CONG TY CO pHAN CHtfNG KHOAN sAl GONf)ja chi: 72 Nguyen Hu$ - Qu~n 1 - TP. Ho ChI MinhBAo cAo TAl CHJNHTi;li ngay 31 thfmg 03 nam 2014

BANGcANDOIK~TOANT\li ngay 31 thang 03 nam 2014

Ban hanh theo T. Ttl' so 95/200BITT -BTCngay 24 thang 10 nam 2008 cua Bt) Tai chfnh

Sua dlii thea Th6ng ttl'SO 16212010 ITT -BTCngay 20 thang 10 nam 2010 cua Bt) Tai chfnh

£)O'nvi tfnh : VNf)Ma Thuy6t

TAl SAN 56 minh s6 cu6i ky s6 d<1unam

A. TAl SAN NGAN H~N (100=110+120+130+140+150) 100 6.124.312.405.686 4.214.234.184.024

I. Ti~n va cac khoan tU'O'ng dU'O'ngti~n 110 VI.01 2.163.754.411.363 1.511.653.564.1681. Tie!n 111 1.482.754.411.363 1.222.653.564.168

Trang 06 : nan gui cua nha oau ttl' va giao djch chUng khoan 1.478.151.835.209 1.220.193.211.1042. Cac khoan tU'O'ngdU'O'ngti€ln 112 681.000.000.000 289.000.000.000

II.Cac khoan d<1utU' tai chinh ngtin h;.tn 120 VI.02 1.732.939.848.789 1.208.811.808.953

1. f)au IU'ng~n hi;ln 121 1.776.849.226.227 1.251.185.673.0882 DI,I' phong giam gia dau tU' ng~n hi;ln 129 (43.909.377.438) (42.373.864.135)

III. Cac khoan phai thu ngtin h\Jn 130 2.207.368.160.763 1.489.920.517.7261. Phai Ihu cua khach hang 131 VI.07 1.670.574.287.201 913.645.353.4162. Tra IrU'6'ccho ngU'ai ban 132 VI.08 7.636.381.918 8.066.208.1003. PMi Ihu nOibOng~n hi;ln 133

4. Phai Ihu hOi;lldOnggiao djch chung khoan 135 VI.07 9.641.604.511 185.010.2625. Cac khoan phai Ihu khac 138 VI.07 595.887.968.370 659.153.321.374

DI,I' phOngphai Ihu kh6 doi va dl,l' phong giam gia chung6 khoan uy lhac dau IU'ng~n hi;ln 139 VI.10 (76.372.081.237) (91.129.375.426)

IV. Hang tbn kho 140V. rai san ngtin h;.tn khac 150 20.249.984.771 3.848.293.1771. Chi phi Ira IrU'6'cng~n hi;ln 151 5.577.414.072 2.238.609.7172. Thue GTGT dU'Q'ckhau Irlf 152 VI.07 96.708.354 54.592.7203. Thue va cac khoan phai Ihu nha nU'6'c 1544. Giao dich mua ban Ii;liTP chinh phu 1575. Tai san ngan hi;ln khac 158 14.575.862.345 1.555.090.740

Ti;li ngay 31thang 03 nam 2014Bang can dOl k~ toan (ti~p theo)

cAc CHI TIEU NGOAI BANG CAN DOl KE ToAN

CHI T1EU

1. Tal san cO dinh thue ngoal2. V~t tll' nh~n giii' hQ3. NQ'kh6 d6i dii xU>Iy4. Ngoili t~ cae 10iili5. NguOn vOn khau hao6. Chlrng khoan 11I'uky

6.1 Ch&ng kho{m giao dich6.1.1 Chung khoan giao djch eua thanh vieln lU'u ky6.1.2 Chung khoan giao djeh eua khaeh hang trong nU'O'e6.1.3 Chung khoan giao djeh eua khaeh hang nU'O'engoai6.1.4 Chung khoan giao djeh eua t6 ehue khae6.2 Ch&ng khoan t{lm ngrrng giao dich

6.2.1 Chung khoan t<;lmnglmg giao djeh eua thanh vien lU'uky6.2.2 Chung khoan t<;lmnglmg giao djeh eua khaeh hang trong nU'ae6.2.3 Chung khoan l<;imnglmg giao djeh eua khaeh hang nU'ae ngoai6.2.4 Chung khoan l<;imnglmg giao djeh eua t6 ehue khae6.3 Ch&ng khoan cam co

6.3.1 Chung khoan cam cOeua lhanh vien lU'uky6.3.2 Chung khoan cam cO eua khaeh hang trong nU'O'e6.3.3 Chung khoan cam cO eua khaeh hang wac ngoai6.3.4 Chung khoan cam cOeua t6 ehue khae6.4 Ch&ng khoan t{lm giii'

6.4.1 Chung khoan t<;lmgiiY eua lhanh vien lU'u ky

6.4.2 Chung khoan ti;lm giiY eua khaeh hang trong nU'O'e6.4.3 Chung khoan ti;lm giiY eGakhaeh hang nU'O'engoai6.4.4 Chung khoan t<;lmgiiY eGa t6 ehLPekhae6.5 Ch&ng khoan cha thanh toan

6.5.1 Chung khoan eh6' lhanh toan eGathanh vien IU'Uky6.5.2 ChLPngkhoan ch6' lhanh toan eGakhaeh hang trong nU'ae6.5.3 Chung khoan eh6' lhanh toan eGakhaeh hang nU'O'engoai6.5.4 ChLPngkhoan eh6' thanh toan giao djeh eua t6 ehLPekhae6.6 Ch&ng khoan phong toa charut

6.6.1 ChLPngkhoan phong toa eM rut eGa lhanh vien IlfU ky6.6.2 Chung khoan phong toa eh6' rut eua khaeh hang trong nU'ae6.6.3 ChLPngkhoan phong toa eM rut eua khaeh hang nU'6'engoai6.6.4 Chung khoan phong toa eh6' rut giao djeh eGa t6 ehLPekhae6.7 Ch&ng khoan cha giao dich

6.7.1 ChLPngkhoan eh6' giao djeh eua thanh vien lU'u ky6.7.2 Chung khoan eh6' giao djch eua khaeh hang trong nU'O'e6.7.3 Chung khoan eh6' giao djeh eGa khaeh hang nU'O'engoai6.7.4 Chung khoan ch6' giao djeh giao djeh eGat6 ehue khae6.8 Ch&ng khoan ky quy dam bao khoan yay

6.8.1 ChLPngkhoan ky quy <Jambao khoan vay eGa thanh vien lU'uky

6.8.2 Chung khoan ky quy <Jambao khoan vay eGakMeh hang trong nU'O'e

6.8.3 ChLPngkhoan ky quy <Jambao khoan vay eua kMeh hang nU'O'engoai

6.8.4 ChLPngkhoan ky quy <Jambao khoan vay giao djeh eGat6 ehLPekhae

6.9 Ch&ng khoan sva loi giao dich

Mii ThuYlh56 cuOi ky 50 dau namsO minh

001002003004005006 13.223.803.700.000 12.849.119.240.000007 11.307.464.650.000 11.254.258.750.000008 128.453.070.000 186.493.870.000009 9.824.698.420.000 9.605.439.350.000010 1.354.313.160.000 1.462.325.530.000011012 201.335.790.000 174.383.220.000013

014 194.264.990.000 173.838.220.000015 7.070.800.000 545.000.000016017 814.512.190.000 865.812.190.000018019 814.512.190.000 865.812.190.000020021022023024025026027 868.347.920.000 545.665.500.000028 1.331.800.000 1.340.000.000029 853.540.420.000 530.836.300.000030 13.475.700.000 13.489.200.000031032033034035036037 32.143.150.000 8.999.580.000038 1.570.000039 31.886.660.000 8.718.520.000040 256.490.000 279.490.000041042043

044

045

046

047

SO cuOi ky SO dau nam

885.112.510.000 860.405.510.000

697.814.090.000 761.941.870.0007.220.310.000 7.220.450.000

545.447.940.000 685.919.900.000145.145.840.000 68.801.520.000

152.345.180.000 64.922.200.0001.000.000.000 1.000.000.000

63.922.200.000 63.922.200.00087.422.980.000

32.580.440.000 32.580.440.000

32.580.440.000 32.580.440.000

T<;Iingay 31 thang 03 nam 2014

Bang can dOi k~ toan (ti~p theo)

CHITIEU

7 Ch(Pngkhoan IlFUky cong ty o{li chung chlFa niem yetTrong 06:

7.1 Ch(Pngkhoan giao dich7.1.1 Chli'ng khoan giao djch cua tMnh vien lU'uky7.1.2 Chli'ng khoan giao djch cua khach hang trong nU'O'c7.1.3 Chli'ng khoan giao djch cua kMch hang nU'O'cngoai .7.1.4 Chli'ng khoan giao djch cua t6 chli'c khac7.2 Ch(Pngkhoan t{lm ng(Png giao dich

7.2.1 Chli'ng khoan t<;lmngimg giao djch cua thanh vien lU'uky7.2.2 Chli'ng khoan t<;lmngimg giao djch cua kMch hfmg trong nU'O'c7.2.3 Chli'ng khoan !<;1mngimg giao djch cua kMch hang nU'O'cngoai7.2.4 Chli'ng khoan t<;lmngimg giao djch cua to chli'c khac7.3 Ch(Pngkhoan cam co

7.3.1 Chli'ng khoan cllm cO cua tMnh vien lU'u ky7.3.2 Chli'ng khoan cllm cO cua kMch hang trong nU'O'c7.3.3 Chli'ng khoan cllm cO cua khach hang nU'O'cngoai7.3.4 Chli'ng khoan cllm cO cua t6 chli'c kMc7.4 Ch(Pngkhoar. t{lm git1'

7.4.1 Chli'ng khoan !<;1mgiO' cua thanh vien IU'uky

7.4.2 Chli'ng khoan t<;lmgili' cua kMch hang trong nU'O'c7.4.3 Chli'ng khoan!<;lm giO' cua khach hang nU'O'cngoai7.4.4 Chli'ng khoan t<;lmgili' cua t6 chu'c khac7.5 Ch(Pngkhotm chr} thanh toan

7.5.1 Chli'ng khoan ch6' thanh toan cua thanh vien lU'uky7.5.2 Chli'ng khoan ch6' thanh toan cua kMch hang trong nU'O'c7.5.3 Chli'ng khoan ch6' thanh toan cua kMch hang nU'O'cngoai7.5.4 Chung khoan ch6' thanh toan giao djch cua t6 chli'c khac7.6 Ch(Pngkhoan phong toa chr} rut

7.6.1 Chung khoan phong t6a ch6' rut cua thanh vien 111uky

7.6.2 Chung khoan phong t6a chCYrut cua khach hang trong nU'O'c7.6.3 Chung khoan phong t6a ch6' rut cua kMch hang nU'O'cngoai7.6.4 Chung khoan phong t6a ch6' rut giao djch cua t6 chuc khac7.7 ChlPng khoan slPa 10i giao d!ch8 Ch(Pngkhoan chlFa IlFUky cua khach hang

9 Ch(Pngkhoan chlFa IlFUky cua cong ty ch(Pngkhoan10 Ch(Pngkhoan nh~n uy thac oau gia

1(:Hoang Thl Minh Thuy

Mii Thuy~t50 minh

050

051052053054055056057058059060061062063

064

065066067

068069070071072073074075076077

078

079

080081

082083084

2.372.800.000

2.372.800.000

961.000.000

961.000.000

T~i ngay 31 thang 03 nam 2014Bang ean dbi ke toan (tiep theo)

Mii Thuyj}tTAl SAN ,

minh S6 eu6i kY S6 d<lu namso

B- TAl SAN oAI H~N (200=210+220+240+250+260) 200 3.233.258.214.214 3.130.495.998.938I Cae khoan phai thu dili h\ln 210 1.408.366.185.454 1.234.696.750.8271. Pha; thu dai h~n cua khach hang 2112. V6n kinh doanh (} dO'nvi Irl,/'cIhuQc 2123. Phai thu dai h~n nQibQ 2134. Pha; thu dai h~n khac 218 VI.09 1.485.971.757.973 1.327.139.430.6875. DI,/' phong giam gia chfrng khoan uy thac dflu tU'dai h~n 219 VI.10 (77.605.572.519) (92.442.679.860)II. rai san e6 djnh 220 135.312.991.063 135.169.960.8981. rai san co djnh hO'uhlnh 221 VI.04 17.744.524.760 19.578.812.231

Nguyen gis 222 77.967.328.115 78.169.811.957Gis trj hao mon lOy k6 223 (60.222.803.355) (58.590.999.726)

2. Teli san co djnh thue ta; chinh 224Nguyen gis 225Gis trj hao mon /Dy k6 226

3. Teli san co djnh vo hinh 227 VI.05 117.568.466.303 115.591.148.667Nguyen gis 228 159.145.106.421 156.122.984.331Gis trj hao mon ICy k6 229 (41.576.640.118) (40.531.835.664)

4. Chi phi dflu tU'xay dl,/'ngcO'ban dO-dang 230III. B;it dQng san til' 240

Nguyen gis 241Gis trj hao mon /Dy k6 242

IV. Cae khoan d<lu til' tai ehinh dili h\ln 250 1.612.352.868.369 1.685.920.748.9361. E>flutU'vao cong ty con 251 VI.02 342.000.000.000 342.000.000.0002. E>flutU'vao cong ty lien ket, lien doanh 252 VJ.023. E>flutU'chfrng khoan dai h~n 253 VI.02 902.549.637.699 980.424.576.989

Chlfng khoan san sang de ban 254 902.549.637.699 980.424.576.989Chlfng khoan nam giCrden ngay dao h~n 255

4. E>flutU'dai h~n khac 258 VI.02 538.617.000.000 538.617.000.0005. DI,/' phOnggiam gia chfrng khoan va dflu tU'dai hi;ln khac 259 VI.02 (170.813.769.330) (175.120.828.053)V. rai san dili h\ln k.hae 260 77.226.169.328 74.708.538.2771. Chi phi tra trU'cYcdai hi;ln 261 VI.03 426.035.646 348.592.8242. Teli san thue Ihu nh$p hoan I~i 262 VI.16 50.659.958.676 50.719.770.4473. Tien nQpQuy ho trq thanh loan 263 VI.06 19.982.911.796 17.482.911.7964. Teli san dai h~n khac 268 6.157.263.210 6.157.263.210

TONG CONG TAl SAN (270=100+200) 270 9.357.570.619.900 7.344.730.182.962

T~i ngay 31 thang 03 nam 2014Bang can doi ke toan (tiep theo)

Mii Thuy6tNGUONVON 56 minh So cuoi ky s6 dau nam

A- NO' PHAI TRA ( 300=310+330) 300 4.117.464.567.091 2.349.140.314.319

I. Ng ng~n h~n 310 4.117.464.567.091 2.349.140.314.3191. Vay va nO' ngan h~n 311 VI.17 461.668.935.458 358.961.041.3212. Phai tra nguai ban 312 529.976.085 154.925.1303. Nguai mua tra ti~n truac 313 VI.12 69.581.433.750 150.871.433.7504. Thue va cac khoan phcii nop Nha nu6'c 314 VI.14 70.963.246.492 33.517.176.6975. Phai tra nguai lao dong 315 19.600.906.362 19.681.720.4196. Chi phi phcii tra 316 VI.11 34.040.273.224 11.787.063.7897. Phai tra noi bO 3178. Cac khoan phai tra, phai nop ngan hGln khac 319 VI.13 1.917.028.305.489 538.843.734.4769. Phai tra ho~t dong giao djch ch(yng khoan 320 VI.18 1.459.525.339.677 1.133.324.320.44210. Phai tra hO co t(Yc, goc va lai trai phieu 321 6.824.717.480 11.152.796.92911. Phai tra to ch(Yc phat hanh chling khoan 322 609.603.590 605.427.16012. Quy khen thuang phuc 100i 323 76.991.338.576 89.950.440.87613. Giao djch mua ban IGlitrai phieu Chinh phu 32714. Doanh thu chua thl,J'c hi$n ngan hGln 328 100.490.908 290.233.330

II. Ng dai h~n 3301. Phai tra dai hGln nguai ban 3312. Phai tra dili hGln noi bo 3323. Phai tra dai hGln khac 3334. Vay va nO' dai hGln 3345. Thue thu nh~p hoan IGliphai tra 3356. DI,J'pMng trO' cap m~t vi$c lam 3367. DI,J'pMng phcii tra dai hGln 3378. Doanh thu chua thl,J'c hi$n dai hGln 3389. Quy phat trieln khoa hc;>cva c6ng ngh$ 33910 DI,J'pMng bei thuang thi$t hGlicho nha dau tu 359

B. NGUON VON CHU Sa HO'U 400 5.240.106.052.809 4.995.589.868.643

I. Von chi.! sa hifu 410 VI.15 5.240.106.052.809 4.995.589.868.6431. Von dau tu cua chu So' hCi'u 411 3.537.949.420.000 3.537.949.420.0002. Th~ng du von co phan 412 344.944.356.378 344.944.356.3783. Von khac cua chu So' hCi'u 4134. Co phieu quy 414 (89.246.317.760) (89.246.317.760)5. Chenh I$ch danh gia IGlitai san 4156. Chenh I$ch tY gia hoi doai 4167. Quy dau tu, phat trian 4178. Quy dl,J'ph6ng tai chinh 418 335.813.119.252 335.813.119.2529. Quy khac thuoc von chu So' hCi'u 41910. Lc;rinhu~n sau thue chua pMn phoi 420 1.110.645.474.939 866.129.290.773

TONG CONG NGUON VON(440=300+400) 440 9.357.570.619.900 7.344.730.182.962

Cong Ty C6 Ph~n Chwng Khoan Sai Gonf)ja chi: 72 Nguylin Hu~. 01. TP.HCMf)i~n thoai:388242897 ;Fax:38242997MST:0301955155

Ban hanh thea T.TLI'569512008 ITT -BTCngay 24 thang 10 nam 2008 cua Bo Tai chinh

Sira 06i thea ThOng tLl'56 16212010 ITT -B TCngay 20 thBng 10 nam 2010 cua Bo Tai chfnh

K~T QUA HOAT DONG KINH DOANHQ~y 1 n~m 2014

ElO'nvi tinh:VNEl

MA THUY~T QUY1 LOY KE TlyeAu NAM eEN cu6rCHI TIEU

56 MINH QUY NAyNiim nay Niim trU'Ooe Niim nay Nam trU'Ooe1 2 3 4 5 6 7

1 Doanh thu 01 382.664.766.590 185.611.972.264 382.664.766.590 185.611.972.264Trang 06:

Doanh Ihu hOlilldQna mOi gi&i chung khmin 01.1 76.404.941.442 33.887.714.264 76.404.941.442 33.887.714.264Daanh Ihu hOlilldQng dau Ill' chung khoan. goP vOn 01.2 VI.19 224.782.827.364 56.273.511.833 224.782.827.364 56.273.511.833Doanh Ihu bao lanh phal hilnh chung khoan 01.3 - - - -Daanh Ihu dlili IXphcil hcinh chung khoan 01.4 42.873.288 - 42.873.288 -Doanh Ihu hOliltdQng Ill' van 01.5 2.254.067.605 2.109.553.261 2.254.067.605 2.109.553.261Doanh Ihu Ill'u kv chung khaan 01.6 1.344.093.020 1.115.492.074 1.344.093.020 1.115.492.074Doanh Ihu hOlilldQng uv Ihac dau gia 01.7 - - - -Doanh Ihu cho Ihue SlI' dl,mg lai san 01.8 186.632.671 177.714.887 186.632.671 177.714.887Doanh Ihu khcic 01.9 VI.20 77.649.331.200 92.047.985.945 77.649.331.200 92.047.985.945

2 Cae khoan aiam tnp doanh t;.u 02 - - - -3 Doanh thu thu~n v6 hoat dong kinh doanh (10=01-02) 10 382.664.766.590 185.611.972.264 382.664.766.590 185.611.972.2644 Chi phi hoat dona kinh doanh 11 VI.21 77.910.614.445 11.199.872.116 77.910.614.445 11.199.872.116Trong 66:

Chi phi In,te tj~p hOiiltdQng kinh doanh chung khotm 11.1 110.276.561.395 119.581.634.747 110.276.561.395 119.581.634.747Chi phi dl,l phong chung khoan 11.2 (32.365.946.950) (108.381.762.631) (32.365.946.950\ (108.381.762.631

5 LO'i nhu~n gQP eua hoat dong kinh doanh (20=10-111 20 304.754.152.145 174.412.100.148 304.754.152.145 174.412.100.1486 Chi phi quan Iy doanh nghiep 25 VI.22 3.014.655.161 2.487.739.178 3.014.655.161 2.487.739.178

7 ~iin thu~n tLPhoat dong kinh doanh (30=20-25) 30 301.739.496.984 171.924.360.970 301.739.496.984 171.924.360.970~ Thu nhaP khae 31 1.225.537.935 16.282.472.289 1.225.537.935 16.282.472.289

9 Chlphikhae 32 600.019 - 600.019 -10 LO'i nhuiin khae (40=31-32) 40 VI.23 1.224.937.916 16.282.472.289 1.224.937.916 16.282.472.289

I.

11 T6ng 19'1nhu~n kti toan trU'6'e thuti (50=30+40) 50 302.964.434.900 188.206.833.259 302.964.434.900 188.206.833.25912 Chi phi thue TNDN hien hilnh 51 57.966.453.503 37.154.620.205 57.966.453.503 37.154.620.20513 Chi phi thue TNDN hoiin lai 52 291.637.160 2.548.321.030 291.637.160 2.548.321.03014 LO'i nhuiin sau thuti TNDN (60=50-51-521 60 244.706.344.237 148.503.892.024 244.706.344.237 148.503.892.02415 Lai cO' ban tren e6 phi~u 70 - - - .

DU'O'ng HiPu rv,.Ji Hoang Thl Minh Thuy

CONGTYCOPHANCH~NGKHOANS~GON8ja chi: 72 Nguyen Hu~ - Qu$n 1 - TP. Ho Chi MinhsAo cAo TAl CHiNHCho ky k~ toan k~t thuc ngay 31 thang 03 nam 2014

Ban hanh thea T.TU's6 9512008 ITT -BTCng<!w 24 thang 10 nam 2008 eua BQ Tai ehfnh

Sira a6i thea Th6ng tU's6 162/2010 ITT -BTCngay 20 thang 10 nam 2010 eua BQ Tai ehfnh

sAo cAo LU'U CHUYEN TII~NTe(Thea phU'O'ng phap gian ti~p)

Quy 1 nam 2014

80'n vi tinh:VN8

CHITIEU Mii Luy K~ TiP ac\u Nam a~n Cu6i Quy NayIso Nam nay Nam trU'O'c

I. LU'u chuy~n ti~n tiP ho~t dQng kinh doanh chwng khoan1. L9'i nhu~n trU'&c thu~ 01 302.964.434.900 188.206.833.2592. EJieuchinh cho cae khoim:- Kh~u hao tai san co dinh 02 2.879.091.925 4.651.905.442- Cac khoan I$p dl,J'ph6ng 03 (32.365.946.950) (108.381.762.631 )- U:ii, 10 chenh I~ch ty gia hoi doai chU'a thl,J'chi~n 04 - -- LEii 10 hO<;ltdong dau tU' 05 (119.839.619.564) (16.493.022.244)- Chi phi lai vay 06 1.317.329.115 2.361.086.071

3. L9'i nhu~n tiP hO{Jtdi)ng kinh doanh trU'&c nhfmg thayd6i von lU'u di)ng 08 154.955.289.426 70.345.039.897

- Tang, giam cac khoan phai thu 09 (853.382.987.179) (174.676.741.885)- Tang, giam ton kho, ch(mg khoan ngtlO h<;ln 10 (525.663.553.139) 427.914.349.762- Tang, giam cae khoan phili tra 11 1.646.095.761.400 490.687.303.919- Tang giam chi phi tra tm6'c 12 (3.416.247.177) (1.005.754.999)

Ti~n lai vay da tra 13 (1.339.120.595) (2.715.534.314)Thu~ thu nh$p doanh nghi~p da nop 14 (25.885.566.623) (9.820.919.352)

- Ti~n thu khac tCrhO<;ltdong kinh doanh 15 20.000.000 -- Ti~n chi khac tCrhO<;ltdong kinh doanh 16 (23.960.704.300) (8.842.753.163)

Luu chuyen tien thuan tiP hO{Jtdi)ng kinh doanh 20 367.422.871.813 791.884.989.865

II. LU'u chuy~n ti~n tiP hO{lt dQng dclu tU'1. Ti~n chi d~ mua sam tai san co dinh va cac tai san dai h<;1nk 21 (766.604.075) (2.529.694.320)2. Ti~n thu, chi ve thanh (y, nhU'O'ng ban tai san co djnh va cac

22tai san dai h<;lnkhac 1.000.000 -3. Tien chi cho vay, mua cac cong Cl,JnO' clla dO'n vi khac 23 - (20.000.000.000)4. Tien thu hoi cho vay, ban cac cong Cl,JnO'clla dO'n vi khac 24 - 25.000.000.0005. Tien chi dau tU' gop von vao dO'n vi khac 25 (2.170.741.780) (52.596.083.300)6. Tien thu hoi dau tU' gop von vao dO'n vi khac 26 173.130.570.000 51.979.172.0007. Tien thu lai cho vay, co tll'C va IO'inhu$n dU'O'cchia 27 11.809.861.100 914.742.890

Luu chuyen tien thuan tiP hO{Jtdi)ng dau tU' 30 182.004.085.245 2.768.137.270

Cho ky ke toan ket thuc ngay 31 tMng 03 nam 2014Bao cao lU'u chuy~n tilln t~ (tiep theo)

CHITIEU MiiNam nay Nam trU'aczso

III. LU'u chuy~n tilln tiP ho~t dQng tai chinh1. Tien thu phat hanh c6 phieu, nh$n von g6p cua chu sO' hO'u 31 - 15.854.880.0002. Tien chi tra von g6p cho cac ehu sO' hO'u, mua I~i e6 phieu

32eua doanh nghi(!p da pMt hanh - -3. Tien vay ng~n h~n, dai h~n dU'Q'cnMn 33 1.526.056.353.213 740.995.512.3024. Tien chi tra nO' goc vay 34 (1.423.348.459.076) (937.621.638.243)5. Tien chi tra nO' thue tai ehinh 35 - -6. c6 tue, IQ'inhu$n da tra cho chu sO' hO'u 36 (34.004.000) -LU'u chuy;$n tif~n thu~n tiP hO{it di)ng tal chinh 40 102.673.890.137 (180.771.245.941 )

LU'u chuy~n tilln thu~n trong ky 50 652.100.847.195 613.881.881.194

Tilln va tU'O'ng dU'O'ng tilln d~u ky 60 1.511.653.564.168 1.712.297.012.483Anh hU'O'ngeua thay d6i ty gia hoi doai quy d6i ng09i t(! 61 - -Tilln va tU'O'ng dU'O'ng tilln cuoi ky 70 2.163.754.411.363 2.326.178.893.677 J

~

NgU'6'i L~p Bi~u

DU'O'ng Hfru Mui Hoang Thj Minh Thuy

ay 17 tMng 04 nam 2014"am Doc;.

'('1

CONG TY CO pHAN CHUNG KHOAN sAl GON8ia chi: 72 Nguyen Hue - Qu$n 1 - TP. HOChi MinhsAo cAo TAl CHINHCho kYk€ltm1nk€lt thuc ngay 31 thang 03 nam 2014

Ban hanh theo T. TU' so 9512008 ITT -BTCngay 24 thang 10 nam 2008 cua B{) Ta; chinh

Sua (fo; theo ThOng tU'so 16212010 ITT -BTCngay 20 thang 10 nam 2010 cua B{) Ta; chinh

.BAa cAo TINH HiNH BIEN DONG v6N CHO s6' HO'U

Chi tieu - Quy 1 nam 2014 Thuy~t 56 d<lu nam T~ng trong ky Giam trong ky 56 cu6i kyminh

1. VOn dilu tU'cua chu 56' hCJ'u 3.537.949.420.000 3.537.949.420.0002. Th~ng duovOn c6 philn 344.944.356.378 344.944.356.3783. VOn kMc cua chu 56' hCJ'u4. c6 phi€lu quy (89.246.317.760) (89.246.317.760)5. Chenh lech danh gia l1;litai san6. Chenh lech ty gia hOidoai7. Quy dilu tU',phat tri~n8. Quy dl,J'ph6ng tai chinh 335.813.119.252 335.813.119.2529. Quy khac thuQc vOn chu 56' hCJ'u10. L9'i nhu$n sau thu€l chU'a phan phOi 866.129.290.773 244.706.344.237 190.160.071 1.110.645.474.939

CQng 4.995.589.868.643 244.706.344.237 190.160.071 5.240.106.052.809

Chi tieu - Quy 1 nam 2013 Thuy~t 56 d<lu nam Tang trong ky Giam trong ky 56 cu6i kyminh

1. VOndilu tU'cua chu 56' hCJ'u 3.526.117.420.000 11.832.000.000 3.537.949.420.0002. Th~ng duovOn c6 philn 340.921.476.378 4.022.880.000 344.944.356.3783. VOn kMc cua chu 56' hCJ'u .1

4. c6 phi€lu quy (89.246.186.000) (89.246.186.000)5. Chenh lech danh gia l1;litai san6. Chenh lech ly gia hOidoai7. Quy dilu tU',pMt tri~n8. Quy dl,J'phOng tai chinh 289.383.181.436 289.383.181.4369. Quy kMc thuQc vOn chu 56' hu-u10. L9'i nhu$n sau thu€l chU'a phan phOi 921.016.945.812 148.503.892.024 709.407.304 1.068.811.430.532

CQng 4.988.192.837.626 164.358.772.024 709.407.304 5.151.842.202.346

NgU'iYi L~p Bi~u

OU'o' 9 Hli>u Mui Hoang Thi Minh Thuy

CONG TY cO pHAN CHLrNG KHOAN sAl GON£>jachi: 72 Nguy~n H'J~ - Qu~n 1 - TP. HOChi MinhBAa cAo TAl CHINH RI~NGCho ky k~ tOEmk~t thuc ngay 31 thang 03 nam 2014Ban thuy~t minh bao cao tid chinh

SAN THUYET MINH sAo cAo TAl CHINH

Ban thuy~t minh nay la mQtbQph~n khon~ th~ tach rai va phai dU'Q'cdQc kem voi Baa cao tai chinh quy 01nam 2014 (chU'a hQ'pnhflt) cua Cong ty Co ph~n Chling khoan Sai gon (gQitM la Cong ty).

I. £>~C£>IEMHO~T £>QNGCOA DOANH NGHI~P

1. Hinh thCPcsa hfru v6n

2. Linh vl,l'c kinh joanh

Cong ty c6 ph~n

Dich Vl,J

3. Ngimh ngh€t kinh doanh Moi gioi chling khoan, tU'vfln d~u tU' chling khoan, lU'uky chlingkhoan, tl,l' doanh chling khoan, bao lanh pMt hanh chling khoan.

4. T6ng 56 nhan viE!n : 425

5. £>~cdi~m ho~t dQng cua doanh nghi~p trong ky co anh hU'ang d~n Bao cao till chinh

Giai thich chenh I~ch lQ'inhu~n quy 1/2014 voi quy 1/2013: k~t qua ho~t dQng kinh doanh sau thu~quy 1/2014 cua Cong ty lai 244.706.344.237 .dOng, tang 65% (tU'O'ngling 96.202.452.213 dOng) sovoi cung ky quy 1/2013 chu y~u do trong quy 1.2014 thj trU'ang tang trU'cyngt6t va thanh khoan caonen ho~t dQng moi gioi va d~u tU' cua Cong ty d~t k~t qua kha quan voi mlic tang I~n 1U'Q'tla 125%(tU'O'ngling 42.517.227.178 dOng) va 299% (tU'O'ngling 168.509.315.531 dOng) so voi cung ky nam2013.

II. NAM TAl CHiNH, DO'N VI TIEN T~ sO' DVNG TRONG KE ToAN

1. Nam tai chinhNam tai chinh cua Cong ty b~t d~u tli ngay 01 thang 01 va k~t thuc vao ngay 31 thang 12 hang nam.Nam tai chinh k~t thuc ngay 31 thang 12 nam 2014 la nam tai chinh thli 14 cua Cong ty.

2. £>O'nvi ti€tn t~s(P dl;lng trong k~ toan£>O'nvi ti~n t~ SLY dl,Jngtrong k~ toan la £>6ngVi~t Nam (VND).

III. CHuAN Ml,J'CvA CHE £>0 KE ToAN Ap Dl,ING

1. Ch~ dQ k~ toan ap dl;lngCong ty ap dl,JngCh~ dQ k~ toan doanh nghi~'p Vi~t Nam ap dl,Jngcho cac cong ty chung khoan banhanh theo thong tU' 95/2008/TT-BTC ngay 24 thang 10 nam 2008 (thay th~ cho Quy~t dinh s699/2000IQ£>-BTC ngay 13 thang 6 nam 2000 cua BQTai chinh) va Thong tU' 162/2010/TT-BTC ngay20 thang 10 nam 2010 cua BQTai chinh.

2. Tuyen b6 v€tvi~c tuan thu chuAn ml,l'c k~ toan va chit de?k~ toanBan T6ng Giam d6c dam bao da tuan thu d~y du yeu c~u cua Ch~ dQ K~ toan Doanh nghi~p Vi~tNam ap dl,Jngcho cac cong ty chling khoan va cac Chu~n ml,l'Ck~ toan Vi~t nam ban hanh theo:

•• Quy~t dinh s6 149/2001/Q£>-BTC ngay 31 thang 12 nam 2001 v~ vi~c ban hanh b6n Chu~nml,l'CK~ toan Vi~t Nam (£>Q't1);

•• Quy~t dinh s6 165/2002/Q£>-BTC ngay 31 thang 12 nam 2002 v~ vi$c ban hanh sau Chu~nml,l'CK~ toan Vi$t Nam (£>Q't2);

•• Quy~t dinh s6 234/2003/Q£>-BTC ngay 30 thang 12 nam 2003 v~ vi$c ban himh sau Chu~nml,l'CK~ toan Vi~t Nam (8Q't 3);

aim thuyt$t minh nay la mot bo ph?n hop thilnh va pMi 0U'ClCoQc cung vai baa CaD tai chfnh Trang 1

CONG TY cO pHAN CHUNG KHOAN sAl GON8ja chi: 72 Nguyen Hu$ - Qu~n 1 - TP. HcSChi MinhBAa cAo TAl CHINH RIENGCho ky k~ tatm k~t thUc ngay 31 tMng 03 nam 2014Ban thuy~t minh bao cao tai chinh (ti~p theo)

•. Quy~t djnh so 12/2005/Q8-BTC ngay 15 thtmg 2 nam 2005 v~ vi$c ban hanh sau Chulm ml,J'cK~ toan Vi$t Nam (8Q't 4); va

~ Quy~t dinh so 100/2005/Q8-BTC ngay 28 thang 12 nam 2005 v~ vi$c ban Mnh bon Chu€mml,J'CK~ toan Vi$t Nam (8Q't 5).

Cho mvc dich I~p va trinh bay bao cao tai chinh rieng nay, Cong ty khOng ap dvng Chuan ml,J'cK~toan Vi$t Nam 25 - Bao cao tai chinh hQ'pnh~t va k~ toan khoan d~u tU' vao cong ty con va Chuanml,J'CK~ toan Vi$t Nam so 07 - K~ toan cac khoan d~u tU' vao cong ty lien k~t. Cac chinh sach k~toan lien quan d~n vi$c ghi nh~n va trinh bay cac khoan d~u tU' vao cong ty con va cac cong ty lienk~t dU'Q'ctrinh bay dU'ai day.

T<;lith6'i di~m I~p bao cao, khoan ml,Jcti~n gui clla nM d~u tU' cho ml,Jcdich ~iao dich chung khoandU'Q'ctrinh bay tren bang can doi k~ toan clla Cong ty, Cl,Jth~ la dU'Q'cbao gom trong cac tai khoanti~n gui ngan hang do Cong ty v~n dung ten cac tai khoan nay t<;licac ngan hang thU'O'ngm~i.

Bang can doi k~ toan rieng, bao cao k~t qua ho~t dong kinh doanh rieng, bao cao lU'u chuy~n ti~n t$rieng, , bao cao tinh hinh bi~n dong von chll sa hCi'uva thuy~t minh bao cao tai chinh rieng dU'Q'ctrlnh bay kem theo va vi$c su dl,Jngcac bao cao nay khOng danh cho cac d6i tU'Q'ngkhong dU'Q'ccung c~p cac thOng tin v~ cac thll tl,lCva nguyen t~c va thong 1$k~ toan t<;liVi$t Nam va hO'n nCi'akhOng dU'Q'cchll djnh trinh bay tinh hinh tai chinh, k~t qua ho~t dong kinh doanh va lU'u chuy~n ti~nt$ theo cac nguyen t~c va thOng 1$k~ toan dU'Q'cch~p nh~n rong rai a cac nU'ac va lanh th6 khacngoai Vi$t Nam.

3. Hinh thLPCk~ t.)an ap d..,ngCong ty su dl,lng hinh thLrc nh~t ky chung.

IV. cAc CHiNHSACH K~ ToAN Ap DI,ING

1. Ti~n va cae khoan tU'O'ng dU'O'ng ti~nTi~n va cac khoan tU'O'ngdU'O'ngti~n bao gcSmti~n m~t t~i quy, ti~n gui ngan Mng, ti~n gui clla nhad~u tU' v~ giao djch chung khoan, cac khoan d~u tU' ng~n h~n co thai h~n thu hcSikhOng qua batMng k~ tLYngay mua, co trnh thanh khoan cao, co kha nang chuy~n d6i de dang thanh cac 1U'Q'ngti~n xac djnh va khOng co nhi~u rlli ro trong chuy~n d6i tMnh ti~n.

2. Cae khoan phai thuCac khoan phai thu dU'Q'ctrinh bay tren bao cao tai chinh rieng theo gia trj ghi s6 cac khoan phai thutLYkMch hang va phai thu kMc cung vai dl,J'phOng dU'Q'cI~p cho cac khoan pMi thu kh6 doi.

\

Dl,J'phOng nQ'phai thu kh6 doi th~ hi$n ph~n gia trj clla cac khoan phai thu ma Cong ty dl,J'kj~n khOngco kha nang thu hcSit~i ngay k~t thuc ky k~ toan. Tang ho~c giam so duotai khoan dl,J'phong dU'Q'ch~ch toan vao chi phi trong kyo .

3. Tai san c6 djnh hO>uhinhTai san c6 dinh hCi'uhinh dU'Q'cth~ hi$n theo nguyen gia trLYdi gia trj hao man lOy k~.

Nguyen gia tai san co dinh bao gcSmgia mua va nhCi'ngchi phi co lien quan trl,J'cti~p d~n vi$c dU'a taisan vao ho~t dong nhU'dl,J'ki~n.

Cac chi phi mua s~m, nang c~p va d6i mai tai san c6 dinh dU'Q'cghi tang nguyen gia clla tai san vachi phi bao tri, sua chCi'adU'Q'ch~ch toan vao k~t qua ho~t dong kinh doanh khi pMt sinh.

Khi tal san dU'y"; ban hay thanh Iy, nguyen gia va gia tri hao man lOy k~ dU'Q'cxoa sO va cac khoan lai10 phat sinh do thanh Iy tai san dU'Q'ch~ch toan vao k~t qua hO<;ltdong kinh doanh.

4. rai san c6 djnh vo hinhTaj san co djnh vo hinh dU'Q'cghi nh~n theo nguyen gia trlr di gia tri kh~u hao lOy k~.

-

Ban thuy~t m;nh nay /a mot bOph~n hQ'pthanh va phil; oU'Q'CoQccung va; bao cao tar chfnh Trang 2

CONG TY cO pHAN CHLrNG KHOAN sAl GON8ia chi: 72 Nguyen Hulil - Qu~n 1 - TP. H6 ChI MinhsAo cAo TAl CHINH RII~NGCho ky k~ toiln k~t thUc ngay 31 thang 03 nam 2014Ban thuy~t minh bao cao tai chinh (tiep theo)

Nguyen gia tai san c6 dinh vo hinh bao g6m gia mua va nhCi'ngchi phI c6 lien quan tn,fc ti~p den vi~cdU'atai san vao SLYdl,mg nhU'dl,f ki~n. .

Cac chi phI nang c~p va dOi mai tai san c6 dinh vo hlnh dU'Q'cghi tang nguyen gia clla tai san va cacchi phi khac dU'Q'ch~ch toan vao ket qua ho~t dQng kinh doanh khi pMt sinh.Khi tai san c6 dinh vo hlnh dU'Q'cban hay thanh Iy, nguyen gia va gia tri kh~u hao lOyke dU'Q'cx6a sOva cac khoan lai 10 pMt sinh do thanh Iy tal san oU'Q'ch~ch toan vao ket qua ho~t dQng kinh doanh.

5. Khau hao va khau trwKh~u hao va khflu tnJ>tai san c5 ojnh hCi'uhinh va tai san c6 dinh vo hinh dU'Q'ctrich theo phU'O'ngphap kh~u hao dU'O'ngth~ng trong su6t thOi gian hCi'udl,JngU'ac tinh clla cac tai san nhU'sau:

May m6c thiet bj 3 namPhU'O'ngtililn v~n tai 6 namThiet bi. dl,JngCI,Jquan Iy 3 - 5 namPh~n mem 3 - 5 namQuyen SLYdl,Jngd~t vo thOi h~n khong kh~u hao

6. Thue tai sanCac khoan tien thue theo hQ'p d6ng thue ho~t oQng dU'Q'ch~ch toan vao bao cao ket qua ho~t dongkinh doanh rieng trong ky theo phU'O'ngphap dU'O'ngth~ng trong thO'i h~n clla hQ'pd6ng thue.

7. Dau tU' vao chwng khoan va dl! phOng giam gia chwng khofmThOng tU' 95/2008/TT-BTC cho phep cac cong ty chlfng khoan thl,fc hi~n h~ch toan k~ toan cackhoan d~u tU' chlfng khoan theo mQt trong hai nguyen t~c la gia g6c ho~c gia trj hQ'p Iy. Theo d6,cong ty da Il,fa chQn phU'O'ngphap gia g6c d~ ghi nh~n cac khoan d~u tU' chlfng khoan.

Chwng khoan kinh doanh va chwng khoan dau tU' dai h~nChlfng khoan kinh doanh va chlfng khoan d~u tU' dai h~n dU'Q'Cghi nh~n ban dflu theo gia g5c. Cackhoan cOtlfC bang tien va trai tlfC nh~n dU'Q'Ctrong ky dU'Q'cghi nh~n giam gia v6n chlfng khoan d6ivai khoan lai d6n tich trU'ac ngay mua va ghi nh~n tang doanh thu d~u tU' d6i vai ph~n lai k~ tCfngaymua.

Dl! ph6ng giam gia chwng khoanDl,f phOng giam gia chlfng khoan dU'Q'cI~p cho tCfnglo~i chlfng khoan dU'Q'cmua ban tren thi trU'O'ngva c6 gia tri thi trU'O'ngth~p hO'ngia tri ghi sO.

Gia tri thi trU'O'ngclla chlfng khoan v6n niem yet dU'Q'cxac dinh tren cO'sO'tham khao gia d6ng cLYat~i ngay 31 thang 03 nam 2014.

Gia tri thi trU'O'ngclla cac chlfng khoan v6n chU'a niem yet dU'Q'Cxac dinh tren cO' sO'gia giao dichbinh quan tren thj trU'O'nggiao djch clla cac cong ty d~i chUng chU'a niem yet (UPCom) d6i vai cacCong ty da dang ky giao dich tren thi trU'O'nggiao djch clla cac cong ty d~i chung chU'a niem y~t.ho~c gia trung ulnh tren cO'sO'gia Fiao djch du'Q'ccung dp t6i thi~u b&i ba cong ty chlfng khoan t~ithOi di~m 31 thang 03 nam 2014 doi vai cac cong ty chU'a dang ky giao djch tren thi truoO'nggiao dichclla cac cong ty d~i chung.

Cac chlfng khoan khOng c6 gia tham khaa tli' cac ngu6n tren se dU'Q'cdanh gia kha nang va mlfc dogiam gia dl,fa tren vililc xem xet tlnh hinh tal chinh va gia tri sO sach clla to chlfc phat hanh t~i ngay31 thang 03 nam 2014.

8. Dau tU' vao cac cong ty conCac khaan d~u tU'vao cac cong ty can dU'Q'cghi nh~n thea phU'O'ngpMp gia g6c tren cac baa caa taichinh rieng clla Cong ty. COtlfC dU'Q'cchia tli' lQ'inhu~n sau thue clla cac cong ty con dU'Q'cghi nh~nla thu nh~p tren baa cao k~t qua ho~t dong kinh doanh rieng.

Ban thuyet m;nh nay la mQt bQ ph~n hr;rp thanh va pM; (/U'9'C (/Qc cung vol bao cao tal chfnh Trang 3

CONG TY cO pHAN CHLrNG KHOAN sAl GON8ia chi: 72 Nguyen Hu~ - Qu$n 1 - TP. H6 Chi MinhBAo cAo TAl CHINH RIENGCho ky k~ toan k~t thuc ngay 31 thang 03 nam 2014Ban thuy~t minh baa eao tai ehinh (ti~p theo)

9. Cae hQ'p d6ng mua l\li va ban l\liNhQ>ngtai ~an cU'qc ban c6ng thOi cam k~t sa mua l;;Iivao mQt thai ci~m nh~t cinh trong tU'O'nglai(cac hqp cong mua l;;Ii) khong cU'qc ghi giam trEln bao cao tai chinh rieng. Khoan ti~n nh$n cU'qctheo cac hqp c6ng mua l;;Iinay cU'qc ghi nh$n la khoan nq phai tra tren bang can c6; k~ toan riengva phfln chenh I~ch giQ>agia ban va gia cam ket mua l;;Ii trong tU'O'ngJai cU'qc ghi nh$n la tai san,ho~c chi phi, chO ket chuy~n va cU'qc pMn bo vao ket qua hO;;ltcQng kinh doanh rieng trong su6tthai gian hi~u ll,J'ccua hqp c6ng mua 1;;Ii.

NhQ>ngtai san cU'qc mua c6ng thOi cam ket sa ban l;;Iivao mQt thai ci~m nh~t cinh trong tU'O'ngJai(cac hqp c6ng ban l;;Ii)khOng cU'qc ghi tang tren bao cao tai chlnh rieng. Khoan ti~n thanh toan theocac hqp c6ng ban l;;Iinay cU'qc ghi nh$n la tai san tren bang can c6i k~ toan rieng va phfln chenhI~ch ~iQ>agia mua va gia cam ket ban l;;IicU'qc ghi nh$n la doanh thu, ho~c khoan phai tra, cha ketchuyen va cU'qc phtm bo vao ket qua hO;;ltcong kinh doanh rieng trong su6t thai gian hi~u ll,J'ccuahqp c6ng ban lai.

10. Cae khoan phai tra va chi phi trich trU'aeC~c khoan phai tra va chi phi trich trU'oc cU'qc ghi nh$n cho s6 ti~n phai tra trong tU'O'nglai lien quancen hang hoa va dich Vl,l ca nh$n cU'qc khong phl,l thuoc vao vi~c Cong ty ca nh$n cU'qc hoa cancua nha cung dp hay chUla.

11. Cae nghi~p vl,J bc1ngngo\li t~Cac nghi~p Vl,l phat sinh b~ng cac can vi ti~n t$ khac voi can vi ti~n t$ ke toan cua Cong ty cU'qch;;lch toan theo ty gia giao dich cua ngan hang thU'O'ngm;;li vao ngay phat sinh nghi~p Vl,l.T;;Ii ngayket thuc ky k~ toan, cac khoim ml,lc ti~n t~ co goc ngo;;li t~ dU'qc danh gia l;;Ii theo ty gia binh quanlien ngan hang t;;li thOi di~m nay. T~t ca cac khoan chenh I~ch ty gia thl,J'cte phat sinh trong ky vachenh I~ch do canh gia l;;Iis6 dU' ti~n t$ co g6c ngo;;li t$ cu6i ky cU'qc h;;lChtoan vao bao cao ket quahO;;ltcong kinh doanh rieng.

12. C6 phi~u ngan q'uyCac cong Cl,lvon chu s6' hQ>ucU'qc Cong ty mua l;;Ii (co phieu ngan quy) dU'qc ghi nh$n theo nguyengia va trCf vao v6n chu s6' hQ>u.Cong ty khong ghi nh$n cac khoan lai/(16) khi mua, ban, phat hanhho~c huy cac cong Cl,lv6n chu s6' hQ>ucua minh.

13. Phan ehia 100inhuanLqi nhu$n 'thufln ~au thu~ thu nh$p doanh nghi$p sau khi da trich I$p cac quy theo 8i~u 1$ Cong tyva cac quy dinh cua phap lu$t Vi$t Narn sa phan chia theo Nghj quyet cua 8;;1ihoi co dong.

14. Ghi nhan doanh thuDoanh thu dU'qc ghi nh$n khi Cong ty co kha nang nh$n dU'qc cac Jqi ich kinh t~ co th~ xac dinhcU'qc mot cach ch~c ch~n. Doanh thu dU'qc xac dinh theo gia trj hqp 19 cua cac khoim da thu ho~csa thu cU'qc sau khi trCfdi cac khoan chi~t kh~u thU'O'ngm;;li, giam gia hang ban va hang ban bj tra1;;Ii.Cac di~u ki$n ghi nh$n Cl,lth~ sau day cOng phai dU'qc dap (rng khi ghi nh$n doanh thu:Doanh thu cuny cap dich VI,J

Khi co th~ xac dinh dU'qc ket qua hqp d6ng mot cach ch~c ch~n, doanh thu sa dU'qc ghi nh$n dl,J'avao m(rc do hoan thanh cong vi~c. Trong trU'ang hqp khOng th~ xac dinh dU'qc ket qua hqp d6ngmot cach ch~c ch~n, doanh thu sa chi dU'qc ghi nh$n 6' m(rc co th~ thu h6i dU'qc cua cac chi phi dadU'qc ghi nh$n.

Thu nMp tif kinh doanh ch&ng khoanThu nh$p tCfkinh doanh ch(rng khoan dU'qc xac dinh dl,J'atren m(rc chenh I$ch gia ban va gia v6nbinh quan cua ch(rng khoan.

TifJnfaiDoanh thu dU'Q'cghi nh$n khi ti~n lai phat sinh tren Co's6' d6n Uch (co Unh den lQ'it(rc ma tai san deml;;Ii)trCfkhi kha nang thu h6i ti~n lai khong ch~c ch~n.

Ban thuy~t minh nay la mi)t bi) ph~n hQ'p thanh va ph8i cJUYlCcJQccLing voi bao cao tai chfnh Trang 4

CONG TY cO pHAN CHLrNG KHOAN sAl GON8ia chi: 72 Nguy~n Hu$ - Qu$n 1 - TP. H6 Chi MinhsAo cAo TAl CHrNH RI~NGCho ky k~ toan k~t thuc ngay 31 tMng 03 nam 2014Ban thuy~t minh bao cao tili chinh (ti~p theo)

Co t(PC

Doanh thu dU'Q'cghi nh$n khi quy~n dU'Q'cnh$n khoan thanh toan c6 tlfC b~ng ti~n cua Cong ty dU'Q'cxac I$p.

TitJn cho thueThu nh$p tLYti~n cho thue tai san theo hQ'pd6ng thue ho~t dOng dU'Q'ch~ch toan vao k~t qua hoatdOng kinh doanh theo phU'O'ngpMp dU'ang th~ng trong su6t thai gian cho thue. .

15. PhU'O'ngphilp tinh gia v6n chU-'ng khoan t"" doanh ban raCong ty ap dl,mg phU'O'ngpMp binh quan gia quy~n di dOng d~ tfnh gia v6n c6 phi~u tl,J'doanh ban rava phU'O'ngpMp binh quan gia quy~n d~ tinh gia v6n trai phi~u ban ra.

16. Thu~ thu nh~p doanh nghi~pThu~ thu nh~p hi~n hilnhTai san thu~ thu nh$p va thu~ thu nh$p phai n('Jpcho nam hi$n hanh va cac nam trU'ac dU'O'cxacdinh b~ng s6 ti~n dl,J'ki~n phai nOp cho (ho~c dU'Q'cthu h6i tLY)cO'quan thu~, dl,J'atren cac mU:cthu~su~t va cac lu$t thu~ c6 hi$u h,l'cd~n ngay k~t thuc ky k~ toan.

Thu~ thu nh~p hi$n hanh dU'Q'cghi nh~n vao k~t qua ho~t dOng kinh doanh ngo~i trLYtrU'ang hQ'pthu~ thu nh$p pMt sinh lien quan d~n mOt khoan ml,lCdU'Q'cghi th~ng vao v6n chu so hii'u, trongtrU'ang hQ'pnay, thu~ thu nh~p hi$n hanh cOng dU'Q'cghi nh~n trl,J'cti~p vao v6n chu so hii'u.

Cong ty chi dU'Q'cbu trLYcac tai san thu~ thu nh~p hi$n hanh va thu~ thu nh~p hi$n hanh phai tra khidoanh nghi$p co quy~n hQ'p pMp dU'Q'cbU tny giii'a tai san thu~ thu nh~p hi$n hanh vai thu~ thunh~p hi$n hanh phai n('Jpva doanh nghi$p dl,J'djnh thanh toan thu~ thu nh~p hi$n hanh phai tra va taisan thu~ thu nh~p hi$n hanh tren cO'so thuiln.

Thu~ thu nh~p hoan I~i .Thu~ thu nh~p hoan I~i dU'Q'cxac djnh cho cac khoan chenh I$ch t~m thai t~i ngay k~t thuc ky k~toan giii'a cO'so tinh thu~ thu nh$p cua cac tai san va nQ'phai tra va gia tri ghi s6 cua chung cho ml,lcdich I~p bao cao tai chinh rieng.

Thu~ thu nh~p hoan I~i phai tra dU'Q'cghi nh~n cho t~t ca cac khoan chenh I$ch t~m thai chiu thu~,ngo~i trLY:~ Thu~ thu nh~p hoan l<;Iiphai tra pMt sinh tLYghi nh~n ban d~u cua m9t tai san hay nQ'phai tra tLY

m('Jtgiao dich ma giao dich nay khong c6 anh hU'ang d~n lQ'inhu~n k~ toan ho~c lQ'inhu~n tfnhthu~ thu nh$p ( ho~c 10 tinh thu~) t~i thai di~m phat sinh giao djch;

~ Cac chenh I$ch t~m thai chju thu~ g~n li~n vai cac khoan d~u tU' vao cong ty con, chi nMnh,cong ty lien k~t va cac khoan v6n g6p lien doanh khi co kha nang ki~m soat thai gian hoan nh$pkhoan chenh I$nh t~m thai va ch~c ch~n khoan chenh I$ch t~m thai se khOng dU'Q'choan nh$ptrong tU'O'nglai c6 th~ dl,J'doan.

Tai san thu~ thu nMp hoan I~i dn dU'Q'cghi nh~n cho t~t ca cac chenh I$ch t~m thai dU'O'ckh~u trLY,gia trj dU'O'ckh~u trLYchuy~n sang cac nam sau cua cac khoan 10 tfnh thu~ va cac khoan U'Udai thu~chU'a SLY dl,lng, khi ch~c ch~n trong tU'O'nglai se c6 IQ'inhu$n tinh thu~ de SLY dl,lng nhii'ng chenh I$cht~m thai dU'O'ckh~u trLY,cac khoan 10 tinh thu~ va cac U'Udai thu~ chU'a SLY dl,lng nay, ngo~i trLY:~ Tai san thu~ hoan l<;IipMt sinh tLYghi nh$n ban d~u cua m9t tai san ho~c nO'phai tra tLYm9t giao

djch ma gi('o dich nay khong c6 anh hU'ang d~n IO'inhu~n ke toan ho~c IO'inhu~n tinh thu~ thunMp (ho~c 10 tinh thu~) t<;lithOi diem pMt sinh giao dich;

~ T~t ca cac chenh I$ch t<;lmthai dU'Q'ckh~u trLYphat sinh tLYcac khoan d~u tU' vao cac cong tycon, chi nMnh, cong ty lien k~t va cac khoan v6n g6p lien doanh khi ch~c ch~n la chenh I$nhtc;lmthai se dU'O'choan nh~p trong tU'O'nglai c6 the dl,J'doan dU'O'cva c6 lQ'inhu~n chju thu~ deSLY dl,lng dU'O'ckhoan chenh I$ch t<;lmthai d6.

Ban fhuy~f minh nay /a mQf bQph~n hQ'pfhBnh va pMi clu'Q'Ccloc cung vai Mo cao fai chfnh Trang 5

CONG TY cO pHAN CHUNG KHOAN sAl GON8ja chi: 72 Nguyen Hu$ - Qu~n 1 - TP. HOChi MinhBAo cAo TAl CHINH RI~NGCho ky kll toan kllt thuc ngay 31 thang 03 nam 2014Ban thuy~t minh bao cao tiii chinh (tillp theo)

~ Gia tri ghi sOcua tai san thull thu nh~p doanh nghi$p hoan l<;Iiphai dU'O'cxem xet l<;Iivao ngay klltthuc ky kll toan va phai giam gia trj ghi sOcua tai san thull thu nh~p hoan l<;Iidlln mli'c bao damch~c ch~n co du IO'inhu~n tinh thull cho phep IO'ifch cua mQt ph~n ho~c toan bQUti san thull thunh~p hoan l<;IidU'O'cSlYdl,lng. Cac tai san thull thu nh~p doanh nghi$p hoan l<;IichU'a ~hi nMntrU'ac day dU'O'cxem xet l<;Iivao ngay kllt thuc ky kll toan va dU'O'cghi nMn khi ch~c chan co duIO'inhu~n tfnh thull de co the SlYdl,lng cae tai san thull thu nh~p hoan l<;IichU'a ghi nh~n nay.

~ Tai san thull thu nh~p hoan l<;Iiva thull thu nh~p hoan l<;Iiphai tra dU'O'cxac djnh theo thull sufitdl,J'tfnh se ap dl,lng cho nam tai san dU'O'cthu hoi hay nO'phai tra dU'O'cthanh toan, dl,J'atren cacmli'c thull sufit va lu$t thue co hi$u ll,J'cvao ngay kllt thuc ky kll toan.

~ Thull thu nh~p hoan l<;IidU'O'cghi nh$n vao kllt qua hO<;ltde?ngkinh doanh ngo<;litrti' trU'ong hO'pthull thu nh~p pMt sinh lien quan dlln me?tkhoan ml,lCdU'O'cghi th~ng vao vOn chu So' hO'u,trongtrU'ong hO'pnay, thull thu nh~p hoan l<;IicOng dU'O'cghi nh$n trl,J'ctillp vao vOn chu So' hO'u.

Doanh nghi$p chi dU'O'cbu trti' cac tai san thull thu nh~p hoan l<;Iiva thull thu nh~p hoan l<;Iiphai trakhi doanh nghi$p co quy~n hO'pphap dU'O'cbu trti' giO'atai san thull thu nh~p hi$n hanh vai thull thunh~p hi$n hanh phai nQp va cac tai san thull thu nh~p hoan l<;Iiva thull thu nh~p hoan l<;Iiphai tra lienquan tai thue thu nh~p doanh nghi$p dU'O'cquan Iy bai cung me?tcO'quan thull dOi vai cung mQt dO'nvi chju thull va doanh nghi$p dl,J'djnh thanh toan thue thu nh~p hi$n hanh phai tra va tai san thue thunh~p hi$n hanh tren cO'So' thu~n.

17. Cae quyCong ty SlYdl,lng IO'i nhuan sau thue hang nam de trfch I$p cac quy theo quy djnh. t<;liThong tU'11/2000/TT-BTC do Be?Tai chfnh ban hanh ngay 1 tMng 2 nam 2000 nhU' sau:

)

Quy Dl,J'trO'bOsung vOn di~u 1$Quy Dl,J'trO'b~t bUQc

Mli'c trfch lap tti' IO'inhuan sau thue5%5%

Mli'c trfch I$p tOida10% vOn di~u 1$10% vOn di~u 1$

Cac quy khac dU'O'ctrfch I$p theo Nghi quyet cua 8<;1ihQidOng COdong.

Ban thuyet minh nay /a mi)t bi) pMn hop thanh va pMi GU'Q'CGOCcling voi bao cao tai chfnh Trang 6

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CONG TV cO pHAN CHLrNG KHOAN sAl GON8ja chi: 72 Nguyen Hu$ - Qu~n 1 - TP. H6 Chi MinhsAo cAo TAl CHfNH RII~NGCho ky k~ toan k~t thUcngay 31 thang 03 nam 2014San thuy~t minh bao cao tili chinh (ti~p theo)

VI. cAc CHI TIEU CHiNH TREN sAo cAo TAl CHiNH

1. Ti~n va tU'ang dU'ang ti~n (dan vi tinh: VN£»

56 cu6i ky 56 dau namTi~n m~t 97.586.291 91.221.038Ti~n gifi ngan hang 1.482.656.825.072 1.222.562.343.130Trang 06 : TifJn gifi cua nha oau tif ve giao djch

1.478.151.835.209 1.220.193.211.104ch(mq khoanCac khoim tU'O'ngdU'O'ngti~n 681.000.000.000 289.000.000.000

CQng 2.163.754.411.363 1.511.653.564.168

2. Tinh hinh dc\u tU' tili chinh (dan vi tinh: VN£»

Chi tieu SolU'9'ng Gici trj theo 56 ke Giam so v6'i gia Tong gia tr! theo(CP) toan thi trU'Oong gia thj trU'Oong

T~i ngay 31 thang 3 nam 2014Ch(Png khoan thU'O'ng m~i 5.146.309 173.849.226.227 (43.909.377.438) 129.939.848.789cll phieu Niem yet 2.277.007 97.037.680.167 (5.430.496.901 ) 91.607.183.266cll phieu Chua Niem yet 2.869.302 76.811.546.060 (38.478.880.537) 38.332.665.523Trai phieu - - - -DAu tU' ng&n h~n khac . 1.603.000.000.000 - 1.603.000.000.000Ti~n gfri co ky h~n tren 3 thang - 1.603.000.000.000 - 1.603.000.000.000Chting khoan dAu tll' 18.649.024 902.549.637.699 (32.209.269.330) 870.340.368.369Chung khoan si:ln sang dll ban 18.649.024 902.549.637.699 (32.209.269.330) 870.340.368.369- cll phieu Niem yet 9.640.630 224.081.020.304 (5.263.339.840) 218.817.680.464- cll phieu Chua Niem yet 2.828.369 45.179.487.167 (26.945.929.490) 18.233.557.677- Trai phieu 6.180.025 633.289.130.228 - 633.289.130.228Chung khoan n~m gili' den ngay - - - -dao h<;lnDAu tll' gop vOn . 342.000.000.000 - 342.000.000.0008£lU tu vao cong ty con - 342.000.000.000 - 342.000.000.000V~n gop lien doanh, Iitn ket - - - -Dau tll' tai chinh khac 11.766.999 538.617.000.000 (138.604.500.000) 400.012.500.0008au tu dai h<;lnkhac 11.766.999 538.617.000.000 (138.604.500.000) 400.012.500.000- Cong ty CP Cao Su Hoang Anh 10.267.000 523.617.000.000 (138.604.500.000) 385.012.500.000- Cong ty CP 8au Tu811'OongM~t

1.499.999 15.000.000.000 - 15.000.000.000Tr6'i

T~i ngay 31/12/2013Ch(Png khoan thU'O'ng m~i 10.295.005 202.185.673.088 (42.373.864.135) 159.811.808.953cll phieu Niem yet 2.025.524 71.372.577.977 (3.894.983.598) 67.477.594.379cll phieu Chua Niem yet 8.269.481 130.813.095.111 (38.4 78.880.537) 92.334.214.574Trai phieu - - - -DAu tll' ng&n h~n khac . 1.049.000.000.000 - 1.049.000.000.000Ti~n gfri co ky h<;l.ntren 3 thang - 1.049.000.000.000 . 1.049.000.000.000Ch(Png khoan dau tll' 24.838.288 980.424.576.989 (36.516.328.053) 943.908.248.936Chung khoan si:ln sang dll ban 24.838.288 980.424.576.989 (36.516.328.053) 943.908.248.936- cll phieu Niem yet . 15.829.894 301.955.959.594 (9.708.346.663) 292.247.612.931- cll phieu Chll'a Niem yet 2.828.369 45.179.487.167 (26.807.981.390) 18.371.505.777- Trai phieu 6.180.025 633.289.130.228 - 633.289.130.228

Chung khoan n~m gili' den ngay - - - -dao h<;lnDAu tll' gop vOn - 342.000.000.000 . 342.000.000.0008au tu vao cong ty con - 342.000.000.000 - 342.000.000.000V~n gop lien doanh, lien ket - - - -Dau tll'tai chinh khac 11.766.999 538.617.000.000 (138.604.500.000) 400.012.500.0008au tll' dai h<;lnkhac 11.766.999 538.617.000.000 (138.604.500.000) 400.012.500.000- Cong ty CP Cao Su Hoang Anh 10.267.000 523.617.000.000 (138.604.500.000) 385.012.500.000- Cong ty CP 8au Tu 8u6'ng M~t

1.499.999 15.000.000.000 - 15.000.000.000Tr6'i

Ban thuyet minh nay la mQt bQ ph?n hQ'p tMnh va phBi c1ur;ycc1Qccung voi Mo CaD tai chfnh Trang 8

C6NGTYCOPHANCH~NGKHOANSAIG6NDia chi: 72 Nguy~n Hu$ - Qu~n 1 - TP. H6 Chi MinhsAo cAo TAl CHINH RII~NGCho ky k~ toan k~t thuc ngay 31 tMng 03 nam 2014Ban thuy~t minh bao cao tai chinh (ti~p theo)

- Chi ti~t dlJ' ph6ng eau tooChiYng khoan npiin h~nGia tri theo 50 Giam so vai gia TOng gia trj theoCh" C So IU'9'ng

I leu (CP) ke toan thj truoang gia thl trU'angT~i ngay 31 thang 3 nam 2014

ChiYng khoan thU'O'ng m~i 3.125.209 100.592.740.436 (43.909.377.438) 56.683.362.998CO phi~u niem y~tVIC 540.494 42.425.656.109 (2.699.347.110) 39.726.308.999SVC 6.749 135.157.216 (13.675.217) 121.481.999BHV 6.054 253.765.058 (204.727.658) 49.037.400NSP 418.273 4.182.730.000 (2.509.638.000) 1.673.092.000COphieu kMc 105 4.708.516 (3.108.916) 1.599.600CQng niem y~t 971.675 47.002.016.899 (5.430.496.901 ) 41.571.519.998

CO phi~u chU'a niem y~t

CTCP f)flU Tll' Xay Dl)'ng Delta AGF 200.000 2.000.000.000 (2.000.000.000)CTCP Bat 80ng San 8Gli Nam 70.500 7.050.000.000 (7.050.000.000)CTCP Eden 199.650 4.650.000.000 (3.252.450.000) 1.397.550.000CTCP Phan Lan Van Dien 1.420.400 35.488.291.962 (24.125.091.962) 11.363.200.000CTCP Dll'O'cVi~n 80ng-DVD 2.866 117.720.575 (107.689.575) 10.031.000COngty CP dflu tll' Kim TI)' TMp 260.118 4.284.711.000 (1.943.649.000) 2.341.062.000CQng chU'a niem y~t 2.153.534 53.590.723.537 (38.478.880.537) 15.111.843.000

T~i ngay 31/12/2013

ChiYng khoan thU'O'ng m~i 2.604.727 60.990.762.035 (42.373.864.135) 18.616.897.900CO phi~u niem y~tNSP 418.273 4.182.730.000 (3.513.493.200) 669.236.800BHV 6.054 253.765.058 (222.284.258) 31.480.800VNM 20.012 2.823.677.708 (122.057.707) 2.701.620.001SVC 6.749 135.157.216 (33.922.217) 101.234.999COphieu kMc 105 4.708.516 (3.226.216) 1.482.300CQng niem y~t 451.193 7.400.038.498 (3.894.983.598) 3.505.054.900

CO phi~u chU'a niem y~t

CTCP 8f1u Tll' Xay DI,mg Delta AGF 200.000 2.000.000.000 (2.000.000.000)CTCP Bat 80ng San 8Gli Nam 70.500 7.050.000.000 (7.050.000.000)CTCP Eden 199.650 4.650.000.000 (3.252.450.000) 1.397.550.000CTCP PMn Lan Van 8ien 1.420.400 35.488.291.962 (24.125.091.962) 11.363.200.000CTCP Dll'O'cVi~n 80ng-DVD 2.866 117.720.575 (107.689.575) 10.031.000COng ty CP dflu tll' Kim TI)' TMp 260.118 4.284.711.000 (1.943.649.000) 2.341.062.000CQng chU'a niem y~t 2.153.534 53.590.723.537 (38.478.880.537) 15.111.843.000

8im thuytJt minh nay la mOl bO ph(m hO'Pthanh va phBi (JU'Q'C(JQccung vai bao cao tai chfnh Trang 9

CONG TY cO pHAN CHUNG KHOAN sAl GONflja chi: 72 Nguyen Hu~ - Qu~n 1 - TP. H6 Chi MinhsAo cAo TAl CHfNH RI~NGCho ky k~ toan k~t thuc ngay 31 tMng 03 nam 2014Ban thuyM minh bao cao tai chinh (ti~p theo)

- Chi ti~t dl)' ph6ng d~u tU' chwng khoan dai h~n

Chitieu S61U'Q'ng Gia t~i theo 50 Giam so vai gia TOng gia tr! theo(CP) ke toan thj trU'cYng gia thj trU'cYng

T~i ngay 31 thang 3 nam 2014

Chli'ng khoan thU'O'ng m~i 4.390.936 81.703.109.813 (32.209.269.330) 49.493.840.483CO phi~u niem y~tLAF 771.086 10.931.954.086 (1.833.139.286) 9.098.814.800GIL 791.481 25.591.668.553 (3.430.200.554) 22.161.467.999CQng niem y~t 1.562.567 36.523.622.639 (5.263.339.840) 31.260.282.799

CO phi~u chU'a niem y~t- Cong ty CP Xay Dl)'ng Cong Nghi$p 398.470 11.324.672.774 (7.539.207.774) 3.785.465.000Descon- Cong ty CP Kinh Viglacera Dap cau 800.000 15.200.000.000 (14.100.800.000) 1.099.200.000- Cty CP Vi$t Tin 629.900 6.654.826.400 (1.621.925.400) 5.032.901.000- Cong ty CP Khu du Ijch Cat Ba 999.999 11.999.988.000 (3.683.996.316) 8.315.991.684CQng chU'a niem y~t 2.828.369 45.179.481.174 (26.945.929.490) 18.233.551.684

T~i ngay 31/12/2013

ChiFng khoan thU'O'ng m~i 5.612.308 122.922.165.031 (36.516.328.053) 86.405.836.984COphieu niem yet

,,~

LAF 771.086 10.931.954.086 (4.686.157.486) 6.245.796.600GIL 791.481 25.591.668.553 (3.588.496.754) 22.003.171.799PON 1.134.734 38.486.638.584 (1.267.440.783) 37.219.197.801ELC 146.638 2.732.416.640 (166.251.640) 2.566.165.000CQng niem y~t 2.843.939 77.742.677.863 (9.708.346.663) 68.034.331.200

',"

cll phieu chU'a niem yet- Cong ty CP Xay Dl)'ng Cong Nghi$p 398.470 11.324.672.774 (7.539.207.774) 3.785.465.000Descon- Cong ty CP Kinh Viglacera Dap cau 800.000 15.200.000.000 (14.100.800.000) 1.099.200.000- Cty CP Vi$t Tin 629.900 6.654.826.400 (1.483.977.300) 5.170.849.100- Cong ty CP Khu du Ijch Cal Ba 999.999 11.999.988.000 (3.683.996.316) 8.315.991.684

CQng chU'a niem y~t 2.828.369 45.119.481.114 (26.807.981.390) 18.371.505.184

3. Chi phi tra trU'ac dai h~n (dO'n vi tinh: VN£»

56 cu6i ky 56 d~u nam

Chi phi tU' v~n tra trU'O'c 84.777.681 172.237.860

Chi phi cai t<;lOvan ph6ng va cong Cl,l dl,lng Cl,l 341.257.965 176.354.964

T6ng CQng 426.035.646 348.592.824

Ban thuyet minh nay la mot bO ph(ln hQ'p thanh va phai clU'Q'CclQc cung v&i baD CaD tai chfnh Trang 10

CONGTYCOPHANCHfrNGKHOANSAIG6NDja chi: 72 Nguyen Hu~ - Qu~n 1 - TP. H6 Chi MinhBAa cAo TAl CHINH RI~NGCho ky k~ toan k~t tMc ngay 31 thang 03 nam 2014Ban thuy~t minh bao eao tai ehinh (tiep theo)

4. rai san ell dinh hfru hinh (dan vi tinh: VND)

Khoan mlJc Nha. cwa, v~t May moc thhH PhU'O'ng ti~n ThhH biTOng cQngkh~n truc bi van tai van DhonCl

Nguyen gia:

Ngay 31 thang 12 nam 2013 2.609.391.520 60.988.399.034 14.504.261.403 67.760.000 78.169.811.957Tang trong ky - - - - -Giam trong nam - (202.483.842) - - (202.483.842)- Ban thanh 19 (202.483.842) - - (202.483.842)Ngay 31 thang 3 nam 2014 2.609.391.520 60.785.915.192 14.504.261.403 67.760.000 77.967.328.115

Gia trj hao mon:Ngay 31 thang 12 nam 2013 2.202.918.913 49.583.590.914 6.772.868.566 31.621.333 58.590.999.726Tang trong ky 112.317.288 1.345.855.449 372.726.735 3.387.999 1.834.287.471Kh~u hao 112.317.288 1.345.855.449 372.726.735 3.387.999 1.834.287.471Giam trong ky - (202.483.842) - - (202.483.842)

- Ban thanh 19 - (202.483.842) - - (202.483.842)Ngay 31 thang 3 nam :014 2.315.236.201 50.726:962.521 7.145.595.301 35.009.332 60.222.803.355Gia trj con I~i:

Ngay 31 thang 12 nam 2013 406.472.607 11.404.808.120 7.731.392.837 36.138.667 19.578.812.231Ngay 31 thang 3 nam 2014 294.155.319 10.058.952.671 7.358.666.102 32.750.668 17.744.524.760

5. Tili san ell dinh vo hinh (dan vi tinh: VND)

Khoan mlJc Ph&n mllm Quyen ~lrdlJng Tai san vo hinhTOng cQngdcit khac

Nguyen gia:

Ngay 31 thang 12 nam 2013 44.794.849.643 109.671.558.000 1.656.576.688 156.122.984.331Tang trong ky 2.635.122.090 - 387.000.000 3.022.122.090- Mua m6'i 2.635.122.090 - 387.000.000 3.022.122.090

Giam trong ky - - - -Ngay 31 thang 3 nam 2014 47.429.971.733 109.671.558.000 2.043.576.688 159.145.106.421

Hao mon luy k~:

Ngay 31 thang 12 nam 2013 38.895.118.876 - 1.636.716.788 40.531.835.664Tang trong ky 1.012.974.227 - 31.830.227 1.044.804.454- Kh~u hao 1.012.974.227 - 31.830.227 1.044.804.454

Giam trong ky - - - -Ngay 31 thimg 3 nam 2014 39.908.093.103 - 1.668.547.015 41.576.640.118Gici trj con I~i:

Ngay 31 thang 12 nam 2013 5.899.730.767 109.671.558.000 19.859.900 115.591.148.667Ngay 31 thang 3 nam 2014 7.521.878.630 109.671.558.000 375.029.673 117.568.466.303

6. Ti~n nQp Quy hOtrQ' thanh toan (dan vi tinh: VND)

Ti~n n(lp ban dflu va b6 sung hang nam 13.960.535.062

Ti~n JaipMn b6 hang nam 6.022.376.734

TOng CQng 19.982.911.796

Ban thuy~t minh nay la mQl bQ ph~n hQ'p thBnh va pMi G/J'Q'CGQccLing vai bao cao tai chfnh Trang 11

CONG TY cO pHAN CHUNG KHOAN sAl GON8ia chi: 72 Nguy~n H...J$- Qu~n 1 - TP. H6 Chi MinhsAo cAo TAl CHfNH RI~NGCho ky k~ toan k~t thuc ngay 31 thang 03 nam 2014Ban thuy~t minh bao eao tai ehinh (ti~p theo)

7. Cae khoan phai thu (dO'n vi tinh: VN£»

Chi tiEm s6 eu6i ky s6 dau nam1. Phai thu khc'ieh hang 1.670.574.287.201 913.645.353.416- Phai thu KH v~ nghi$p VI,Jky quy 1.567.100.998.810 647.585.181.717- Phai thu cac khoan lI'ng tru6'c ti~n ban chll'ng khoan

97.728.868.369 260.694.246.604cho ngU'ai d~u tU'- Phai thu phi tU'vfln 2.010.440.630 1.701.845.703- Phai thu khac 3.733.979.392 3.664.079.3922.Phai thu ho~t dQng giao dieh CK 9.641.604.511 185.010.262- Phai thu So' giao dich 94.88.140.000 -- Phai thu khach hang v~ giao dich chll'ng khoan 153.464.511 185.010.2623. Thu~ GTGT khau trw 96.708.354 54.592.7204. Phili thu khc'ie 595.887.968.370 659.153.321.374- Phai thu t6 chll'c phat hanh - c6 tll'C, trai tll'C 53.512.444.651 38.568.575.117- Phai thu v6n uy tMc d~u tU' 400.267.969.020 480.267.969.020- Phai thu SSIAM 57.656.759.273 47.974.451.577- Phai thu lai hQ'pd6ng ti~n gui 6.726.854.255 4.273.077 .705- Phai thu hQ'pd6ng moi gi6'i trai phi~u, ti~n C<;lC 75.000.000.000 85.300.000.000- Phai thu khac 2.723.941.171 2.769.247.955

no trU'cYeeho ngU'O'i ban:Chi tieu s6 eu6i ky s6 dau nam

- Lrng trU'6'ccho ngU'ai ban 7.636.381.918 8.066.208.100

8. 0'

9. Phili thu deii han khae:Chi tieu s6 eu6i ky s6 dAu nam

- Phai thu v6n uy thac d~u tU'dai h~n 1.281.453.170.365 1.166.453.170.365- Phai thu lai H8 uy thac d~u tU'dai h~n 204.518.587.608 160.686.260.322

CQng 1.485.971.757.973 1.327.139.430.687

10. Dlf phOng cae knoiln phili thu (dO'n vi tinh: VN£»

Chi tieu s6 eu6i ky s6 dau nam

- Dl,I'phong phai thu kh6 doi phi tU'vfln (910.500.000) (910.500.000)

- Dl,I'phong giam gia chli'ng khoan uy thac ng~n hi;1n (75.461.581.237) (90.218.875.426)

- Dl,I'phOng giam gia chll'ng khoan uy thac dai h~n (77.605.572.519) (92.442.679.860)

CQng (153.977.653.756) (183.572.055.286)

Ban thuytJt minh nay 113mQl bo ph~n hQ'p lhanh va pMi clU'Q'cclQccung voi Mo cao lai chfnh Trang 12

CONG TV cO pHAN CHUNG KHOAN sAl GON8ia chi: 72 Nguyen Hu~ - Qu$n 1 - TP. H6 Chi MinhsAo cAo TAl CHfNH RU~NGCho ky k~ toan k~t thuc ngay 31 thang 03 nam 2014Ban thuy~t minh bao cao tai chinh (ti~p theo)

11. Cac khoan chi phi phai tra (dan vi Unh: VNE»

56 cu6i ky 56 d&u namChi phi phai tra SGDCK & TTLKCK 6.349.664.548 3.209.600.655Phai tra SSIAM ti~n phi quan Iy danh ml,lC 2.124.805.431 3.650.458.434Chi phi lai hQ'pd6ng ban va cam k~t mua l'ili chlrng 5.874.082.600 1.478.343.260khoan, hQ'pdong d~t cQc moi oi6'i chlrno khoanChi phi dao t'ilO,hOithao, tU'v~n 600.000.000 600.000.000Phi djeh Vl,l 367.196.818 367.196.818Trieh trU'6'cchi phi hOinghj 3.652.524.230 -Chi phi phai tra khae 15.071.999.597 2.481.464.622

TOng CQng 34.040.273.224 11.787.063.789

12. NgU'o-imua tra ti~n trU'ac (dan vi tinh: VNE»

Chi tieu 56 cu6i ky 56 d&u nam- Lrng tm6'c phi tU'v~n clla khach hang 4.572.033.750 4.862.033.750- Lrng trU'6'eti~n mua chlrng khoan ella khaeh hang 65.009.400.000 146.009.400.000

T6ng CQng 69.581.433.750 150.871.433.750

13. Cac khoan phai tra, phai nQp kMc (dan vi tinh: VNE»

56 cu6i ky 56 d&u nam

Sao hi~m xa hQi. bao hi~m y t~, bao hi~m th~t nghi~p 509.573.002 (357.160)Phai tra hQ'pd6ng mua ban chlrng khoan 414.581.860.000 414.006.180.000Phai tra cho khach hang nU'6'cngoai 2.128.731.709 50.767.329.469Phai tra cong ty con 140.500.000 140.500.000Phai tra N8T - khoan nh$n ky quy ng~n h'iln ci~thl,l'c 1.495.523.302.760 72.074.263.864hi~n vi~c moi gi6'i chlrng khoan cho khach hangCae khoan khac 4.144.338.018 1.855.818.303

TOng CQng 1.917.028.305.489 538.843.734.476

14. Thu~ va cac khoan phai nQp nha nU'ac (dan vi tinh: VNE»

56 cu6i ky 56 dAu namThu~ Gia trj gia tang 41.817.973 222.307.832Thu~ Thu nh$p doanh nghi~p 57.966.453.502 25.463.581.162Thu~ Thu nMp ca nhfm 1.413.244.061 2.337.987.718Thu~ Thu nh$p ca nhan nop ho 7.456.354.573 4.384.951.982Cac 10'ilithu~ khac 4.085.376.383 1.108.348.003

CQng 70.963.246.492 33.517 .176.697

Ban fhuy~f minh nay 113me')fbe')ph~n hQ'p fhanh va phiJi clwc clQc cung vai bao cao fBi chfnh Trang 13

CONG TY c6 pHAN CHUNG KHOAN sAl GON8ja chi: 72 Nguyen Hu$ - Qu~n 1 - TP. H6 ChI MinhsAo cAo TAl CHINH RIENGCho ky kl! toan kl!t thUc ngay 31 thang 03 nam 2014Ban thuy~t minh bao cao tili chinh (til!p theo)

Bang U'Ooctinh thu~ Thu nh~p doanh nghi~p hi~n hanh Quy 1 nam 2014: (dO'n vi tinh: VND)

TOng I<;>,inhu~n k~ toan trU'Oocthu~

Cac khoan difJu chinh tang giam:

- Cac khoan thu nh~p cOtlfC kh6ng chju thul!

- Hoan nMp dl,l' ph6ng giam gia chlfng khoan chU'a niem yl!t 31.12.2013

- Dl,I' ph6ng giam gia chlfng khoan chU'a niem yl!t 31.03.2014

- Chi phI dU'Q'ckhau trCfthul! nam trU'oc chuylm sang

TOng I<;>,inhu~n tinh thu~ theo thu~ suat 22%

Thu~ thu nh~p doanh nghi~p U'Ooctinh phai nQp lOy k~ d~n 31.03.2014

Ban fhuy~f minh nay /a m{)f b{) pMn hQ'pthanh va phai dU'Q'Cdoc cling v6i Mo cao fai chfnh

302.964.434.900

(38.154.931.884)

(230.391.354.525)

229.218.787.661

(153.056.592)

263.483.879.561

57.966.453.503

Trang 14

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CONG TV cO pHAN CHLrNG KHOAN sAl GON8ia chi: 72 Nguy~n Hu~ - Qu~n 1 - TP. H6 Chi MinhBAa cAo TAl CHfNH RIENGCho ky kll toan kllt thuc ngay 31 thang 03 nam 2014Ban thuyM minh bao cao tai chinh (tillp theo)

16. rai san thu~ TNDN hoan ''ili

s6 cu6i ky s6 dftu nclmrai san thull TNDN hoan l<;Ii 50.659.958.676 50.719.770.447

CQng 50.659.958.676 50.719.770.447

17. Yay va Ng ngiin hi,m

s6 cu6i ky s6 dftu namYay thau chi BIDV (*) 461.668.935.458 358.961.041.321

CQng 461.668.935.458 358.961.041.321

(*) 8ay la khoan vay thau chi t<;liNgan hang 8~u tU'va phat tri~n Vi(H nam (UBIDV") ty I~ lai suat thl,l'cap dl,lng cho cac khoan vay thau chi ngan hang la 8%, chi tillt:

s6 d~u nam 358.961.041.321Phat sinh tang 1.526.056.353.213Phat sinh giam 1.423.348.459.076s6 cu6i ky 461.668.935.458

18. Phai tra ho~t dQng giao djch chwng khoan (dO'n vi tinh: VN£»:

S6 cu6i ky S6 dau namPhai tra ti~n Qui Qiao dich chunQ khotm clla Nha o~u tU' 1.211.439.698.077 1.034.904.144.342Thanh toan bu trCrgiao dich chung khoan 248.085.641.600 94.665.215.100Phai tra So GDCK HCM - 3.754.961.000

CQng 1.459.525.339.677 1.133.324.320.442

19. Chi ti~t doanh thu ho~t dQng dftu tlJ' chwng khoan, gop v6n (dO'n vi tinh: VN£»

Quy 1-2014 Quy 1-2013c6 tuc 38.154.931.884 29.395.068.320Trai tuc 16.529.671.234 17.039.397.260Lai ban c6 phi€!u. trai phi€!u 134.569.025.947 4.940.062.138Doanh thu tl,l'doanh tCrUTDM t<;liSSIAM 33.538.798.299 3.929.984.115Doanh thu hO<;ltoQng dflu tU' khac 1.990.400.000 969.000.000TlIng cQng 224.782.827.364 56.273.511.833

20. Chi ti~t doanh thu khac (dO'n vi tinh: VN£»

Quy 1-2014 Quy 1-2013Lai ti~n gui 38.706.027.114 76.501.281.145Doanh thu phi ll'ng trU'6'c 2.821.789.446 2.109.208.035Doanh thu tCrnghi~p VI,J ky quy 35.690.967.982 13.130.998.333Doanh thu khac 430.546.658 306.498.432

TlIng cQng 77.649.331.200 92.047.985.945

':I

Ban thuy{,t m!nh nay 113mot bO ph~n hqp thanh va pM! dU'Q'cdoc cling va! baD CaD tar chfnh Trang 16

CONG TV cO pHAN CHUNG KHOAN sAl GONDja chi: 72 Nguyen Hu$ - Qu$n 1 - TP. H6 Chi MinhsAo cAo TAl CHfNH RIE:NGCho ky k~ toan k~t thUc ngay 31 thang 03 nam 2014San thuy~t minh bao cao tai chinh (ti~p theo)

21. Chi phi hO\lt dQng kinh doanh chwng khoan (dO'n vi tinh: VN£l)

Quy 1-2014 Quo{ 1-2013Chi phi m6i gi6'i ch(yng khoan 18.193.463.4 73 8.903.189.703Chi phi tl,l' doanh ch(ynQ khoan 6.409.613.692 21.253.392.833Chi phi ho~t Oonq tU' van 111.046.765 -Chi phi dl,l' phOng (32.365.946.950) (108.381.762.631)Chi phi von kinh doanh ch(yng khoan 15.578.251.562 39.404.636.760Tra lai nha dEW tU' 3.209.078.824 3.441.090.311Tra lai tien vav 1.317.329.115 2.361.086.071Chi phi khac 11.051.843.623 33.602.460.378Chi phi trl,l'c tiep ho~t oong kinh doanh ch(yng khoan 69.984.185.903 50.020.415.451Chi phi IUO'ng 43.418.368.265 26.201.475.786Chi phi bao hiem cac IO<;litheo IUO'ng 1.862.403.929 1.604.790.612Chi phf dao t<;lO,chi phf nhfJn vien khac 4.311.019.413 693.945.361Chi phf v~t Mu, vPP, cong CI,J 1.228.940.847 477.370.277Chi phf khEw hao va phfm b6 2.673.220.603 4.744.550.975Chi phf thue van ph6ng 6.131.653.278 6.334.890.380Chi phf djch VI,J mua ngoai 10.265.605.655 9.950.565.540Chi phf khac 92.973.913 12.826.520TonQ conQ 77.910.614.445 11.199.872.116

22. Chi phi quan Iy doanh nghi~p (dO'n vj tinh: VN£l)

Qu' 1-20142.808.783.839

205.871.3223.014.655.161

Qu'1-20132.404.132.928

83.606.2502.487.739.178

23. LO'i nhuan khacQuv 1-2014 Quv1.2013

Thu nhap khacThu nh$p tCYnhU'Q'nQ ban, thanh Iy tai san co oinh 1.000.000 -Thu nh$p tCYli:ii ph~t thl,l'c hi$n hQ'p oonq 1.203.736.111 15.244.388.889Thu nh$p khac 20.801.824 1.038.083.400Cong 1.225.537.935 16.282.472.289ChiphikhacChiphikhac 600.019 -Cong 600.019 -

1.224.937.916 16.282.472.289

.. . b- • r-Nghiep vu VO'l cac en co len Quan:Ben lien quan Moiquan h~

Quy o~u tU' thanh vien SSI Cong ty con 80% sO' hCru

Cong ty TNHH TU' Van va d~u tU' NOH Vi~t Nam Chu tjch Hoi oong quan trj SSI cOng la chu oau tU'vonvao Cona tv TNHH

Cong ty TNHH NOH Viet Nam Chu tjch Hoi dong quan trj SSI cOng la chu dau tU'vonvao Cong tv TNHH

Cong ty TNHH Qdn Iy Quy SSI Cong ty con 100% sO'hCru

Cong ty CP Dau TU' DU'6'ng M~t Tr6'i Cong ty nh~n von dau tU' va c6 Chu tjch HDQT 18 emcua Chu tjch HDQT SSI

Ngan Hang ANZ Co dong chilln IU'O'c

Oaiwa Securities Group Inc Co dong chilln IU'O'cChu tjch Hoi dong quan trj SSI cOng la chu tjch Hoi dong

Cong ty CP Xuyen Thai Sinh (PAN) quan trj cua PAN, Ph6 Tong Giam doc Cong ty PAN laTrU'&na San Ki~m soat cua SSI

24.

Ban IhuytJI minh nay /13 mol bO pMn hc;rplhanh va phlii GU'Q'C GOC cling vai bao CaD lai chinh Trang 17

CONG TY cO pHAN CHUNG KHOAN sAl GON8ja chi: 72 Nguy~n HU$ - Qu~n 1 - TP. H6 Chi MinhBAa cAo TAl CHiNH RIENGCho ky ke toan ket thuc ngay 31 thang 03 nam 2014Ban thuy€lt minh baD CaD tal chinh (tiep theo)

Cae khoan pha; thu:

Cong ty lien quan 56 d&u quy Tang trong Giam trong quy 56 cu6! quyPhai thu quy Phai thu

Quy d&u tU' thanh vienG6p vOn d~u tlJ' 312.000.000.000 - - 312.000.000.000

Cong ty TNHH NOH Vi~tNamPhi djch VI,Jchlfng khoan - 80.994.490 80.994.490 -Cong ty CP Dau TU'DU'ang M~t TraiGop vOn d~u tlJ' 15.000.000.000 - - 15.000.000.000Phi djch VI,Jchlfng khoan - 66.558.892 66.558.892 -O~t CQCmoi gi&i mua ban

85.300.000.000 49.500.000.000 59.800.000.000 75.000.000.000trai phieuLai d~t CQCmoi gi&i mua - 1.203.736.111 1.203.736.111 -ban trai phieuOat CQCtiEmthue van ph6ng - 10.800.702.000 - 10.800.702.000Cty CP Xuyen Thai SinhPhi giao djch chlfng khoan - 237.618.835 237.618.835 -Cong ty TNHH Quan IyQuy551Gop vOn dflu tlJ' 30.000.000.000 - - 30.000.000.000Phi giao djch chlfng khoan - 367.846.416 367.846.416 -Uy thac danh ml,JCC1~utl1 1.646.721.139.385 130.000.000.000 95.000.000.000 1.681.721.139.385Thu nh~p r6ng tlJ>danh ml,JC

208.660.711.899 60.987.549.351 7.472.914.369 262.175.346.881tlYthacNgan Hang ANZTien gli'i clla nha d~u tl1 63.187.398 - - 63.187.398

Cae khoan pha; tra:

Cong ty lien quan So dau quy Tang trong quy Giam trong So cuoi quyPhai tra QUY Phai tra

Cong ty CP Dau TU' £)U'angM~tTraiO~t CQCmoi gi&i mua ban trai

1.300.000.000 15.000.000.000 14.900.000.000 1.400.000.000phieu

Cong ty CP Xuyen Thai SinhLrng mua chlfng khoan 50.100.000.000 - - 50.100.000.000Lrng trlJ'&c hQ'pdOng tlJ' van 30.000.00b - - 30.000.000Nh~n CQChQ'pdOng moi gi&i - 225.647.907.863 20.050.000.000 205.597.907.863chlfng khoanLai nh~n CQChQ'pdOng moi - 724.612.724 724.612.724 -gi&i chlfng khoanChiJ~hl thue kho va djch VI,J - 300.563.076 300.563.076 -Cong ty TNHH Quan Iy Quy551Phi qUEm 19danh ml,JC 3.650.458.434 5.947.261.366 7.472.914.369 2.124.805.431

Cae giao dieh vai CaGben lien quan khac :Thu nh~p clla cac thanh vien clla HQi 66ng quan trj, Ban T6ng Giam 66c trong Quy 1/2014la 2.271.726.250 66ng (bao g6m ca thue Thu nh~p ca nhan va cac khoan bao hil!m b~t bUQc).

Ban thuyi$t minh nay 113 m<')tb<')ph~n hQ'p thanh va pM; c1U'Q'cc1Qccung v&; Mo cao tar chfnh Trang 18

CONG TV c6 pHAN CHUNG KHOAN sAl GONE>iachi: 72 Nguyen Hu$ - Qu$n 1 - TP. H6 Chi MinhsAo cAo TAl CHrNH RII~NGCho ky ke toan ket thUc ngay 31 thilng 03 nam 2014Ban thuy~t minh baa cao tai chinh (tiep theo)

25. Thuy~t minh b6 sungT;;tingay 31.03.2014, ty 1$sa hl1'u (bieu quyet) cua ph~n tl,l' doanh cong ty va ph~n uy thilc t;;ti cong ty conSSIAM tren s6 1U'Q'ngc6 phieu lU'u hanh cua cae ma c6 phieu nhU'sau:

s6n Mii c6phi~u Ti Ie 560 hO>u(bi6u quy~t)

1 SSC 19.98%2 GIL 19.98%3 LAF 19.92%4 NSC 19.75%5 PAN 19.56%6 TMS 19.98%7 VFG 19.98%8 SSC 19.89%9 ELC 19.99%

LQ'inhu$n trU'6'c thue Quy 1/2014 cua Cong ty la 302.964.434.900 d6ng, trong do da co 18.156.699.541d6ng la hoan nh$p chi phi dl,l' phOng giam gia chli'ng khoan cua ELC, GIL, LAF ; 11.220.677.400 d6ng lac6 hie nh$n dU'Q'ctrong ky cua VFG, ELC, PAN. Cae khoan chi phI hoan dl,l' phOng va cIStli'c nay se khongdU'O'ctlnh vao ket qua kinh doanh hQ'pnhilt quy 1/2014 do cae cong ty nay la cae cong ty lien ket trong baocao tai chfnh hQ'pnh~t cua SSI . Ket qua ho;;ttdQng kinh doanh quy 1/2014 cua cae cong ty lien ket nay sedU'Q'cghi nh$n vao k~t qua kinh doanh hQ'pnh~t quy 1/2014 cua Cong ty theo phU'O'ngphilp v6n chu sahl1'u.

Trong quy 1.2014, Cong ty da giam ty 1$sa hO'ut;;tiCTCP Hung VU'O'ng nen HVG khOng con la cong ty lienket cua Cong ty tren bao cao tai chinh hQ'pnh~t, va khoan d~u tU' vao HVG se dU'Q'cghi nh$n la 1 khoand~u tU' tai chlnh dai h;;tn. E>i~unay co anh hU'ang den bao cao tai chinh hQ'p nh~t quy 1/2014, Cong ty seghi nh$n mQt khoan di~u chinh giam lQ'inhu$n tu cae cong ty lien ket la 57,3 ty d6ng, day chlnh la chenhI$ch gil1'a gia g6c khoan d~u tU' va gia trj ghi nh$n theo phU'O'ngphap v6n chu sa hl1'u cua khoan d~u tU'vao HVG t;;tingay 31/12/2013.

Ow ng HO>uMui

~;..---Hoang Thj Minh ThUy

Ban thuyet minh nay la mQt bQ pMn hQ'p thanh va phai dU'Q'Cdoc cung v&i bao cao tai chfnh Trang 19