----

sAo cAo TV LE AN ToAN TAl cHiNH•T~I NGAV 31 THANG 12 N.A.M2012

CONG TY TNHH MOT THANH VIEN•

QUAN LY aUY DAu TU', ,

CHU'NG KHOAN IPA

•" Ir~.Ic~ ~.

~

diNG TY TNHH MQT THANH VIEN QUAN LYQUY OAU nt CHUNG KHOAN IPA

MUCLUC• •

Trang

-

1. Ml}c1~lc

2. Bao cao eua Giam dt1c

3. Bao cao kiim toan

4. Bao cao tj' I~ an toim tai chinh t~ingay 31 thang 12 Dam 2012

***** ••• ****.***.*********

1

2 - 3

5 - 13

CONG TV TNHH MTV QUAN LYQui OAU Til CHUNG KHOAN IPA

BAa cAa eVA GIAI\IIlOCGiam d6c Cong ty trinh bAy baa cao eua minh clmg vcri BaD cao tY I~ an t03n tili chinh t~ingay 31tMng 12 nAm 2012 da duVC soat xet.

Kh" . le.al gllat ,"e one; Iy

Cong ty TNHH MQI thanh vien Quim Iy quS' 01u hI ChUng khoan IPA 18Cong ty con 100% vAn diu111ctia Cong ty ca ph!n T~p doan DAu tuI.P.A, hOill dQng thea GiAy phep s5 30IUBCK-GP ngay 04thang 3 nAm 2009 do eM lich Uy ban ChUng khoan NM nu6'c cAp.

vbn diEu Ie theo Gi!y phep: 50,000.000,000 VND

TTl.! StYIW{II dihtg

Dia chi s6 I Nguyen ThUQ11gHi~n. PhuOng Nguyen Ou, Qu~n Hai Sa Tnmg. TP. Ha NQiDi~n thOl;li 043941 0510

Fax 04 394\ 0500

M3 s6 thu~ 0 t 0 2 703 1 7 8

Cihrg ty dll'{TCphip thlf'C h/;n cae nghifp l'f' Ainh doan" :mu:

Quan Iy quy diu tll chung khoan;

- Quan Iy danh m\lC dftu III chfrng khOlin.

Su kiin phit sinh sail "gil.\" k~t (huc "am Iii ehinh

Giam d6c Cong ty khAng djnh khong co S'rl ki~n nao pMt sinh sau ngay 31 (hang 12 nam 2012 chodJn thOi di~m I~p baa cao nay rna chua dUllC xem xet di~u chinh s6 li~u ho:)c cong be, trong Bao caotai ehinh.

Giam d&e

,4

e•iJI••

Ba Dii Thanh Huang 86 nhi~m ngay 28 thang 4 nAm 2009

Kj~m toan ,.jen

Cong ty lNHH Ki~m toan va Tu van (A&C) dii scat xct Oao cao t)' I~ an toim tai chinh t\li ngay 31thang 12 nAm2012 clia Cong ty.

Tnieh nhiem ella GiaO! dAc

Gim d6c Cong ty chiu traeh nhi~m I~p Baa cao 1)' I~ an toan tai ehinh phan aoh trung thvc va h9'P Iy1)' Ie an toan vbn kha dl,1ngella Cong ty. Trong viec I~p Baa cao t).le an toan tiJ.i chinh nay, Giam d6cphai:• Thl,l'C hi~n cae phan doan va cae I.t&c tfoh mQt each tMn trQng khi doh eac chi tieu clla Baa cao t)'

Ie an toan tai chfnh;• Lap Baa cao ty Ie an toim tai chinh tren co sa hO{ltdong lien tvc tro truOng h9'P khang th~ gia

djnh ring Cong ty se tiJp f\!C ho?-t dong lien tl,1c;

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CONG TYTNHH M9TTHANH VIEN QUAN LV QUY flAU Tl/CHU'NG KHOAN IPABAo cAo cUA GIAM D6c (tiep th,o)

Giam. dOc dam boo rang, Cong ty d;a tuan tOOcae yeu cAu neu tren kh.i I~p Bao cao tY l~ an toan t.iichinh va Bao cao tY l~ an toan tai chinh dllQ'CI~p tuan thii Thong ttr 56 226/201 om -BTC ngay 31thang 12 ni1m.2010 eua B9 Tell chinh v~ viec quy dinh chi tieu an toan t<iichinh va bi~n phap xli 1:9'dOivai cae t6 chue kinh doanh chUng khoan khang dap tIng chi tieu an toan tAi chinh va Thong tU' s616SI2012!IT-BTC ngay 09 thang 10 nam 2012 sUa d6i, bO sung ffiQt s6 di~u ella Thong tu22612010m-BTC ngay 31 thang 12 nam 2010.

Giam d6c Cong ty ding chiu trach nhiem bao v~ an toan tii san ella Cong ty va do d6 da th\l'Chien caebien phap thich hQ'pdS ngan ch~ va phat hien cae banh vi gian l~ va cae vi ph~ khac.

"PhI; duve! Baa cao tV Ie an toan tili chinb

Ban Gilim d6c phe duyet Bao cao tY Ie an toan !Aichinh dinh kern. Bao cao tY Ie an toan rai chinh d!pUn anb trung tht,rc va hqp I)' tY l~an toan v6n kha dl,lng eua Cong ty ~ thOi di~m ngay 31 thang 12nim 2012, phil hqp v&i Thong tu s6 226m-BTC ngay 31 thang 12 nam 2010 eua Bo Tai ehfnb v~viec quy dinh chi tieu an tOM tAi ehinh va bi~n phap xli 1)' d6i v&i cae t6 chuc kinh doanb chirngkhoan khong dap irng chi tieu an tOM uii chinh va Thong tu 56 165/2012!fT-BTC ngay 09 thang 10nAm 2012 sua d6i, b6 sung mot s8 di€u eua Thong tu 22612010m~BTC ngay 31 thang 12 nam 2010.

Do Thanh Htr01lg

Ngay 27 thang 3.am 2013

3

~BAKER TILLYA&CCONGTYTNHH KIEMTOAN VATIl VANMAUDITINGANDCONSULTINGCO., LTD.

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56: 14512013/BCTC.KTTV.TV

BAo cAo KIEM TOANvt BAO CAOIT L~ ANTOAN TAl CHiNHT<lJ rnm DItMJI THANG 12 NAM 2012

CVA CONG TV TNHH MOT THANH VJi:N QUAN LY QuY DAu TIt cHifNG KHoAN IPA

Kinh gUi: co DONG, HOI DONG QuAN TRj vA BAN G1AM DOC CONG TV CO PHANT~DOANDAUTl!IPAGiAM DOC CONG TV TNHH MOT THANH vIi:N QUAN LY QuY DAu TItcHifNG KHoAN IPA

Chung tai da ki~m toan Bao cao tY 1~an toan tAi chlnh ~ithai diSm ngay 31 thang 12 nam 2012 euaCong ty TNHH MQt thanh vien Quan Iy qu9 DAu tlr ChUng khonn IPA dllQ"C I~p ngay 27 thang 03 nam2013, tir trang 04 dJn trang 13 kern theo.

Vi~c I~pva trinh bat Bao cao tY l~ an toan tAi chfnh nay thuQc tnich nhi~m eoa Giam d6c Cong ty.Tnich nhi~m eua Kiem toan vien h\ dua ra y ki~n vS cac baa cao nay dl,la tren k~t qua ccng vi~c ki~mtoano

Co-say ki~nChUng toi da thl,l'Chi~n cong vi~ ki~m toan thea chuAn rnl,lCkiSm toan Vi~t Nam 56 800 - "Baa caoki~m toan vS nhang cong vi~c kiSm toan d~c bi~t" va cac ChuAn ml,l'Cki~m toan Vi~t Nam kMc co lienquan. Cac ChuAn ffil,l'Cnay yeu du c6ng vi~c kiSm toan phai l~p k~ hO;,lchva thl,lc hi~n dS co S1,J'dambaa hqp Iy ring Baa cao tY I~an toan tAichfnh khong con chua dl,rJlgcae sai sot trQng y~u. Chung toi dath\J'c hi~n ki~m toan thea phuong pMp chQn mau va ap dl,mg cac thfr nghi~m cAn thi~t, ki~m tra cacbing chUng xac minh nhUng thong tin trong Baa cao tY I~an toan tai ehlnh; danh gia vi~ tuan thu cacChuAn m\J'e va Ch~ do k~ toan hi~n hanh. cac nguyen tic va phuong phap k~ toan duqc lip dl,lOg,caeuac tinh va xet doan quan trQng eua Giam d& ciing nhu cach trinh bay tong th~ BaD cao tY I~an toantai chinh. ChUng toi tin ring cong vi~c ki~m toan da cung dp nhUng co sir hqp ly cho y ki~n cua chungtoi.

4

Ki~mtoaD VieD

Le Vin KboaChUng chi kiim loan vien s6: J 794/KTV

y ki~Della I(j~m toan "ienTheo y ki~n chung toi, BaD cao tY I~an toan t3i chinh da phan 3.nh trong th1,J'Cva hQ'PI)'tY I~an toan tAichinb cUa cUa Cong ty TNHH Mot thanh vien quan Iy quy DAu ill ChUng khoan IPA t;,litho; di~m ngay31 thang 12 nam 2012, pM hQ'Pvei Thong ill so 226120 1OfIT-BTC ngay 31 thang 12 nam 2010 cua BoTai chinh vS vi~c quy dinh chi tieu an toan tai chinh va bi~n pMp xu Iy d6i vei cac t6 chUe kinh doanhchUng khoan khong dap ting chi tieu an toan t3i chinh va Thong tl1 s6 16512012fIT-BTC ngay 09 thang10 nam 2012 cua 80 Tii cbinh vS vi~c slra d6i, b6 sung mot 56 diSu cua ThOng tl1 s6 226120 IOfIT.BTCngay 31 thang 12 nam 20 IO.

Giam dac

~A"rnTiLlYINTERNATIONAL

ciJ:'iG TV TNIIII M(lT TII,'NII YIENQUt\N LVQUYuAu Tl(CII~G

KIIOAN II"A

So Cv: .VI",: Bao coo chi tieu an toan tAi chinh

cO~G nOA Xt\ IH)I CliO NGlliA Vlt:T Nt\:\1DQcI~p _T" do - lI:Joh phuc

Ha NQi. ngay 27 thang 3 nAm 2013

Ki,," glii:

BAO CAO TV L~ AN TOAN TAl CHiNIiT:.li nga)' 31 thang 12 nAm 2012

U,.. han ChUn~ khoan Nh'" owcSir Ciao djch Chimg khoo.ll Tp lib Chf MinhSir Giao djch Chimg kho:in 11;\Nlii

Chlmg 'oi cam doan rAng:

• BAo coo duqc xay d\lTlg IreD co sa sb li~u duqc c~p nh~t t~ingay I~p bao coo va duvc l~p thea dUngcae quy dinh t~iThong III sA 226120 IOrrT-BTC ngay 31/1212010 ella Hi;!Tai (hioh quy dinh v~ chilieu an loan la; chloh va bi~n pllap xu Iy dbi vm cae 16 ,hue kinh doanh thting khmin khong daplmg cae chi lieu an toan Ini chloh va Thong III slra dbi. bb SUR!:\.mQI s6 di~u eua Thong tlt s6 s622612010fIT-BTC ngay 3111212010 clla BQTai chlnh quy dinh ve chi lieu an toan tai chinh va bi~nphap XlI Iy d6i vo; cac 16 chuc kinh doanh chLing khoan khong dap irng cae chi tieu an toan tai

chinh;

• f)6i v6i nhihlg vAn di c6 the il.nh hlIl.'mg d~n tlnh hlnh tAi chinh ella Cong ty phat sinh sau ngay l~pbao cflOnay. chung toi ~ c~p nh*t lrong ky bio cao ti~p theo;

• Chllllg toi xin hoiln toan chiu Inich nhi~m truOc Phap lu~t v~ tlnh chinh xac va trung thLICella nQi

dung \)<10 eflO.

K~lotIO tnnmg

I.e Thi 1I~l1gLinh

TnnmJt B{l ph~nKi~m soat n{1i hi)

5

CO:-OGTV TNIIII M(>T TlIANH VIEN QuAN LY QuY IlAu TU CIIIJNG KIIOAN IPADja chi: sA I, Dutmg Nguy!n ThLlvn&Hi~n. Qu~n Hal BATnmg, Ha N(tiBAa cAa TV LJ;:AN TOAN TAl cHiNH

I. BANG TiNH VON KHA OI)NGT~i ngay 31 Ihan~ 12 n;}m 2012

Don vi tlnh: VND

SIT N(lI IlUNG VBn kha dyngVOn kha dyngKhoan giam tTlr Khoan tl1ng them

A- NGUONY()NCIIU sa II(NI. vbn dAu ru cUa chu sa hilu khang baa g6m c6

phftn uu dJI hOM I~i (m1u c6)Th~g du vOn cA phAn, vAn khac khong bao gAm

2. c6 phln IN dJi hoan 11;\1(nEo c6)3. C6 phi!u qu94. Qu9 dl,l' trlt be. sung v6n di~u 1~(nau c6)5. Qu9 dAu lU phAI trien6. Qu9 dl,l' phong tAichlnh7. Qu9 khAe thuf)c vAn chli so hi1u8. LQi nhu{in Illy ke va 191nhl$l chua phdn ph6i

trucrc khi ufch I~p cae khoan d\l pMng thea quydinh ella phap 1u,-t

9. Chenh l~ch dAnh giA l\ll tai san (50% tAng themho~c 100% giAmdl)

10. Cbenh lecb ty gia hAi doaiII. LQi feh cli3 cA dong thi~u 56(2]12. Cae khOMnf,l c6 th! chuytn d3i13. Toan~ ph!n giAmdi h~c tang themella cae

chUng khOM ~ichi lieu dAu tu tai chloh

CQNG

IA. T6NG

50.000.000.000

8.211.206.426

58.211.206.426

51.562.129.557

6.649.076.869

6.649.076.869

6

,

BAa cAa TV Le AN TaAN TAl CHINHT~ingay3J thang 12nam2012I. Bang Hob ,"6n kha d',mg (tifp thea)

STT NQIDUNG vAn kha d,mgVOn khB dyngKhoan giam trlr Khoan tAng them

B - TAl SAN NGAN H~N

I. Ti~n 'Va de khoan hnrng dtrOTl2 li~n

II. Cae khann dAu tiT tai cbfoh "Rin hl[ln1. DAu ttl ngin h:)J1

Chimg khoan ti~m Annii fa thi tnIbng thea quydjnh ~j khoan 2 Di~u 8Chimg khoan bi giam trir kh6i v6n kh! d\lng theoquy djnh khoAn 5 Di~u 5

2. DJ,I'phong giAm gili dAu f\1ngin h:;m(*)

Cae knoan phil thu ngAn hlilO. k~ d phS! thuIII. IIr hOjJIdQng uy thacJ. PhAi thu ella khach hang

PhAi thu ella khach hang cOolhbi h,n Ihanh toAncon I,i tir 90 ngay W xU3ngPhai thu eua khAch hang c6 thbi h~ thanh toAncon l<,ti lren 90 ngay

2. Tri wac chengll'bi ban3. Phai thu n(li ~ ngin h;;m

Phai thu nOi b(I c6 thOi h\Ul thanh toan con I,i tir90 n~ayua xU6ngPhAi thu nOi ~ c6 thOi h\Ul thanh toAn con lili tren90 ngay

4. PhAi thu hOiiltd(mg giao dich chUng khonnPMi thu hOiiltdQng giao djch chimg khoan c6 thaih\Ullhanh toan con li,lifir 90 ngay lra xuang

Ph3.i lhu hOi,ltdong giao djch chimg khoan co lhOihi;lnthanh toan con Ji,lilrcn 90 ngay

5. Cac khoan phAi lhu khacPhai lhu khac co lhOi hi;lflthanh loan con li,litir 90ngay tr6 xuangPhAi thu khac co thai hi;lflthanh loan con 1,# [ren90 ngay

6. D\I'ph6ng phAi thu ngh. hi;ltlkho dbi (.)

IV. Himg t6n kho

V. Hi san n2An h," khacI. Chi phi tra tnIoc ngan hi;ln2. TImEGTGT duvc khAu trir3. Thue V8cac khoAn phAi thu nhA nuoc4. Hi san ngin hiUlkhac4.1 T\UT1ling

T;;un img colhOi bi;lflhoan ling con I~i tir 90 ngaytnT xU6ngTi,lmling c61hiJi hi,lnhoan ling con li,liIren 90ngay

4.2 ni san ngan hiUlkhac

18. T6NG

176.539

15.857.994

10.000.000

26.03--1.533

7

BAa cAa IT LeAN TOAN TAl CHiNHTill ngay 31 thAng 12 nam 2012I.Bang tfoh van "hi dljlng (ti~p thea)

Van khi dyngvAn khi dvng

STT NOI DUNG Khoan gi:im trir Khoan tAng them

c- TAl SANnAI H~

Cae khoin phil thn dlsi h(l".ki d phil thu tirI. ho~t c1(1n~uy thacI. PhAi thu d.!tih\Ulella khach hang

PMi thu dai h~ ella khlich hang c6 thO'ih;n thanhtoan con lill fir 90 ngAy tro xudngPMi thu dAih," ella khach hang c6 thai h~ thanhtolm con Jili tn!n 90 ngay

2. Van kinh doanh i:J don vi tnrc thul)c3. Ph!i thu dAi hiJ,nnQi bl)

PhAi thu dAi b\UlnQi b(I cO tho; h\Ul thanh loan conlili tir 90 ngay tro xu6ngPhlii thu dAi h\Ulh(li b{l c6 thai h\Ulthanh toan conlili tren 90 ngay

4. Ph!i tim dAi h\UlkhacPha! thu dAi h\Ul khAc c6 thoi h\Ul thanh toan conJili tir 90 ngay trc- xu6ngPh!i thu dAi h\Ul khac c6 thlri hfI1lhanh toan conliJ,iDin 90 ngay

S. DI,lphong pMi thu dfii h\lfl kh6 doi

II. Tai san cA djnb 2.760.0-18 ,,III. B~t dQng san diu hI'

IV. Ok khoan diu tlr fai chlnh dai h~nI. oAu tu vao cang ty con2. oAu fUvao cang ty lien ktt. lien doanh3. oAu fUchimg khoan dAi hpl.

ChUng khoan tic}rnAnnli ro thi trUbng thea quydiM t<;likhoan 2 Dic}u8ChUng khoan bi giant trit kh6i vAn khi d\lJ1g theoquy diM I\li khOM 5 Dieu 5

4. oAu ttl dAi h;,mkhacS. 0\1' ph6ng giant gia dAu ttl tAichinh dai h\ll1

•••,,1v. Hi san dAi h\ln khAc 8.184.003 Vc;Cae chi fieu fai san bi coi IAkhOM ngoi,li trit t<;li .~bao cao lai chinh nl\m dil. du(,JC ki~m loan rna ,AtH

E~Tkh6ng bi tinh giant trit theo quy diM ~iDi~u 5

NlC. TONG IO.9.U.05J ~

VON KIIA DVNG"" IA-18 - Ie 51.525.150.973

8

CONG TY TNHH MQT THANH VlEN QUAN LYQUY £lJiU nI CHUNG KHOAN IPADia chi: sA I, OLrbngNguy~nThu~g Hi~n,Qu~ Hai Sa Tnmg, HAN{)iBAa cAa TY LSAN TaAN TAl CHiNJl

II. BANGTiNH GIA TR! Rill ROTl.Ii ngay 311hang 12 Dam 2012

Don vi tinh: VND

A - RUI RO Till TRUONG

I. Ti~nVBde khoan tU'Ollg~lro1Igli~n.c~netV thi trutrnl! Ii~nIf

I. Ti~n m1l1(VND)2. Cae khoan tucmg duang ti~n3. mAy to' c6 gia. c6ng C\l chuy~n nhw;mgtreD thjwang

tien t~

II. Trai phifu Chfnh phu4. Tnii phi!u ChJnh phil khang tri I!j5. Tnti phi!u Chfnh phil tri. UlisuA! cuAog phi~u5.1 Trai phi~uChlnh pho. TrAiphi~u ChUthphu cae Dlroc

thuOc khAIOECD ho~c duQ'c bao IAnhb6i Chinh phtiho~c NgAn hang Tnmg lIcmg eua cae mrac thuOt kh6inAy.Trili phi!u duQ'c pMt hanh bCri cAe t6 chue qu6ct~mRD, ADB, lADS, AfOB. EIB vA EBRD

5.2 Tnii phiEu c60g trlnh du9'c Ch[nh phu, Bf) Tii chinhbao J1nh co lhOi gian <ti~h;p1con J,i dtrOi J nam;

Tnii phiEu cOng trinh duqc Chlnh phu, B(I rai chlnhbao lanh c6 thOi gian dao h\Ul con I\li tu I toi 5 n4m;

Trai phiEu cong trinh duqc Chinh phu, BOrai chinhbao 1mb cO LbOigian dao h\Ul con I,i fir 5 nAmtro J!n;

lit sA ("ui ro(1)

0%0%0%

0%

3%

3%

4%

5%

Quy rno ("iii ro(2)

20.068.084.9065.000.000.000

Gill trj nil ro(3)~(1)'(2)

•••

III. Trai phi~u doanh n~hifp6. Trai phi~u niem y~t c6 thbi gian dao hi'mcon l!(lidum

I nlim, k! ell. trlii phiEu chuy!n d6iTr;1i phieu niem yEt c6 thlri gian dao h\lIl fir I tm 5Dam, kf ca tnii phieu chuyen d6iTnii phiEu niem yet co thOi gian dao h\lIl tir 5 nAmtrolen, ke Cli trai phifu chuy~n dAi

7. Trai phi~u khOng niem yEt co thOi gian dao h;;mcon l\iiduo; I nlim, kE eft trlii phiEu chuyEn ddiTrAi phiEu khOng niem yEt c6 thlri giao dao h\U1 til J

tm 5 nAm. k~ d. triii phieu chuyc!n ddiTrii phiEu kMng niem ych c6 thbi gian dao h\U1til 5nam tra len. k~ ca tnii phieu chuy~n d3i

8%

15%

20010

""25% ~

"1,30% 'HI,..40% T

'A0'~

9

BAa cAo TV L~ AN ToAN TAl cHINHT~i ngay 31 tMng 12 nam 2012II. Hang tlnh gia Iri nii ro (ti~p thea)

Hy sa rui 1'"0 Qu)" rno nii TO GiA lrj rill ro- Cae hlolng m •••e dAu tit (I) (2) (3)-(1). (2)

IV. eA phi~u 3.961.697.980

8. cA phi~uphO thong, eel phiau tru d!i ella cae 16 chtrc 10% 62.500 6.250ni!m yet !{liS6"Giao dich ChUng khoan HOChi Minh;chim~ chi qu9 rno

9. ee. phi€u ph6 thong. e6 phieu lnt d3i cua cae 10 ehUe 15% 26.411.278.200 3.961.691.730ni!m Yfll\ii S6' Giao dicb ChUng khoan HAN~i

10. CO phi~u phO thOng, c6 phi€u llU d:Ii cae cOng ty d<,ti 20%chling chua niem yet, dAng kYgiao dich qua h~ th6ngUpCom

II. d phiEu phil thOng, cOphi€u uu d:Ii eila cae cOng ty 30%d\li chUng di! dAng ky hm ky, nhung chua niem )'€tho~c dang kYgiao dich; cO phi€u dang trong dQ1 phAIhOnh IAnd.lu (IPO)

12. eA phiall ella cae ding ty ~ichLing khac 50%

V. Chu-ng c:hi qu5 (flu hr chu-ng khoHI113. Qu9 d'iii chLing 10%14. Qu9 thanh vien 30"10

VI. ChU1lg khOlln bi bl;ln chi 2illO djc:h15. ChUng khoan hj ti;lJJlngimg giao djc:h 40%'6. ChUng kho3n hj hUy niem yft, huy giao djch 50"10

VII. ChU1lg khoan khac:- 17. CO phAn. phAn van gop va cae IO'ilichting khoan khac 80%

VIII. I~ui ro tllng them 7.913.383.460Mil chfrng khoan Mfrc tling them Quy rna rui ro Ghi trj rui ro

I. PT' 30% 26.411.278.200 7.923.383.460

A. TONG GIA TRI RUI RO Till TRlfONG 11.885.081."40

10

••~.,""I'vi.,Hi.,

rCONG TV TNHH MQT THANH VIEN QuAN LYQUY DAU Til CHIlNG KHoAN IPADia chi: S6 1, DuOng NguyEn Thlll;mg Hi~n. Qu$n Hai DATnmg.. Ha Nl)iBAa cAo TV LI; AN roAN TAl cHINHT{I.ingAy 31 thang 12 nam 2012II. Ban~ floh gill. Irj flil ro (tiep thoo)

R- Rill RO TIIA~II TO.-'.N

Lo~i hinh glao dlch 0%

I. Rlii ro tnroc IhOi h~n (hanh lolin

I. Ti~n gm kY h'lo" va cae khoAn lifnrho vay khong cO Ui san baa dam

2. eho vay chfrng khoan3. Vay chUng khoan4. Hgp d6ng mua chUng kho3n co

cam k~t ban [il-i5. Ht;1pd6ng ban chUng khoan co cam

k~t mua lai6. HQP dAng cho vay mua kY qu9 (eho

khach hang vay mua chfrngkhoanycae lhoa thu~ kinh t~cOdme: ban chSI

II. Rlii ro qui lhOi h," Ihanh IfIllnThOi gian quA h'lo"

I. 0 - 15 ngay sau thm hiUl thanh toan, chuyen giao chting khO<in2. 16 - 30 ogay sau IhOi h:;mthanh toon, chuy~n giao chring khoan3. 31 - 60 ngay sau Ihm h;m thanh loan, chuy~n giao chUng kholUl4. Tir 60 ngay lro di

III. Rili ro tling themChi tj~!1m tlrng khotm yay. toi timg d6i tac

I. Ti~ngli!~! Ngdnhang Vi~ A

n. T6NG GIt\. TRI RUI RO TIIAl\:1I TOAN

\\:"_\-'- ~ a'''' '%J<::11

0,8-;.Gli Irl rul ro

3,2./. -1,8./. 6./.

23.900.000.000

-.

iii sA rul ro)6%32%48%100%

I\Ifrc tlIng them30%

8-;.

460.275.653

Ouy mo rul ro

Ouy ma rill ro18.900.000.000

TAng git trlnil rtl

1.470.812.052

1.434.000.000

36.822.052

Gli trl nil ro

5.670.000.000Cia Irl nii ro5.670.000.000

7.1-10.81:2.052

II

eONG TYTNHH MQTTHANH VIEN QUAN LV QUY£lAU WeHlING KHOAN IPADja chi: s6 I. DuOng Nguyen ThUQIlg Hi€n. Qu~ Hai Ba Tnmg. HAN~iBAo cAo TV I.e ANTOANTAl culm!T\li ngay 31 tMng 12 nlim 2012II. Bin2 Hoh gia ttl rill to (ti~p thea)

c. Rlll RO HO~T DONG (TiNIl TRONG VONG 12 THANG)

I. TAng chi phi ho:"t c'li}ng phs! sinh Irong \'ong 12 thang 7.559.356,401

II. Cae khosn gl8m trit JiMi tBng chi phi ( l,179..&44.S-U)I. Chi phi khAu haa 4.731.5162. DV phOng gi:l.m gill.dAu III chUng khoan ngan h\lIl (579.606.358)3. DV'phong giam gJa diu tu chUng khoan dAi h.;m (604.570.000)4. o..r phong phAi thu khO dol

III. TAng chi phls8u khi giam trlr (III - I - II) 8.738.801.243

IV. 25.;' Tang chi phlsau khl giam Irir (IV - 25% III) 2. I 8.J.700.J II

V. 10.;' VOn phap djnh eua fA chlh:' klnh doanh chU'ng kho8n 5.000.000.000

C. T()NG CIATRJ Rln RO 1I0~T DQNG(C=Max flV, VI) 5.000.000.000

- D. T()NG CIA TRJ RUI RO (A + B + C) 2.1.025.903.-192

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-

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IAI- ~l.(..>

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-

CONG TY TNHH MOT THANH VIEN QUAN LY Qui flAU TU CHU'NG KHOAN IPADja chi: sA I. DuOng Nguy~n Thm;mg HiEn. Qu~ Hai SA Tnmg, Hi\ N(:liBAD CAD TV L~ AN ToAN TAl CHINH

III. BANG TONG HQP cAc CHi T1EU RUt RO vA VON KHA Dt)NGTll'i nga)" 311hang 12 nam 2012

Van kha d'.lnWT6ngSIT cui TlCU gla trj rui ro Ghi chli

I. T5ng giii tri rid ro thj truang 11.885.081.4402. TAng gill tri rui fO lhanh lOan 7.140.822.0523. TOng gia tri nii fO ho."t dQng 5.000.000.0004. Tan~ 2ia Irj rui fO (4 - I + 2 + 3) 24.025.903.492

s. Vim khi d •••ng 51.525.150.973

6. Ty If an toan "lin khli dyng (6 - 5/4) 214%

13