Utitk *C flY QUYEN t oP•6T136 N ONG TIN

( c \

Trin Ttl Lan

TAP DOAN DAU KHI VIET NAM CONG TY

CO PHAN CHUNG KHOAN DAU KHi

CONG HOA XA HOI CHU NGHIA VIET NAM DOc 14p - Tv do - Hanh phtic

Ha N0i, ngity lahHang 9. nam 2017

CONG BO THONG TIN TREN CONG THONG TIN DIN TI CI:TA UY BAN CHUNG KHOAN NHA NU.43C VA CAC S6 GIAO DICH CHUNG KHOAN

Kinh - Uy ban Chun khoan Nha rm•• - So' Giao dich Chung khoan TP HCM - So' Giao dich Ch'ing khoan Ha NOi

Cong ty: Co phan Chirng khoin Dau khi

Ma chirng khodn: PSI

Dia chi tru so chinh: tang 2 tOa nha Hanoitouris- s6 18 I4 ThuOng Kiet — Ha NOi

Dien thoai: (04)393 438 88

Fax: (04) 393 439 99

Ngtroi thuc hien cong b6 thong tin: Tran Tir Lan

Dia chi lien lac : tang 2 Oa nha Hanoitouris- s6 18 I4 Thuemg Kiet — Ha NOi

Dien thoai (di dOng, co. quan, nha rieng): 0913300522

Loai thong tin cong b6 ❑ 24 gib ❑ 72 gig ❑b& thuong ❑the° yeti cAu Ei/dinh kST

N6i dung thong tin cong b6 (*):

Bao cao Quin tri nam 2016 (file giri kern)

Thong tin nay da dugc cong b6 ten trang thong tin dien to dm ding ty vao ngay

15/.4../2017 tai duimg dan: http://psi.vn Chung toi xin cam ket cac thong tin cong b6 tren day la dung su that va hoan toan

chiu trach nhi'em twat phap lust ve nOi dung cac thong tin da cong b6.

Nai nh On: - Nhtr tren; - Chu tich HDQT(a b/c) - Lau VT.

CONG TY CO PHAN CHUNG KHOAN DAU ICHi

Company name

so: SPO No.

CQNG HOA XA HO CHU NGHIA VIET NAM THE SOCIALIST REPUBLIC OF VIETNAM

Doc Yap - Tu. do - Hanh ph& Independence - Freedom - Happiness

Ha NQi, ngety4thango4 nam 010/3— Ha Noi,day month year

BAO CAO TiNH HINH QUAN TRI CONG TY NIEM YET REPORT ON CORPORATE GOVERNANCE OF LISTING COMPANY

(12 thing) (12 months)

Kinh

fly ban Chang khoan Nha nude; Sa Giao dich Chirng khoan Ha NOi; S6. Giao dich Chdng khoan H6 Chi Minh.

To:

The State Securities Commission; The Stock Exchange

Ten cong ty niem yet/Name of listing company: C6ng ty Co phan Chirrig khoan Dau Khi

Dia chi tru so chinh/Address of headoffice: Tang 2 'Re nha Hanoitourist, s6 18 1_,j, Thuong

Kiet, Quan Hoan Kiem, Thanh ph6 Ha NOi

Dien thoai/ Telephone: (84-4) 3934 3888 Fax: (84-4) 3934 3999 Email: mail.psi.vn

V6n dieu le/ Charter capital: 598.413 ty d'Ong

ma chimg khodn/ Securities code: PSI

I. Hog diing cua Dai hOi Wing co donglActivities of the General Meeting of Shareholders

Th6ng tin ye cac cuOc hop va Nghi quyet/Quyet dinh cua Dai hOi d6rig c6 &mg (bao g6m

ca cac Nghi quyet cua Dai hei d6ng c6 dong dtrot th6ng qua dad hinh thirc lay jf kien

bang van ban)/ Information on meetings and resolutions / decisions of the General Meeting

of Shareholders (including the resolutions of the General Meeting of Shareholders adopted

in the form of written comments):

Stt

No.

S6 Nghi quyet/ Quyet

dinh Resolution/Decision

NO),

Date

Nei dung

Content

No.

- Thong qua Kt hoach kinh doanh nam 2016;

- Thong qua Bao cao hog dOng cua HDQT ve quail tri va ket qua hog Ong cua tirng thanh vien HDQT nam 2015 va phirang

01 0 UNQ-DHDCD-CKDK

26/04/2016

(Hop trtrc tiep)

huong hog d6ng nam 2016; Thong qua Bdo cdo hog Ong cna BKS ve ket qua kinh doanh cua Cong ty, ve ket qua hog dOng cud. HOi ang quan tri, Giam d6c nam 2015 va phuong huang hog dOng Wain 2016; Thong qua Bdo cdo tkr danh gid ket qua hog dOng dm Ban kiem sok va cua tUng Kim soat vien !tam 2015; Thong qua TO trinh viec phan chia loci nhulan; Thong qua TO trinh Quyet Wan quy thin lao ctia HDQT va BKS nam 2015, Ice hodch thit lao HDQT, BKS nam 2016; Thong qua TO trinh ve lua chon don vi kiem town; Thong qua Ti trinh ve not dung b'au thay the thanh vien HDQT; Thong qua Ti trinh sirs doi, b6 sung Dieu le theo LDN 2014; Thong qua To trinh ye nOi dung bau thay the thanh vien BKS.

12/10/2016

Thong qua viec Ngan hang TMCP Ddi Chung Viet Nam nhan chuyen nhugng On Op a tang t-S, le Op von tai PSI len tren 50% to cac Co dOng: Cong ty TNHH MTV quan ly quy Ngan hang TMCP C6ng thucmg Viet Nam, Cong ty CP D'au to va kinh doanh tai san Viet Nam, Cong ty CP Dalt to tai chinh C6ng doan adu kill Viet Nam va C6ng ty CP Du lich bier: My Khe.

02 02/NQ-DHDCD-CKDK

(ldy y kien bang van ban)

IL H6i dtmg quan tri (Bao cao 6 thang/nam)/ Board of Management (Semi-annual/annual

reports):

1. Thong tin ve thanh vien HOi d8ng quan tri (HDQT)/ Information about the members of the

Board of Management:

Stt Thanh vien Chirc vu/ Ngay bat SO bu8i TS, le 14 do khong tham No. HDQT/ Position du/khong hop HDQT tham dkr du. hop/ Reasons for

BOM's con la tham du/ hop/ absence member thanh vien

HDQT/ Number of attendance

Percenta ge

Day becoming/n

o longer

member of the Board

of Manageme

nt

1. Ong Nguy8n

Anh Tuan

CT.HDQT B&I (IL:

30/03/2016

28/28 100% Ong Nguygn Anh

Titan dugc ban be

sung va &roc bau la

Chit tich HDQT thay

ba Hoang Hai Anh

2. Ba Hoang Hai

Anh

UV.HDQT ki6m Giam

crOc

Bk du:

22/09/2010

(Be nhi01

PGD)

30/30 100%

3. Ong Trill"'

The Phtrong

UV.HDQT Bat dau:

18/03/2014

30/30 100%

4. Ong Bui The

Anh

UV.HDQT MAt to

each:

13/04/2016

6/6 100%

Ong Dao Quee Bao

duge HDQT bau

thay the Ong Bin

The Anh trong IcSr

bar) eao 5. Ong pao

Quec Bao

UV.HDQT Bit du:

13/04/2016

24/24 100%

6. Ong Nguyen

Sinh Diing

Thing

UV.HDQT Mit tu

each:

31/05/2016

10/10 100% Ong Truang Quec

Dung doge HDQT

bau thay the Ong

Nguygn Sinh Dung

Thing trong IcSr bao

cao.

Ong Truang Quee

Dung ea don xin tir

nhiOm thanh vien

HDQT dOe lap ngay

14/09/2016 va dirge

HDQT thong qua tai

cuOc h9p HDQT qu)",

7. Ong Trtrang

Quoe Diing

UV.HDQT MAt tu

each

14/09/2016

14/14 100%

III ngay 28/09/2016

8. Ong Takahiro

Yazawa

UV.HDQT Mat to

each:

29/03/2016

1/1 100%

De thuc hien nhiem

vv khac va dtroc

DHDCD thong qua

9. Ong Doan

Thanh Nhan

UV.HDQT Mat to

each:

29/03/2016

1/1 100%

10. Ong Nguygn

Viet Ha

UV.HDQT mat to

each:

29/03/2016

1/1 100%

2. Hog Ong giam sat cua HDQT Oi vai Ban Giam d6c/ Supervision by the BOD over the

Director (General Director):

Trong nam 2016, HOi Ong Quail tri thuang xuyen giam sat hog Ong oh Ban Giam d6c

va cac 1)0 ph4n quan ly khac thong qua co the phan cong nhiem vv cu the, ro rang nham

danh gia hieu qua lam viec cila Ban Giam d6c dam bao hog Ong ctita Cong ty &rot minh

bath, tuan thit dung phap 14t, trie'n khai that hien theo Ong cac Nghi guy& cila HOi d6ng

quan tri. HOi Ong quan tri da that hien nhiem vu giam sat hog Ong cila Ban Giam d6c

thong qua:

- Chit tich HDQT true tiep t6 chtirc cac cuOc hop vai cac Kh6i va co j, kien, ket 1u4n.

- HO Ong quail tri xem xet danh gia viec that hien Ice hoach kinh doanh thong qua cac

bao cao, van ban dm Ban Giam doe va bao cao guy, giri HOi Ong quail tri. Chit' tich

HDQT tit do CO bien phap chi dao kip thei Ban Giam GI& dap Crng cac yeu cau hog

Ong kinh doanh cua Cong ty.

- Thong qua cac ti6u ban gititp viec de tham gia, giam sat true tiep cac hog Ong va nang

cao tinh tuan thit cila Ban Wm Oc.

3. Hog dOng ctita cac tieu ban thuOc HOi Ong quan tri/ Activities of the Board of Directors'

committees:

3.1 PhOng Kiem toan not bO

Phong kiem toan not bi) la don vi ghlp viec HOi Ong quan tri. Trong nam 2016, Phong

Kiem sok not bO da trien khai that hien cac cong viec cu the sau:

ThAm dinh va coy kien ve tinh phap IS va tinh tuan thu trong cong tac xay dung cac

quy trinh, quy che, quy dinh cua C6ng ty;

Tien hanh cac hog Ong kiem tra di vdi hoat Ong ciia cac don vi trong cong ty trong

pham vi chat nang cua Kiem toan N6i b6;

- Co St kien ve tinh phap 1S/ va tinh tuan thu cua cac de xuAt, to trinh cna Ban Dieu hanh

va cac don vi ra truck HDQT, 110i d6ng 'Au tu, H6i Ong Chinh sach dich vu khi co

yeu cau;

- Phi h9p ding Phong Tai chinh Ke toan lam du mei lam viec ding Kiem toan Oc lap

thAm dinh Bao cao Tai chinh QuS/, Ban nien.

Thkrc hien cac chi dao cua Chi" tich HDQT trong viec kiem tra, tham dinh cac h6 dkr

an &Au W. dm PSI hoac cua cac Doanh nghiep ma PSI la CO (long lan va c6 cir Ngtrai

dai dien;

- Duy tri viec xem xet danh gia tinh hinh thkrc hien cac Nghi quyet, Quyet dinh , chi dao

cua HDQT;

Gam sat va danh gid hog Ong cCia Quan tri rui ro trong toan he th6ng;

Cfr can b6 tham gia cac khoa tap hudn, dao tao nghiep vu nham dam bao hoan thanh tot

chirc nang, nhiem vu cua Kiem toan not b6.

3.2 H6i d6ng chinh sach dich vu

Hqi d6ng Chinh sach dich vu chang kho ducfc thanh lap theo Nghi quyet 12/NQ- HDQT-

CKDK ngay 16/06/2016 dm HDQT.

3.3 H6i d6ng D'Au to &ITN thanh lap theo guy& dinh s6 18/QD- HDQT ngay 13/10/2014 dia.

H6i d6ng quan tri PSI.

4. Cac Nghi quyet/Quyet dinh cua H6i d6ng quan tri(nam 2016)/ Resolutions/Decisions of the

Board of Directors (Semi-annual/annual reports):

Stt S6 Nghi quyet/ Quyet Ngay N6i dung

No. dinh Date Content

Resolution/Decision

No.

01/NQ- HDQT- CKDK

- Thong qua ket qua hog Ong kinh doanh dm ram 2015 va ke hoach san xuAt kinh doanh nam 2016;

01 29/03/2016 - Th6ng qua chtrang trinh va n6i dung h9p (H9p true tiep)

DHDCD nam 2016; - Thong qua viec thay dOi thanh vien

HDQT:

+ Mien nhien chac danh thanh vien HDQT diSi 'Ong Nguyen Viet Ha ke tir ngay 29/03/2016;

+ Mien nhien ch(rc danh thanh vien HDQT doi Ong Doan Thanh Nhan ke tit ngay 29/03/2016;

+ Mien nhien ch(rc danh thanh vien HDQT doi 6ng Takahiro Yazawa ke tir ngay 29/03/2016;

02 02/NQ- HDQT-CKDK

(Hop true tiep) 30/03/2016

- Thong qua Ket qua hog dOng kinh doanh nam 2015;

- Thong qua chtrorng trinh va not dung hop DHDCD nam 2016; Uy quyen cho Chu tich HDQT hoan thien va phe duyet Tai lieu tuft khi gth xin S, kien DHDCD. Giao Ban Dieu hanh t6 ch(rc hop DHDCD theo dting quy dinh;

- Thong qua co cau thanh vien HDQT g6m 05 thanh vien, trong do 01 Chu tich;

- Thong qua viec tam till:A 116 sung ong Nguyen Anh Tan la thanh vien HDQT ke tir ngay 30/03/2016.

03 03/NQ- HDQT-CKDK (Lay St kien bang van

ban)

12/04/2016

- Thong qua viec cir/thay the ngtroi dal dien tai cac doanh nghiep theo not dung TO trinh s6 11/TT-CKDK ngay 05/04/2016;

_ Uy qu)4'n cho Ban Dieu hanh thuc hien cac the" tie lien quan de cir/thay the nguoi dai dien tai cac doanh nghiep theo phe duyet Oa HDQT.

04 04/NQ- HDQT-CKDK (Lay S, kien bang van

ban) 12/042016

- Th6ng qua de xuat cita Cong ty ve viec killing dong Sr phirang an tai cau trtic Cong ty CP Dail to Be tong Cong nghe cao; Uy quyen cho Ban Dieu hanh thuc hien cac thei tuc lien quan (neu co).

05 05/NQ-HDQT-CKDK (Lay S, kien bang van

ban) 13/04/2016

- Giao nhiem vu cho ba Tran Ta Lan gift nhiem vu Phu trach phong Kiem toan N6i bO - C6ng ty co phan Chang khoan Dau khi; Thu. thach 6 thang.

06 06/ NQ-HDQT-CKDK (Lay 5, kien bang van

ban)

13/04/2016

- Thong qua mien nhiem chirc danh thanh vien HDQT d6i vai 'Ong Bid The Anh ke tit ngay 13/04/2016;

- Th6ng qua viec tam thai b6 sung king Dao Qu6c Bao la thanh vien HDQT Ice tir ngay 13/04/2016;

- Uy quyen cho Chia tich HDQT thirc hien va hoan tat cac tha toe lien quan den viec thay d6i nhan so.

07 07/ NQ-HDQT-CKDK

, (Hop true tiep)

26/04/2016

- Be nhiem 6ng Nguyen Anh Tun la Chu tich HDQT va la ngtroi dai dien trtrac phap luat dia C6ng ty;

- Ba Hoang Hai Anh tiep tuc gift chirc via Giam dee Cong ty.

08 08/ NQ-HDQT-CKDK

(Hop true tiep)

29/04/2016

5

- Thong qua Ket qua hoot Ong kinh doanh Quy 1/2016 va ice hooch hog deng kinh doanh Quy 11/2016;

- Thong qua Phtrang an xir 1 , dei vai nhom tai khoan eon doing tai chi nhanh HCM theo nei dung de xuAt tai To. trinh 14/TT- CKDK va 15/TT-CKDK ngay 22/04/2016.

09 09/ NQ-HDQT-CKDK

(Hop trkrc tiep) 18/05/2016

- Thong qua viec Ong Nguyen Sinh DUng Thing xin tir nhiem Cry vien HDQT dee lap ke tir ngay 31/05/2016;

- Thong qua viec bAu be sung 6ng Twang Quec Dung

- Lam thanh vien HDQT dee lap thay the ong Nguyen Sinh Dung Thing sau khi tir nhiem.

10 10/ NQ-HDQT-CKDK

(Hop trot tiep) 18/05/2016

- Thong qua nei dung thay d6i ca cAu to chirc cua Cong ty theo de xuat cila Ban Giam dec tai ter trinh s6 19/TT-CKDK ngay 16/05/2016;

- Thong qua nei dung Quy dinh hoat deng dm Ban Giam dec theo nei dung Tar trinh se 20/TT-CKDK ngay 16/05/2016 dm Ban Giam cl6c; Uy quyen cho Chu tich HDQT sfra dei, ban hanh Quy dinh hoat deng dia. Ban Giam doe;

- Giao nhiem vu cho 6ng Nguyen Sinh Dung Thing lam c6 van Hei (long quan tri sau khi tir nhiem UV HDQT dec lap ngay 31/05/2016;

- Giao Ban Gam dee de xuAt va ily quyen cho Chil tich HDQT quy6t dinh cu nhan sir thay the sau khi ba Nguyen Minh Thu), chinh thirc thoi dam nhan Thu 14, Cong ty.

L I

11/ NQ-HDQT-CKDK

(LAy S/ kien bang van 09/06/2016 - Thong qua a xuAt lira chon don vi kiem

toan tai 0 trinh s6 05/TT-KTNB ngay

ban 06/06/2016 dm Pheng Kiem toan not 130.

12 12/ NQ-HDQT-CKDK

(Hop trip tiep) 16/06/2016

- Thong qua viec dieu chinh thanh phan HOI dog chinh sach dich via tai chinh cila Cong ty.

13

13/ NQ-HDQT-CKDK

(Lay j, kien bang van

ban)

21/06/2016 - Tilting qua viec ban hanh Quy the quan 1 , tai chinh cilia Cong ty.

14

14/ NQ-HDQT-CKDK

(LAy y Men bang van

ban)

01/07/2016 - Ban hanh Quy the hog Ong dich via tai

chinh dm Cong ty CP Chi:mg khoan DAti khI

15/ NQ-HDQT-CKDK

15 (LAy y kien bang van

ban)

11/07/2016 - Phe duyet chil twang nang cap phAn mem giao dich tai PSI

16

16/ NQ-HDQT-CKDK

(Lay 3', kien bang van

ban)

8/7/2016 _ Titp nhan va giao nhiem vu can 136

17 17/ NQ-HDQT-CKDK

(Hop trip tiep) 14/7/2016 - Nghi quyet phien hop HDQT dinh IcS, Qt4,

11/2016

18

18/ NQ-HDQT-CKDK

(LAy 3', kien bang van

ban)

26/07/2016 - 1(5, hop d6ng WA PVcomBank

19

19/ NQ-HDQT-CKDK

(LAy y kien bang van

ban)

26/07/2016 - Phat hanh trai phieu PSI

20

20/ NQ-HDQT-CKDK

(LAy 5, kien bang van

ban)

27/07/2016 - Ban hanh Quy the hog dOng dAu to caa Ging ty CP Chang khoan Dau khl.

21

21/ NQ-HDQT-CKDK

(LAy y kien bang van

ban)

1/8/2016 _ Tip nhan va giao nhiem vu cho can b6

22 54/QD-HDQT

(Theo Oy quyen) 3/8/2016 - Ban hanh Quy the Cong b6 thong tin

23

22/ NQ-HDQT-CKDK

(LAy 3', kien bang van

ban)

15/08/2016 - Thay d6i lai suAt trai phieu dm PSI

24

23/ NQ-HDQT-CKDK

(LAy j, kien bang van

ban)

31/08/2016 - Trieu tap DHDCD bAt darting 2016

25

24/ NQ-HDQT-CKDK

(Lay y Men bang van ban)

1/9/2016

- Xin y kien DHDCD v/v Thong qua viec Ngan hang TMCP DO Chang Viet Nam nhan chuyen nhuong von gOp a tang ty le gOp von tai PSI len tren 50%. Hinh tilde xin 3", kien: Bang van ban va thuc hien ch6t danh sach c6 (long.

26 58A/QD-HDQT

(Theo fly quyen) 30/09/2016 - Thanh lap Ban kiem phieu DHDCD

27 58A/QD-HDQT

(Theo KL hop HDQT) 30/09/2016 - Giao nhiem va cho can 1)0 (Ong Nguyen

Manh CuOng)

28 25/ NQ-HDQT-CKDK

(Hop true tiep) 7/10/2016 - Nghi quye't phien hop HDQT dinh kSt q4

111/2016 ngay 28/09/2016

29 59/QD-HDQT

(Theo KL hop HDQT) 30/09/2016 - Ban hanh so d6 t6 chircdm PSI

30

26/ NQ-HDQT-CKDK

(Lay 3% kien bang van

ban)

7/10/2016 - Th6ng qua Ca cau chirc danh cila C6ng ty CP Chirng khoan Dau khi

31 60/QD-HDQT

(Theo ily quyen) 7/10/2016 - Ban hanh dinh mire chi phi

32

27/ NQ-HDQT-CKDK

(Lay S, Men bang van

ban)

31/10/2016 - Sfra ai Quy the ve cong tac quan V( nhan

su va the dO chinh sach cfla C6ng ty CP Chirng Ichoan Dan khi

33 62/QD-HDQT

(Theo fly quyen) 2/11/2016 - Dieu chinh mire luong chirc danh cong

viec (Ong Mc:11-1611g Ducmg)

34 63/QD-HDQT

(Theo fly quyen) 8/11/2016 - Cu. can 1)0 di cong tae Philippines

35

28/ NQ-HDQT-CKDK

(LAy St ki6n bang van

ban)

22/11/2016 - Sira d6i b6 sung dien le Cong ty CP du ttr be tong cong nghe cao - Sopewaco ,

36 64/QD-HDQT

(Theo fly quyen) 1/12/2016 - Giao nhiem vucho can 1)0 (Ba Tran Tli

Lan)

37 65/QD-HDQT

Lay S/ kien bang VB) 5/12/2016 - B6 nhiem lai chirc danh Ph6 Giam doe

C8ng ty vai Ong Dang Minh Quang

38 69/QD-HDQT

(Theo fly quyen) 9/12/2016 - Thanh lap HOi d6ng tuyen dung cap

HDQT

39 67/QD-HDQT

(Theo fly quyen) 9/12/2016 - Thanh lap HO d6ng thi dua khen thuong

40 68/QD-HDQT 9/12/2016 - Thanh lap HOi ding luong

Stt I Thanh vien No. BKS

Members of Supervisory

Board

Chdc vu Position

Ngay bat dau/khong con la thanh vien

BKS Day

becoming/no longer member

of the Supervisory

Board

SO bu6i h9p BKS tham

du Number of attendance

TS, le tham du hop

Percentage

LS, do khong

tham du hop

Reasons for

absence

Twang ban

Kiem soat

Bat &Au: 14/02/2008

(B6 nhirn

KU)

1. Ong Nguyen Van Nhiem

2/2 100%

Ong Biri The Anh

Ba Pham Thu Thia

TV.BKS

TV.BKS

BAu b6 sung: 14/04/2016

BAu 1)6 sung: 26-04-2016

100%

100%

1/1

1/1

4. Ong Doan

Ngoc Ltru

TV.BKS Mien nhiem:

14/04/2016

1/1 100% Tir nhiem theo

nguyen \tong ca

5. Ba Nguyen TV.BKS Mien nhiem: 1/1 100% nhan

Dieu Trinh 15/04/2016

(Theo Oy quyen)

66/QD-HDQT

1

41 (Theo Cry quyen)

9/12/2016 - Thanh lap flOi dong kS, luat

III. Ban kiem soar (Warn 2016)/ Supervisory Board(Semi-annual/annual reports):

1. Thong tin ye thanh vien Ban Kiem soat (BKS)/ Information about members of Supervisory Board:

2. Hog (king giam sat cfra BKS d6i vori HDQT, Ban Gam d6c dieu hanh va c6 dong Surveillance activities of the Supervisory Boardtoward the Board of Management, Board of Directors and shareholders: Ban Kiem soar (BKS) bao gom ba (03) thanh vien do Dai hOi dong c6 dong (DHDCD) bAu

ra de thkrc hien cac hoat dOng giam sat theo quy dinh cua phap lug va Dieu le Cong ty.

Trong narn 2016, doge sir ph6i h9p chat the cua HOi ding Quan tri (HDQT) va Ban Dieu

hanh (BDH), BKS tiep tuc thkrc hien cong tac kiem tra, giam sat va khuyen nghi thkrc hien

nhang thay d6i can thik tai PSI a gap phAn tang hieu qua ciia hog dOng quan ly rui ro va

nang cao chAt Itivng quan tri doanh nghiep.

Trong nam 2016, mac du phai hoat Ong trong mOt mai twang kinh doanh khong thuan

canh tranh gay gat, gay anh hiroTig khong nhO den sir phat trien cua thi twang chirng

khodn. Tuy nhien theo danh gid cua BKS, HDQT, Ban GD da hoan thanh cac chi tieu ice

hoach dupe giao trong nam 2016, Ong thoi tuyet d6i tuan thu cac quy trinh va quy dinh

trong hog Ong dieu hanh doanh nghiep theo dieu le, quy the Quan tri not b6 va cac quy

dinh phap Vr hien hanh. Cu the:

■ D6i voti HDQT

- HDQT eta t6 chirc hoot ding phu hop quy dinh tai Dieu le va Quy the quan tri Cong ty,

dam bao v'e s6 cu'Oc hop, s6 thanh vien tham du de ddp Ung tinh phap 1y va hieu qua

cu6c hop.

Dua ra cac dinh huong trien khai mot each et' the, kha thi va giam sat chat the viec

thtrc hien cac Nghi guy& cua DHDCD va hog Ong san xuAt kinh doanh cua Cong ty.

HDQT da dua ra cac dinh huong va giam sat thIrc hien viec trien khai cac chtrong trinh

quan trong cua Cong ty nh.r he th6ng quan ly rui ro, kiem town nOi bO, he thong KPIs

town ding ty, chuong trinh hoach dinh nhan sv tir Giam d6c den twang phong lien

quan.

■ Doi vo'i BGD

T6 chic, trien khai cac hog Ong kinh doanh theo dung sir chi dao, nghi quyet cua

HDQT, tir do da hoan thanh cac chi tieu ke hoach kinh doanh nam 2016.

- Giai guy& ve ca ban cac ton d9ng tir cac hop d6ng mua ban chUng khoan có k-S, han va

h9p tdc dau to theo you cAu cua UBCKNN.

- Tang ctrong quan tri cac doanh nghiep trong danh muc dau to OTC, dr ngtrOi tham gia

trtrc tiep vao HDQT, Ban Dieu hanh de nam bat thong tin, h6' trg doanh nghiep thdo ga

khO khan, phvc h6i va phat trien.

Hoan thien viec ra soat co the tien Wang va danh gia CBNV toan C6ng ty, dam bao

canh tranh, cong bang, hieu qua.

De day math hoat d6ng moi & dich vu chang khodn; tilde day cong tdc thodi von

c6 phieu OTC va hoan thien co. the cua Kit& Van hanh.

Xay dung he th6ng KPIs cho cac kh6i, gait hieu qua cong viec vai tien Luang, tien

thuang va danh hieu thi dua cua tap the ca nhan.

3. Su phi h9p hog Ong giita BKS d6i WA hog Ong cua HDQT, Ban Wm d6c dieu hanh

va cac can b6 quan 1y khdc/ The coordination among the Supervisory Boardwith the Board

of Management, Board of Directors and different managers:

Trong nam 2016, dtrgc sir ph6i hop chat the cua HGi d6ng Quail tri (HDQT) va Ban Dieu

hanh (BDH), BKS tiep tvc thtrc hien cong tac kiem tra, giam sat va lchuyen nghi thirc hien

nhtIng thay d6i can thiet tai PSI a Op phan tang hieu qua cua hog Ong quan ly rui ro va

nang cao chit Wong quan tri doanh nghiep. Cu the:

HDQT, Ban GD va cac don vi da thirc hien viec cung cap thong tin va tao dieu kien cho

Ban kiem soat &roc fief:, can voi tai lieu de kiem tra, giam sat.

- Ban Kiem soat da nhan duce skr ph6i hop chat the trong hoat dGng kiem soat cua

HDQT va cac don vi lien quan trong cong ty.

- Trong nam 2016, HDQT, Ban GD va cac b0 phan lien quan trong cong ty khong c6

mot sir can tro nao trong hoat dGng dia Ban Kiem soat.

Ve co ban cac thong tin va tai lieu cung cap da dap ling dugc yeu eau dm Ban Kiem soar.

4. Hoat dGng khac cua BKS (nEu co)/ Other activities of the Supervisory Board(if any):

Ban Kiem soat (BKS) bao gem ba (03) thanh vien do Dai hQi dog co (long (DHDCD) bau

ra a thkrc hien cac hoat dGng giam sat theo quy dinh cua phap luat va Dieu le Cong ty.

Trong nam 2016, dugc sir phoi hop chat the cua HOi deng Quail tri (HDQT) va Ban Dieu

hanh (BDH), BKS tip tyc thtrc hien cong tac kiem tra, gidm sat va khuyEn nghi thkrc hien

nhitng thay d6i can thiet tai PSI de gop phan tang hieu qua dia hoat (ging quan 19 rui ro va

nang cao chAt luting quan tri doanh nghiep.

Trong nam 2016, BKS da tham dkr day du cac cutic hop HDQT hang quy va theo yeu cau,

nam bit kip thai tinh hinh kinh doanh cua Cong ty va dang gop y kiEn voi HDQT va BGD

trong viec thyc hien cac myc tieu da dugc DHDCD phe duyet. Ngoai ra BKS da tien hanh

cac cong viec khac nhu sau:

Tharn dinh BA° cao soat xet 6 thang nam 2016

- Kiem tra, ra soat hoat Ong kinh doanh tai cac Chi nhanh H6 Chi Minh, Wing tau, trong do tap trung vao cong tac kiem ke, hach toan ke toan va giai quyet cac ton dGng ye m6i giai chirng khodn. Phi hop ding Ph6ng KiEm toan NGi bG, Kiem soat rui ro tien hanh cac hoat dOng kiem

tra dinh kS/, cha yeu dual khia canh tuan du) va mQt so diem trong yeu;

IV. Dao tao ve coin tri cong ty/ Training on corporate governance:

Cac khOa dao tao ve quan tri cong ty ma cac thanh vien HDQT, thanh vien BKS, Giam doc

(T6ng Giam doe) dieu hanh, cac can bG quan 19 khac va Thu k9 cong ty da tham gia theo

quy dinh ve quan tri cong ty/ Training courses on corporate governance which members of

Board of Management, members of the Supervisory Board, Director (CEO), other

managers and company secretary was involved in accordance with regulations on

corporate governance:

- Ban Giam d6c da cir 6ng Dang Minh Quang — Ph6 giam d6c C6ng ty tham gia kh6a

hoc ve Quail tri Cong ty do Ngan hang TMCP Dai chung Viet Nam t6 chac.

V. Danh sfich ye ngirofi co lien quan cfia tong ty niem yet theo quy dint* tai khan 34 Dieu 6 Lu'fit Chfing khoan va giao djch cfia ngu'Oti co lien quan cfia ding ty v61 chinh Ging ty / List of affiliatedpersons of the public company as specified in clause 34, Article 6 of the Securities

Law (Semi-annual/annual reports) and transactions of affiliatedpersons of the Company with the Company)

1. Danh sach ve ngu6i co lien quan cua ding ty/ List of affiliatedpersons of the Company

ding qufin tri

Ghi chei/Note: So Gay NSH*: So CADID/HO chliu (clOi voi ca nhein) hoc So GCN clang ky doanh nghigp, Gay phep hoot clang hoc gay to phap if/ twang dwang (clOi vdi to chtic)/NSH• In case of individual: ID card/Passport No.; In case of organization: License of establishment and operation/Certificate of business registration/equivalent legal documents.

STT No.

Ten to chitc/ca nhan Name of organizati

on/individual

TM khoan giao dich chfrng

khoan (neu co) Securities

trading account (if any)

Chile AT tai cong ty (neu co) Position at the company (f

any)

So GiAy NSH*, ngay cap, nai

cap NSH No.*, date of issue, place of issue

Dia chi Up sof chinh/ Dia chi lien he Address

Thai diem bat dAu la ngtrei co lien quan Time of starting to be affiliated person

Thad diem khong can IA nguoi co lien quan Time of ending to be

affiliated person

LS, do Reasons

1. Ong Nguyen Anh

TuAn

Chu tick

HDQT

A 012754537 cap

ngay 4/3/2005

C.A HA Ni

53 Lac Trung,

Hai BA Trung, HA

NOi

30/03/2016 DHDCD thong qua

ngAy 26/04/2016

2. BA Hoang Hai Anh

•

UV HDQT

kiem Giam doe

011988062

Cap ngay

16/9/2004

C.A 1-1a MO

12/9 HuYnh Thuc

Khang, Deng Da,

Fla NO

22/09/2010 .

(BO ni'm POD) il

3. Ong Trinh The UV.HDQT 017390259 P 1707 CT4B 11/02/2015

Phtrang 14/7/2012 C.A

Ha NOi

Khu DT Xa La,

PhuLa, Ha Dong,

Ha NOi

4. Ong Dao QuOc Bao UV.I-IDQT 011815622

012754537 cAp

ngay 3/9/2009

C.A Ha NOi

85 Tra'n QuOc

Toan, Hoan

Kiem, Ha NOi

13/04/2016 dkrqc HDQT

Ong Bao

ban b6 sung sau khi Ong

The Anh duot

DHDCD thOng qua de

nhiem vu khac

5. Ong BIM The Anh UV.HDQT 011816581 cAp

ngay 25/4/2008

tai CA. Ha NOi

35 ng6 38 HO

Tang Mau, Mai

Dich, Ha NOi

thuc hien

13/04/2016

6. Ong Tracing QuOc

Dung

UV.HDQT dOc

14

001082010303

cAp 20/08/2015

tai Ha NOi

SO 3 ngo 78 Giai

PhOng, Phuang

Mai, D6ng Da,

Ha NOi

31/05/2016 14/09/2016 Ong Dung ducic HDQT • - .. bau bo sung sau khi Ong Thang doge

DHDCD thong qua de

aux hien nhiem vu

, Ong TruangQuoc Ming

ce don xin ter nhiem thinh vien HDQT

7. Nguyen Sinh Ding

Thang

UV.HDQT 011755786 cAp

26/11/2003 tai

Ha NOi

Phong 1904, tao

nha

Eurowindows, so

27 Tram. Duy

Hung, CAu GiAy,

Ha NOi

khac

31/05/2016

• dijc lap ngay 14/09/2016

va dtrqc HDQT thong qua tai cuOc h9p HDQT quy III ngay 28/09/2016

8. Ong Takahiro

Yazawa

UV.HDQT DHDCD

29/03/2016 Dtrqc

thong qua de thkrc hien nhiem vu

khac

9. Ong Doan Thanh

Nhan

UV.HDQT 29/03/2016 Dtrqc DHDCD

thong qua de dip hien nhiem vii

khac

10. Ong Nguyen Viet Ha UV.HDQT 29/03/2016 Dtrqc DHDCD

thong qua de thIrc hien nhiem vu

khac

Ghi chil/Note: So Gidy NSH*: Sd CMND/Ha' chidu (ci"Oi veri ca nhein) hoc So GCN dcing lg, doanh nghiep, Gidy phep haat dOng hoc giciy to phcip ly twang dwong (cloi vai td cluic)/NSH: In case of individual: ID card/Passport No.; In case of organization: License of establishment and operation/Certificate of business registration/equivalent legal documents.

❖ Ban Kim soat

STT No.

Ten to chile/ea nhan Name of organizati

on/individual

Tai khoan giao dich chCrng

khoan (nen co) Securities

trading account Of any)

Chi:re viii tai c6ng ty (neu co) Position at the company (if

any)

S6 Giay NSH*, ngay cap, nai

cap NSH No.*, date of issue, place of issue

Dia chi tru s6. chinh/ Dia chi lien he Address

Thad diem bat dau la ngtrOi ce lien quan Time of starting to be affiliated person

Thad diem khong con la nguOi co lien quan Time of ending to be

affiliated person

L3', do Reasons

1. Ong NguyZn Van Nhitn

Truing Ban Ki6rn sok

14/02/2008

(B6 nhim KTT)

2. Ong Biti The Anh Thanh vien BKS

15/04/2016 DHDCD bau bli sung

3. BA Pham Thu Thuy Thanh vien BKS

14/04/2016 DHDCD bail A bo sung

4. Ong Doan Ngoc Lau TV BKS 14/04/2016 De thvc hien nhiem vu

khac Ad &rot DHDCD th6ng qua

5. BA Nguyen Dieu Trinh

TV BKS 15/04/2016 De thvc hien nhiem vu

khac va duot DHDCD thong qua

Ghi chii/Note: So GiOy NSH*: So CA41■ID/HO chdu (dot yeti cá nhein) hoc SO GCN gang ky doanh nghi-ep, Gay phep hoot d"ong ho'cic glib, to phdp ly twang during (cloi vet to chitc)/NSH: In case of individual: ID card/Passport No.; In case of organization: License of establishment and operation/Certificate of business registration/equivalent legal documents.

❖ Ban dieu hanh

STT No.

Ten to chac/ca nhAn Name of organizati

on/individual

Tai khoan giao dich chfrng

khoan (neu co) Securities

trading account (if any)

Chat vu tiii Gong ty (neu co) Position at the company (if

any)

S6 Giay,NSH*, ngay cap, nai

cap NSH No.*, date of issue, place of issue

Dia chi tru set chinh/ Dia chi lien he Address

Thad diem bat dAu la ngtrOi co lien quan Time

of starting to be affiliated person

Thai diem khong con la nguari co lien quan Time of ending to be

affiliated person

14 do Reasons

1. BA HoAng Hai Anh Giam d6c 22/09/2010

(36 nhi0i POD)

2. Ong Nguyen Xuan

Hung

Ph6 Giam d6c 22/04/2009

3. Ong TrAn Hang

Ding

Ph6 Giam d6c 21/12/2006

4. Ong Dlang Minh

Quang

Pho Giam Mc 20/11/2013

5. BA Thai Viet Anh Ph6 Giam dOc 30/12/2015

6. BA Dinh Thi Lan

Phtrung

Ke A , , toan trutmg 23/08/2013

Khong có giao dich.

VI. Giao dich co phieu cfia ngtroi not 130 va ngtroi lien quan cua ngtdri nqt 130/

Transactions of internalpersons and relatedperson of internal person (Semi-

annual/annual reports)

Khong có giao dich.

VII. Cie An de can Wu y khac/ Other significant issues

Khong.

CHI) TICH HDQT

CHAIRMAN OF THE BOD

(I<.) ten va clang &a)

(Sign and seal) _ c • r

HU TICH HDQT

refyLv Azh