQi ngu nhan sir phan tich chuyen nghiep \,6 phan tich. \0 du hao.

v~ danh gia .... nharn dua ra phuorig an phong ngira hieu qua.

- Rui ro tuan thu:

Rui ro nay tinh den khia canh phap Iy va nhimg van ban phap luat duoc ban hanh tren TTCK, Trong

qua trinh heat dong t~t ca cac CTCK can tuan thu nghiern ngat de tranh do \ cr h¢ th(\ng

Nam 20 14 r~t nhieu cac van ban phap lu~t co lien quan den hoar dong cua thi truorig chung khoan.

cac co quan quan Iy nhu UBCK. cac Sa. TTLK ... aa c6 nhirng buo: hoi thao. hU('l'ilg dall cho cue

cong ty chung kh6an Thanh vien. TLl'06 rvs cling aa cap nhat, chi dao den cac phoug ban. nhun \ icn

thuc hien.

II. TiNH HiNH HO~T DONG KINH DOANH TRONG NAM 201 .•

1. Tinh Itinh hoat t1f)ng siin xuat kinb doanh

Nam 2014 duoi su chi dao nh~t quan CLIa [-IQidong quan trio su' nh,l) hen CUll Bun gijlll dell'.

su n6 lire dong long cua tap th~ can bo ncn k~t thuc nam tai chinh ~O 14 IVS cia hoan thanh 1~~() ()kchoach 19'i nhuan narn.

T6m tat tinh hinh kinh doanh narn 2014 cua cong ty nhu sau:

'G·:lH

'K'J 1N

--

Nam 201 .•Tang tru'o'ng

Stt Chi tieu Nam 2013(1«. ) J--.-

1 Tong tai san 227,291,197,830 241.642.407.330 5.94% -J2 Von chu so hiru • 164,915,788,584 174,095.475.467 5.27% I" V6n dieu I~ 161,000,000,000 161,000,000,000 0% I-'4 Doanh thu thuan 26.585.172.671 35.X4X.402.176 25.84°1. I

5 L9'i nhuan truce thue 1,576,028.776 11.749.591.338:. 86.59°;. I

- --16 L9'i nhuan sau thue 1.153.319.921 9.179.686.XX3 I X7.-I-I°()

-- - 17 EPS (dong/co phieu) 72 570 87.-1-1°0

10.'813r - - ___l8 Gia tri so sach (dong) 10,243 5.27%

2. TJ clucc va nhiin str

2.1- Danh sach Ban oi~u hanh:

Ong Dean Ngoc Hoan

Ong Bui Quang Ky- Tong giam 06c

- Ph6 T6ng giarn doc k iem K0 toill1)rl.nJ;~g:. r ~ .:v~ ••• t ~I

5

BAO CAO THUONG NTEN 2014CONG TY CO PHAN CHU'NG KHOA DAU TU' VI€T NAM -IVS

+ Ong Dean Ngoc Hoan - T~ng giam d6c:

Ph6 twang phong K~ toano Truong phong Dien roan Ng<.inhang TMCP Chau A - Thai Binh Duong

* ILl' nam 2000 - T5/2007 Ph6 Truong Ban thong tin long hop."] nrong phong 1hClngtin va CNTH. Giam doc Trung tam Thong tin \8 eNTl1Cong ty Tai chinh D~u Khi PVFC

- HQ va ten:

- Gioi tinh:

- ChLI'C V~I hien tai:

- Ngay sinh:

- Dia chi thuong tru:

- sb CMND/H<) chi~u:

- Trinh 0<) van h6a:

- Trinh 0<) chuyen mon:

- Qua trinh cong tac:

* Tt.1'nam 1995 - 2000

Doan Ngoc Hoan

Nam

Ph6 Chu tich Hoi dong quan tri kiem Tbng Giam doc

19/0411974

19 Lo 6, f)TM Trung Yen. Trung Hoa. C~u Giay. Ha noi

012636462 Ngay cap 24/10/2003 oi cAp: C;\ 1-13N(li

12/12

Thac sy Kinh t~

('<,

* ILl' T6/2007 - nay Ph6 Chu tich Hf)QT kiem T6ng Giam doc Cong ty Co phanChung khoan f)~u tu Vi~t Nam

- se co phan hien dang n~m giir: 1.500,000 c6 phan

+ Ong Bui Quang K5' - Pho T~ng giarn d6c:

- HQ va ten:

- Giai tinh:

- Chirc vu hien tai:

- Ngay sinh:

- Dia chi thuorig tru:

- s6 CMND/H<) chi~u:

- Trinh d<) van h6a:

- Trinh 0<) chuyen men:

- Qua trinh cong tac:

* Tir nam T6/1998 - T12/2004

* Tu T 112005 - T 112007

Bt.li Quang Ky

am

Ph6 T6ng Giam dbc kiern K~ loan truong

02/0211972

Th~IY Duong, Thai Thuy, Thai Binh0150929871 Ngay cap: 18112/2009 No-i c~p CA Thai Binh

12/12

Cti nhan Kinh t~

Nhan vien K~ toan, K~ toan tnrong tir thang 912001 Cong l)

Hecnytransportion

K~ toan truong C6ng ty TNI-IH Thuong mai san xu§t thi t biva may tinh

6

BAO cAO TRUONG NIEN 2014CONG TY CO PHA.N CHUNG KHOA.N DA.U TU' VII;:T NAM -[VS

* TLrT 1/2007 - T 12/2009 Ph6 phong Phu trach Phong Tai ehfnh K~ roan. Ph6 phongPhap che va Ki~m scat noi bo kiern Quyen truong ban Ki0msoar NOi bO Cong ty cb phan chtrng khoan Baa Viet

K~ toan truong

Ph6 T6ng Giam d6e k iem K~ roan truong

Khong

* Tu TI/2010-T2/2011* Tu T3/20 II-nay

- S6 c6 phan hien dang nam giir:

2.2- Nhtrng thay dbi trong ban di~u hanh:

- S6 luong can bo, nhan vien.r

s6 Iirong nguoi se luong nguoi S61ugngS() ILH)ng

Inguci co S0 cell\:co CCHN/ tong co CCHN thoi nguoi co I86i tuong CCH !tong s6 eua ngurris6 nguoi lam lam viec cho CCHN

nguoi lam viec c6CCIII\'viec tai thai cong ty trong tuyen mo:

tai thai di@m cuoi n{1111di~m d~u nam narn trong narn

cuoi narn IBan Giam doc 4/5 III 111 4/5 4 IBQ phan mo: giai 09/16 3/6 IIJ 7/1 G 7

-- I IBO phan nr doanh 6/6 0/0 010 (JIG fi I

- _I ---+- -BO phan bao lanh I Iphathanh

IBo phan nr van d~u.-

tu chung khoan 6/6 0/0 0/0 6/6 6-

IBo phan khac 2/9 0/0 0/2 2/11 2

TBng s5 27/12~

417 2/6 25/-t 1 ~j 25--

Trang nam 2014 IVS da thuc hien d~y du cac che dO, quyen loi cho ngu'ai lao dong, Vade datduoc ket qua kinh doanh cua nam 2014 IVS ciing da xay dung co che luong gan voi ket qua k inhdoanh nharn t<;10dong hrc phat trien cho m6i CBNV.

Ben canh do cac hoar dong da ngoai. nghi he, du xuan deu duoc IVS t6 chuc dcu dan hang narn.coi day la co hoi d~ CBNV co th~ tai t<;10sere lao dong. doan ket, gan bo.

3. 1I1111/1inll dim Ill', tinh hinlt tlucc lIifl1 cac du' an

a) Cac khoan d~ll tu Ian:

b) Cac cong ty Iien ket:

4. Tinh ltinlt tai cltinli

a) Tinh hinh tai chinh

7

BAo cAo THUONG NIEN 2014CONG TY CO PHAN CHLJNG KHOAN DAU TU VI~T NAM -IVS

Chi tieu Narn 2013 Naill 201-1I

(1.. tang

I giam

* D6i voi t6 chuc kh6ng phai la t6 chuc tin dung:

T6ng gia tri tai sari 227.291.197.830 241.642.407.330 6%

Doanh thu thuan 26.585.172.671 35.8-+8.40~.176 ~6()oI

LQ'i nhuan nr hoar dong kinh doanh 1.533.350.931 11.754.618.176 87%

LQ'i nhuan khac 1.196.168.808 -5.026.838 ~3896%

LQ'i nhu?ntru6cthu~ 1.576.028.776 11.749.591.338 87°~)

LQ'i nhuan sau thue 1.153.319.921 9.179.686.883 87%

Ty I¢ loi nhuan tra c6 tire

~b) Cac chi tieu tal chfnh chu yeu

Cac chi tieu Naill 2013 Naill 20t-l [ Gh

Chi lieu v~ kha ruing thanh toan

+ H¢ s6 thanh toan ngan han: 2.82 2.8

TSLD/NQ' ngan han II

+ H¢ s6 thanh toan nhanh: 1.1 0.87

TSLD - Hang t6n kho

NQ' ngan han

Chi lieu v~ co cau v6n •..

+ H¢ s6 NQ'/T6ng tai san 27% 28%

+ H¢ s6 NQ'/y6n chu so hiru 37% I 39° ° -+---Chi tieu v~ nang lire hoat dong I

+ Yang quay hang t6n kho:

Gia v6n hang ban

Hang ton kho binh quan

+ Doanh thu thuan/Tong tai san 11.7% 14.84%

Chi lieu v~ kha nang sinh IO'i

H¢ s6 LQ'i nhuan sau thu~/Doanh thu thu~n 4.34% 25.61% - -+ .+ H¢ s6 LQ'i nhuan sau thu~/Y 6n chu so hiru 0.70% 5.27°/ov·

"

+ H¢ s6 LQ'i nhuan sau thu~/T6ng tai .san 0.51% , ., j.80)fl(~.~r,v

iehu

~~o

I ~

_/0.~

___ J

I

8

BAO cxo THUONG NIEN 2014CONG TY CO PHAN CHUNG KHOAN DAu TU VI~T NAM -TVS

+ H~ s6 Loi nhuan tir heat dong kinhdoanh/Doanh thu thuan

5.77% 32.79% - TI

5. Co' cau c6 dong, tltay d8i van dau tu: cua dill so'Mill

a) C6 phan: 16.100.000 (Muoi sau trieu mot tram nghin) c6 phan ph6 thong.

b) Co cau c6 dong: Co cau c6 dong tai ngay 05111/2014 (do Trung tam Luu kv clnrng khoan VietNaill cung cap):

Stt C6 dong Sa c6 ph§n So' hiru 1 IT,' Ie so' h iru

- - L_'--- ,I Trong nurrc 13,·02,700 83 ...•YY.,

I1 Ca nhan 12.383.500 76.92°0

2 To chirc 1.049.200 6.52% II

II Nutrc ngoai 2,667,300 16.57% I- I

1 Ca nhan 2.616.700 16,25~0 I---I

2 To chirc 50.600 0.31% I,

Tong cQng 16,100,000 I 100% I--

c) Tinh hinh thay d5i von d~u tir cua chu sa hiru:

Chi tieu Dau narn Tang Giam I Cufii narn I

I-- --

I. Von dau tu CSH 161.000.000.000 161.000.()OO,O()()

2. Thang du von co phanI•.

-

3. Von CSH khac

I4. Co phieu quy I

I -

5. Chenh lech danh giaI

II

lai tai san- i6. Chenh lech ty gia hoi I

doai

7. Quy dau tu phat trien 271.963.694 271.963,69-1 I

- I- ---

j8. Quy d~ phong tai 271.963.694 nl.963.69-1chinh "'1 I" ,. -'~:.~..~;-:'~... .•

9

BAO CAO TRUONG NIEN 2014CONG TY CO PHAN CHU'NG KHOAN eAu TU' vr€T NAM -TVS

9. Cac quy khac thuocvon CSH

~-- I

10. Loi nhuan chua phan 3.371.861.196 9.179.686.883 12))ISH~phoi

d) Giao dich c6 phieu quy:

e) Cac chirng khoan khac:

Ill.BAa cxo vA DANH cIA CUA BAN ClAM DOC

1. Ddnli gia kit qua ltoa: d{Jng san xuiit kinh doanh:

Nam 20141qi nhuan sau tllU~ cua Cong ty dat g~n 9,2 ty dong tang 87% so voi nam 2013 \<1 hoanthanh 122% k~ hoach kinh doanh nam 2014.

Kinh t~ d~n 6n dinh. th] tnrorig chung khoan soi dong d5 lam doanh thu moi gi6i nam 2014 tc'ing51% so vo: nam 2013. TLr 06 h6 tro cho cac hoar dong khac CLIaCong ty tang truong then: doanhthu tu van tang, cac dich vu h6 tro khac tang ...

2. Tinh hinh tai sdn:

Cu6i nam 2014 T6ng tai san cua IVS la 241.6ty dong, tang 5.94% so voi nam 2013. lrong nam tinhhinh bien dong v~ tai san khong 16n.

Tinh hinh vay va no phai tra: Hien kh6ng c6 cac khoan yay 16n va no phai Ira 16n.

Chenh lech ty gia: khong anh huang den tinh hinh kinh doanh cua C6ng ty.

3. Nhiing ctii tiin vi CO' cau ta clucc, chinlt stich, quan Iy:

Trong nam 2014 IVS duy tri 6n dinh v~ co cau t6 chirc, chinh sach, quan ly; tap trung va dao t<;10

nang cao chat luong dQi ngfi gioi chuyen mon nghiep vu.

Trong nam 2014 yeu cau tuan thu d~~ du cac nguyen t~c quan tr] rui ro nharn nang cao hieu quagiarn sat moi mat hoar dong.

4. Ki IIO(1CIt pluit Iriin trong tuong lai:

IVS giir virng su tang truong, phan dau hoan thanh cac chi lieu k0 hoach d~ ra.

IVS chu trong VaG phat trien nguon nhan luc cao cap.

IVS tiep tuc d~u tir nguon lire phat trien co sa ha tang. cong ngh~ thong tin:

IVS phat trien cac tien ich, san pharn dich vu hien dai cho Nha dau tLI';

IVS nang cao nang 11lC tai chinh, tim kiem, keu goi cac ca nhan va t6 chirc nuoc ngoai dautu nham dua thuong hieu IVS ra tarn quoc t~.

IVS nghien ciru va ap dung cac chuan mire quan tri tien tien. ki~m soar rui roo

5. Giai trinh cua Ban Gidm d8c d8i voi y kiin kiim loan (niu co): khiing co.

10

.O]lJ

BAO cxo THUONG NIEN 2014CONG TY CO PHAN CHUNG KHOAN DAu TU' VII;:T NAM -IVS

IV. DANH GIA CUA HOI DONG QUAN TRJ VE HOAT DONG CUA CONG TV

I. Dtinh gi« ciia H{ji dang quiin tri vi cdc m~1 110(11(t{jng cua Cong IF

- Hoat dong giao dich: Hoat dong moi gioi IVS v~n tiep t1,1Cphat tri~n theo chieu sau, tap trung vaonang cao chat IUQ11gphuc V~I cho khach hang dua tren n~n tang cong nghe hien dai. nurc d6 Ill' Gongh6a cao.

IVS chu trong phat trien cac dich vu gia tang cho khach hang. tao di~u kien cho khach hang tiep dint6i da cac cong cu tai chinh theo quy dinh cua phap luat,

Trong nam 2014 cung voi cac giai phap tich cue cua thi truong. IVS cung da ban hanh nhirng chinhsach mo] gioi phu hop d~ thu hut khach hang. thu hut nhan luc co licm nang gia lang doanh thu 1110igioi. Doanh thu v~ rnoi gioi narn 2014 dat gan 15.5 ty dong.

Tinh den ngay 31112/2014. s6 IUQ'ng khach hang mo tai khoan dat hon 22.500 tai khoan. :'l\ luongtai khoan mo moi trong nam la hon 11.000 tai khoan, trong d6 e6 nhi~u tai khoan eua 1'6 chuc kinhte trong va ngoai ngoai nuoc.

Trong narn 2014 moi giao dich chimg khoan voi khach hang d~u duoc kicm soar chat chc. nhanvien dam bao c6 tu each, dao dire nghe nghiep t6t, tuan thu dung cac nguyen tac \'~ giao dich clurngkhoan. Luon dam bao v~ mat s6 luong, thai gian .. voi cac dot tri~n khai. test h~ thong cua cac So' \'8Trung tam luu ky.

- Hoat dong d~u tir: IVS thirc hien d~u tu tren co sa than trong, hieu qua. 86i voi m6i hoar dong tudeu duoc danh gia va xin y ki~n cua H8QT tren co sa da phan tich. danh gia d~y du de th6ng tinlien quan.

- Hoat dong kinh doanh nguon v6n: Nguon v6n luon duoc tap trung dam ban d5~ du nhu cc111cuaCong ty. IVS luon chu trong phan tich cac ngan hang tiern lire. thuc hien theo dung qu~ trinh dedam bao an toan von. Cong tac kiem s6at nQi bo duoc tang cuong de dam bao an roan. hop I¢ tLI'khau thoa thuan, lap hop dong. giri tien di. nhan tien v~ va luu trll' hop dong. chung ILl.

- Heat dong nr van: IVS v~n la khach hang Ian cua T6ng Cong ty kinh doanh von Nha rnroc SCiC.Narn 2014 dQi ngii tu van da hoan thanh 16 hop dong thcai v6n hop dong ur van thoai v6n. Ngoai raIVS ciing thirc hien diroc nhi~u hop dong nr v~n tren nhieu linh vue khac nhau. IVS duoc khachhang danh gia cao ch~t hrong dich V1,1ciing nhir thai dQ, phong each chuyen nghiep.

- Hoat dong d~u tu va phat tri~n Cong nghe thong tin: C TT duoc coi la nhan t6 quan trong hangd~u tao nen sir thanh cong cua IVS.

H~ thong cong ngh~ thong tin diroc dau ur hien dai. dQi ngii can bQ chuyen sau luon dam bao cho h¢thong giao dich toan Cong ty lucri thong suet, c6 kha nang xu Iy moi tinh huong phat sinh va haneh~. ngan chan duoc cac 16i phat sinh.

- Hoar dong tai ehinh k~ toan: Hoar dong tai chinh k~ roan da thuc hien tAt cac nhicrn \ u chinh cuacong tac tai chinh k~ toan theo dung quy dinh cua phap luat va dinh huong phat trien cua Cong tvThuong xuyen theo doi va giam sat chat che cac chi phi phat sinh trang roan Cong ty thco dung k~hoach va dinh mire chi phi da duoc phe duyet, kip thai c6 nhirng d~ xuat ki~n ngh] \8 tham I11L1lI.

II

CI-

BAo cAo TRUONG NIEN 2014CONG TY CO PH.A.NCHU'NG KHO.A.N f).A.U TU VII;:T NAM -JVS

- Heat dong cong b6 thong tin: IVS la cong ty niern y~t vi vay hoar dong cong b6 thong tin luon kipthai, darn bao tinh minh bach. phan anh trung thuc. day au cac thong tin lien quan den roan bQ hoardong cua Cong ty theo quy dinh.

- Hoat dong Ki~m scat noi bo va quan tri rui ro: oa twin thu cac quy dinh cua phap luat trong roanbo moi heat dong cua Cong ty, kip thai dua ra cac o~ xuat can thiet nham han che rui 1"0 phat sinhtrong tung hoar dong nghiep vu, darn bao an toan tuyet 06i v~ tien va chung khoan cho cac nha dautu.

- Hoat dong truyen thong: Thong qua hoat dong truyen thong, thuong hieu chung khoan 1VS ngaynay ti~p tuc OU9'Ckhach hang bi~t o~n nhir la mot thuong hieu Cong ty chung khoan hang d§u CLlGl

Viet Nam. Mac du hoar dong kinh doanh trong narn khong thuan 19'i nhurig Cong ty van tiep tuc UU)

tri va cung c6 moi quan he voi bao chi - truyen hinh rum dang bai; thirc hien ph6ng su: dang anh. tintren cac obu bao c6 luong phat hanh Ian; gifr m6i quan h~ t6t voi cac ph6ng vien. bao. da: va hoatdong PR ngay cang chuyen nghiep han trong cac viec t6 chirc cac su k ien Ian cua Cong ty. Trungnam hoat dong PR cua Cong ty oa chu trong hon den cac hoar dong truyen thong no: bo nham cungc6 va tao moi tnrong lam viec lanh rnanh, g~n k~t hon giira CBNV va Cong ty.

- HOi;ltdong Chi nhanh rvs H6 Chi Minh:

Heat dong tai Chi nhanh H6 Chi Minh tuong 06i 6n dinh, khong co nhi~u bi&n dong.

2. Dtinh gid cua Hri dbng qudn tri v~ hoat drng cua Ban Gidm (lbc cong ty.

Ban giarn o6c cua Cong ty oa co nhirng chi dao. dieu hanh t~t ca cac mat heat dong cua Cong ty111Qleach sat sao, kip thai va OLlI1go~n. Ban giam 06c da co nhirng bao cao kip thai ve tinh hinhkinh doanh cua Cong ty o~ HDQT c6 nhirng thay 06i trong chi&n luoc kinh doanh phu h9'P voi thuct~ cua thi tnrong.

3. Cac ki 11O(ICIt, dinl: huang cua Hri dbng quiin tri

Trong nam 2015 HQi dong quan tri se o~y manh cong tac quan tri rui roo tang cuong quan I)' vagiam sat, obu tir phat trien moi mat hoat dong cua C6ng ty.

V. QUAN TRI CONG TV. .•.

1.Hri tfbng qudn tri

a) Co du HQi dong quan tri:

Ong Nguyen Duy TOi;li

Ong Dean N gQC Hoan

Ong U: Van Minh

Ong Hoang 8uc Hi~n

Ong Pham Hiru Tuan

Ong Xiang Qing Song

Ong Nguyen Duy Thao

- ChLI tich HDQT

- Ph6 chu tich HDQT

- Thanh vi en HDQT

- Thanh vien H8QT

- Thanh vien H8QT

- Thanh vien H8QT

- Thanh vien H8Q

-:,: ".4 t ., ; ••v~. " 11

12

c::::-. ~/'

CCcc:(HtJ

VII<,')I";;;;:;;;

BAo CAO TRUONG NIEN 2014CONG TY co PHAN CHUNG KHOAN £)AU TU VI€,T NAM -IVS

Ten t6 chirc/ Chtrc vu tai cong ty Sc3c6 phieu so' Ty I~so' hU'UIStt ca nhan (n~u co) hiru cu6i ky

c& phieu cuc3i

k5' I:

1 Ong Nguyen Duy Toai Chu tich HDQTI

1.019.500 6..:noo

Ph6 chu tich HDQT2 Ong Dean Ngoc Hoan kiern T6ng giarn d6c 1.500.000 9.3:2%

I I..,

Ong Le Van Minh Thanh vien HDQT 300.000 iI

j 1.86° 0 I

4 Ong Xiang Qing Song :2.000.000 II

Thanh vien HDQT I' .po_. _ U I

5 Ong Nguyen Duy Thao Thanh vi en HDQT 779.400 4.84% I

- ---_.

6 Ong Hoang Duc Hi~n Thanh vien HDQT 800.000 4.97%

7 Pharn Hu'u Twin Thanh vien HDQT 500.000 3.1 ° 0 I---- -

b) Cac ti~u ban thuoc HQi dong quan tri: Ti~u ban Quan tri rui roo

c) Hoat dong cua HQi dong quan tri:

Stt Sc3Bien ban Ngay NQidung

- -

0101/2014/88- Thong qua k~t quan kinh doanh narn 2013 va Ke1 18/01/2014HDQT.IVS hoach san xuat kinh doanh nam 20 t4

0103/2014/88- 8§u Chu tich HDQT2 15/03/2014

HDQT.IVS Phan cong cong viec cho cac thanh vien HOQT

0203/2014/88- Ke hoach chu; en giao khach hang ILl Cllll~l) Ch., 18/03/2014 khoan Trang An.-'HDQT.IVS

Thong qua viec lua chon don \ i ~,ielllroan 61 Ilal

13

J'

1I)

·I(

A

lI

11

BAD CAD THUONG NIEN 2014CONG TY c6 PHAN CHUNG KHOAN DAU TU' YIBT NAM -IVS

2013 cho narn tai chinh 2014.

Thong qua thanh ly xe Capri. al.

0104/20 14/B B- Thong qua viec mua them 01 ve Fortuncr phuc \ II cho4 18/04/2014HDQT.IYS hoat dong chung CLI3 Cong ty .

IThong qua viec sat nhap Khc\i Kinh doanh v<'t Khc\i

I

0105/20 14/B B- Dich vu Chung khoan thanh Kh6i Kinh Doanh.I5 28/05/2014

HDQT.IYS B6 nhiern Ba Le Th] Hu~ lam Giarn doc Kh6i Kinhdoanh.

0108/2014/BB- Danh gia va nhan dinh lai thi tnrorig, Kh6 Khan va6 19/08/2014

HDQT.IYS triSn. Chia tach phong T6ng hop

0109/2014/BB- D6ng y cho Ong Yang Xiao Dong tLI"nhiem chuc danh7 09/09/2014IHDQT.IYS thanh vien HDQT.I

--- ~ <

0209/2014/BB- Danh gia li;li tiuh hinh hoat dong k inh doanh, co celU lai I8 27/09/2014 nguon von hoat dong cua Cong ry. nhan S\I" chi I

HDQT.IYSnhanh HCM ..

Io I 10/20 14/BB- Th6ng nh~t cac noi dung x in y ki~n c6 dong b~ng van I

9 2111 0/20 14HDQT.IYS ban

0211/2014/BB-10 25111/2014 Di~u chinh lai k~ hoach kinh doanh narn 201-1

HDQT.IYS

--- ,

01 12/20 14/BB- Ra mat thanh vien HDQT moi. Danh gia lai tinh hinh11 10112/2014 heat dong kinh doanh narn 2014. Phuong huong. k~

HDQT.IVS hoach cho nam tai chinh 2015J

d) HOC;lt dong cua thanh vien HQi dong quan tri doc I~p khong di~u hanh: l lien I-II)QT C(1 03 thanh

vien dQc lap khong di~u hanh la:

Ong Le Van Minh

Ong Hoang Duc Hi~n

Ong Xiang Qing Song

- Chu rich HDQT

- Thanh vien HDQT

- Thanh vien HDQT

14

==\ .

JGPr-; Kuj N

\ .

BAo cAo THu'ONG NIEN 2014CONG TY CO PHAN CHU'NG KHOAN E)AU TU' VI€T NAM -IVS

e) Ho?t dong cua cac tieu ban trong H9i dong quan tri: Ti~n ban Quan trj ru: ro duoc thanh lap vao

thang 12 nam 2013, Trong narn 2014 Tieu ban Quan tri rui 1"0oa thirc hien oc1y dLI chirc ni'ing \Zt

nhiem V\1Ccua ban,

f) Danh sach cac thanh vien H9i dong quan tri co clurng chi dao tao v~ quan trj cong tv: TOZtn h0

thanh vien H8QT aa tham gia cac chuang trinh v~ quan tri cong ty trong nam.

2. Ban Kiim soat

a) Ban ki~m soat:

Ong Tr~n Cong Van

Ba La Thj Huang

Ong 80ill1 Trung Dung

- Tnrong ban

- Thanh vi en

- Thanh vicnI

Ten ta ch ire! Chirc vu tai cong ty S5 c6 phieu so'T~' l~ so' hiru

IStt

hiru cu5i ky c6 phieu cu5ica nhan (n~u co) k'·

I1 Ong Tr~n Cong Van Truong ban 0 0% I

- -

2 Ba La Thj Huang Thanh vi en 35.000 0.22%-

.,Ong Dean Trung Dung Thanh vi en 8.900 0.06% I

-'--~---

::

b) Ho?t dong cua Ban ki~m scat: .•.Trong nam 2014 Ban ki~m scat IVS aft t~p trung thuc hien cong tac ki011l tra. giam sat cac hoar

dong trong yeu sau:

- Bao cao tai chinh: ki~m so at bao cao tai chinh, bao cao von kha dung. bao cao ty I~ an IO~\Il 1~1Ichinh sau thang a~u narn va ca nam 2014.

- Kiern scat hoat dong: danh gia viec twin thu cac quy trinh nghiep V~1. ca rui 1"0 co the :dyra ... Danh gia viec quan trj rui ro aft duoc thuc hien theo dung quy ch~ va danh gia hicu qua cua qU)

ch~.I

STT S5 bien ban Ngay NQi dung I

I- ~- 1

1 01/2014/BB- 08/03/2014 Thong qua bao cao tai chinh narn 201-1 d5 duoc k icm

IBKS-IVS t6an. .Thong qua tai lieu trinh DllDeO {·Iwang nicn narn. , -

15

BAo cAo THU'ONG NIEN 2014CONG TY CO PHAN CI-IlJ'NG KHOAN DAu TU' VI€T NAM -IVS

2014I

1

2 02/2014/BB- 15/07/2014 Ki~m soat bao cao tai chfnh sau thang dau narn 2014

IBKS-IVS Ki~m tra toan bo hoar dong cua Cong ty trong 6 thangdau narn 2014

J._-----..,

03/2014/BB- 15/12/2014 Danh gia heat dong nam :2014 CLI{) COllg tv.-'BKS-IVS Danh gia cac chi tieu tai chinh narn 201.+

I

T6ng k~t heat dong Ban k iem soar nam 2014 \8phuong huang nam 2015

I

3. Cdc giao dicit, tltu lao va ctic khoiin 1(J'iicb cua Hri tlimg quan tr], Ban giam d6e V(I Ban kidl11sotit

a) Trong nam 2013 cac khoan thu lao cua cac thanh vien HOi d6ng quan trio thanh vicn Banki~m soar d~u thuc hien theo Nghi quyet Dai hoi dong c6 dong:

Stt HQ va ten Chirc vI,! I ThiJ lao I Chi chu lI ----1

1 Ong Nguyen Duy T09i Chu rich HDQT 8.000.000 !I

- --. -

Ph6 chu tich HDQT kiern5.000.000 I I2 Ong Doan N goc Hoan T6ng giam d6c

.•...,Ong Le Van Minh Thanh vien HDQT 5.000.000-'

4 Ong Hoang Dire Hi~n Thanh vien HDQT 5.000.000 II I

5 Ong Pham Hiru Tuan Thanh vien HDQT 5000000 II

6 Ong Nguyen Duy Thao Thanh vien HDQT 5.000.000 I--l

--r--- I

7 Ong Xiang Qing Song Thanh vien HDQT 5.000.000 I

18 Twang ban

.Ong Tr~n Cong Van 4.000.000 .

I~~

16

BAo cAo THU'ONG NIEN 2014CONG TY CO PHAN CHUNG KI-WAN DAu TU' VI~T NAM -IVS

,--- ~

9 Ba Ui Thi Huang Thanh vien l.OOO.non

I-

10 Ong Dean Trung Dung Thanh vien 2.000.000

-l

b) Giao dich c6 phieu cua c6 dong noi bQ:

c) HQ'p dong hoac giao dich voi c6 dong nQi bo:

d) Viec thuc hien cac quy dinh v~ quan tri cong ty: luon dam bao tuan thu dung cac ljU) dinhcua phap ILI$thien hanh.

VI. BAo cxo TAl CHiNH

1. Y kiin kiim todn:

S6: 664/BCKT/TC/NV5

BAo cAo KIEM ToAN DOC L~P

Kinh glri: Cac c& dong, HQi d6ng Quan tr] va Ban T6ng Giarn d6c

Cong ty C6 ph~n Chung khoan D~u tu' Vi~t NamJ-,

Chung toi aft ki~m toan Bao cao tai chinh kern theo cua Cong ty C6 phan Chung khoan D~u tLI'VietNam. duoc lap ngay 23/01/2015, tLI'trang 07 o~n trang 26, bao gorn Bang can dbi k~ roan tai nga)31112/2014. Bao cao k~t qua hoat dong kinh doanh. Bao cao luu chuycn ti~n t~ cho narn tai chinh

k2t thuc cung ngay va Ban thuyet minh Bao cao tai chinh.

Trach nhiern cua Ban Tong Giam doc

Ban Tong Giarn dbc Cong ty chiu trach nhiern v~ viec lap va trinh bay trung thuc \a hop I) bao caotai chinh cua Cong ty theo chuan mire k~ toan. che oQ k~ to an ap dung cho cong ty chung khoan vacac quy dinh phap Iy co lien quan den viec I?p va trinh bay bao cao tai chinh va chiu trach nhiern \ekiern soar noi bQ ma T6ng Ban Giarn obc xac dinh la can thiet o~ dam bao cho viec I$p va trinh ba ,bao cao tai chinh khong co sai sot trong y~u do gian I$n hoac nharn Ian. .

Trach nhiern cua Ki~m toan vien

Trach nhiem cua ChLlI1g toi la dira ra y ki~n v~ bao cao tai chinh dua tren k~t qua cua CUtlC k icmtoan. ChClI1g toi aft tien hanh ki~m toan theo cac chu~n muc ki~m toan Viet Narn. Cac chuan mucnay yell cau chung toi tuan thu chll~n rmrc va cac quy dinh v~ dao dire ngh~ nghiep. 10\1 k2 hoach \athuc hien cuoc ki~m toan d~ dat duoc S\1' dam bao hop Iy v~ viec li~u bao cao tai chinhcua Cong t)'

co con sai sot trong yeu hay khong.

Cong viec ki~m loan bao gorn thuc hien cac thu tuc nham thu thap C~IC b~nl;;: cl;LI:ng,kJ.~!)l lO~1Il \ C C:IC~.: 11-

17

BAo cAo THU'ONG NtEN 2014CONG TY CO PHAN CHU'NG KHOAN 8Au TU' VI~T NAM -IVS

s5 lieu va thuyet minh tren bao cao tai chinh. Cac thu tuc ki~m roan duoc lua chon dua tren xet doancua ki~m to an vien, bao g6m danh gia rui ro co sai sot trong y~u trong bao cao tai chinh do gian Ianhoac nhAm l§.n. Khi thirc hien danh gia cac rui ro nay. ki~m roan vien aa xern xet ki~m soar nQi bQeL13Cong ty lien quan den viec lap va trinh bay bao cao tai ehinh lrung thuc. hop I) nham thiel kccac thu tuc ki~m roan phu hop vo: tinh hinh thuc t~. tuy nhien khong nh~111muc dich dua ra ). kicnv~ hieu qua cua kiern soat no: bo cua Cong ty. Cong viec kiem loan cung ban gorn dauh gia tinh

thich hQ'P cua cac chinh sach k~ toan OUQ'Cap dung va tinh hop ly cua cac uoc tinh k~ roan cua TongBan Giarn 05c ciing nhu danh gia viec trinh bay t6ng th~ bao cao tai chinh.

Chung toi tin tuong rang cac bang chirng ki~m toan ma chung toi oa thu thap diroc la oA:vdu va thieh

hop lam co So' cho y ki~n ki~m toan cua chung toi.

y ki~n cua kiern to an vien

Theo y kien cua chung toi, Bao cao tai chinh oa phan anh (rung thuc \J hop I). trcn de khia cunhtrong yeu tinh hinh tai chinh cua Cong ty C6 phan Chung khoan BAu tu Viet Naill tai ngay31/12/2014, cung nhu k~t qua kinh doanh va tinh hinh luu chuyen tien t~ eho narn tai chinh ].;cl thuccung ngay, phu hQ'P voi chu~n mire k~ toan, che oQ k~ toan ap dung cho cong ty chirng khoan va cacquy dinh phap Iy co lien quan o~n viec lap va trinh bay bao cao tai chinh.

K icrn roan \ icn

Gi~y CN£)KHN kiern roan

sA: 1912-2014-12G-1

NGO QUANG TIENPho Giarn doc

Gi§y CNDKHN ki~m toans6: 0448-2014-126-1

Thay mat va dai dien ehoCONG TY TNHH KIEM ToAN

VA THAM D!NH GIA VII;:T NAM

NGlIYI:N IIIA!'.II cO!'.(j

2. Boo ctio lrii chin" dui»: kidm loan:

Bao cao tai chinh nam 2014 duoc ki~m to an bao gorn:

+ Bang can 05i k~ roan;

+ Bao cao k~t qua hoat dong kinh doanh;

+ Bao cao luu chuyen tien te:

+ Bao cao tinh hinh bi~n dong von chu sa hiru:

+ Thuy~t minh bao cao tai chinh.

18

A" , A'TONG GIAM DOC

9JJomn JV'9fJC ~

.. )