CONG TV CPCK SAl GON - HA N(HSAIGON - HA NOI SECURITIES JSc.,

, a ~SolNo: d) /2020/CV - SHS

(Vlv: Cong b6 Bao cao tinh hinh quan triCong ty ndm 2019)

(Ref Disclosing Corporate GovernanceReport 2019)

CQNG HOA xA H(H CHU NGHIA VI~T NAMTHE SOCIALIST REPUBLIC OF VIETNAM

DQc l~p - Tu do - Hanh phucIndependence - Freedom - Happiness

Ha N(3i, ngay 22 thdng 01 ndm 2020Hanoi, January 22nd, 2020

I([nh girilTo: Uy ban Chung khoan Nha nurrc/The State Securities CommissionSir Giao djch Chung khoan Hit NQiIHa Noi Stock ExchangeSir Giao djch Chung khoan Tp. H6 Chi Minh/Hochiminh Stock Exchange

1. Ten cong ty/Organization name: Cong ty C6 phan Chung khoan Sai Gon - Ha Nf;i/Saigon­

Hanoi Securities JSc.,

2. Mil chimg khoan!Securities Code: SHS

3. Mil thanh vien!Member code: 069

4. Dia chi tru sa chinhiAddress of head office: T~ng 1-5, Tea nha Unimex Ha Noi, s6 41, Ngo

Quyen, Hoan Ki~m, Ha Nf;i/1st -5th Floors, Unimex Hanoi Building, No. 41, Ngo Quyen road,

Hoan Kiem district, Hanoi city.

5. Di~n thoffi/Telephone: 024.38.181888 Fax/Fax: 024.38.181688

6. Ngiroi thuc hien cong b6 thong tin! Spokesman: Nguyen Thuy Hanh Mai - Nguoi duoc uy

quyen cong b6 thong tin! Nguyen Thuy Hanh Mai - Authorized person to disclose information.

7. Loai thong tin cong b6/Informationdisclosure type: Dinh kY/Periodicity.

8. Noi dung cua thong tin cong b6/Contents of information disclosure:

- Bao cao tinh hinh quan tri Cong ty nam 2019 cua Cong ty C6 phan Chung khoan Sai Gon - Ha

Nf;i/The Corporate Governance Report 2019 ofSHS.

9. Dia chi website dang tai thong tin cong b6/The website's address of the disclosure:

https://www.shs.com.vnlNews/2020122/1010306/shs-cbtt-bao-cao-tinh-hinh-quan-tri-cong-ty­

nam-2019.aspx

Chung toi xin cam k~t cac thong tin cong b6 tren day la dung S\I th~t va hoan toan chiu trach

nhi~m tm&c phap lu~t v~ nf;i dung thong tin cong b6/We hereby certify that the information

provided is true and correct and we will bear the full responsibility to the law.

Tran tr9ng/Best regards.!.

Tai lieu kem theo/Attached documents:- Bao cio tinh hinh quan tri Cong ty nam2019/ The Corporate Governance Report2019.

~PB~UGON-HAN(>IURITIES JSc.,

NO'inhiin/Recipients:- Nhu tren lAs stated above;- Luu VI, P.PC&QTRRlKept at Achivesand Legal&Risk Management Department.

NgU'iri dU'<lciiy quy~n cong b6 thong tinAuthorized person to disclose information

CONG TY CP CHUNG KHoANsAl GON - HA NQI

S6: ~J.) -20201CV - SHS

CQNG HoA xA HQI CHi) NGHiA VI~T NAMDQc I~p - Tl}' do - Hanh phiic

Ha N(Ji, ngay 2. 'i-... thdng 01 nam 2020

BAo cAo TINH HINH QUA.NTRJ CONG TY(narn 2019)

(ban rut gQn)

Kinh gm: - uv BAN CHUNG KHOAN NHA NUOC

- SO GIAO DICH CHUNG KHoAN HA NQI (PQLTV, PQLNY)

SO GIAO DICH CHUNG KHoAN TP.HCM .

uv BAN GIAM SAT TAl CHiNH ouoc GIA

C6ng ty CP Clnrng khoan Sai Gon - Ha N9i giri loi chao tran trong toi Quy co quan va baocao voi Quy co quan tinh hinh quan tri C6ng ty nam 2019 nhir sau:

I. Thong tin Cong ty

1. Ten cong ty: C6ng ty C6 phan Chirng khcan Sai Gan - Ha Noi

2. Giiy phep thanh l~p: Giay phep heat d9ng kinh doanh chirng khoan s6 66/uBCK-GPngay 15111/2007 va Gi~y phep di~u chinh IAngk nhat s6 27/GPDC-UBCK ngay25/04/2019 do Uy ban Clnrng khoan Nha mroc dp.

3. Tru SO' chinh: Tkg 3, Taa nha UNIMEXHa N9i, Phuong Hang Bai, Quan Hoan Ki~m,Tp. Ha N9i.

4. Dien thoai. 024.38181888 Fax: 024.38181688 Email: contact@shs.com.vn

5. V6n di~u l~:• 1.000.000.000.000 d6ng til thang 04/2010 d~nngay 18/5/2010• 1.053.956.740.000 d6ng kS til ngay 18/05/2018• 2.072.682.010.000 d6ng kS til ngay 26/04/2019

6. Ma ch(mg khoan: SHS

II. Thong tin v~ thanh vien HQidAngqmin tr! (HDQT)

H9i d6ng Quan tri C6ng ty co 05 Thanh vien, bao g6m Chu tich HDQT, 03 Thanh vienHDQT va 01 Thanh vien HDQT kiem T6ng Giam d6c C6ng ty.

Tl;liphien hQpthuong nien 2019 ngay 23/04/2019, Dl;lih9i d6ng c6 d6ng C6ng ty dffth6ngqua Quy~tdinh s6 14-2019/QD-HDQT v~vi~c th6i gift chuc Vl,l Thanh vien HDQT d6i v6i6ng Nguy~n Van Hung thea nguy~n vQngca nhan va b6 nhi~m 6ng Mai Anh Chinh thayth~ gift chuc Vl,l Thanh vien H9i d6ng Quan tri SHS nhi~m ky 2017-2022 kS til ngay11/04/2019.

Tai phien hop thuong ky quy IV/2019 ngay 1111112019, Hoi d6ng Quan til Cong ty etathong qua viec thoi gifr chirc VI) Thanh vien HDQT d6i voi eng Mai Anh Chinh thea nguyenvong ca nhan, eng Mai Anh Chinh thoi giu chirc vu Thanh vien HDQT SHS k~ tir ngay15/1112019 thea Quyet dinh s6 32-2019/QD-HDQT ngay 14/11/2019.

III. Cac eUQc hop ella HDQT

Trong nam 2019, H9i d6ng Quan tri da t6 chirc hop, thao luan va thong qua cac noi dungnhu sau:

Ty I~ST

Ngay hop NQidung TVHDQT Ttham

d"

HOp phien hop thuong ky Quy I nam 2019, t~p trung xemxet, thao luan va thong qua m9t s6 phuong an heat dong

1 18/01/2019d~u nr vao C6 phieu/Trai phieu do Ban TGD d~ xuat; trien

100%khai k~ hoach kinh doanh nam 2019, t6 chirc DHDCDthuong nien, cac v&nd€ quan tri di~u hanh.

Hop HDQT quy II/2019; T6IWhop bao cao heat dong cuaHDQT, BTGD nam 2019, ke ho<;tehnam 2019, tinh hinh

2 19/03/2019 tri~n khai trong quy 112019,ra soMva phan cong nhi~m V\l 100%eho eac TV HDQT, BKS, BTGD PhM hanh trai phi€u dqt1/2019

Hop v€ vi~e ti€p tlfe ra ~oM cae h<;tngm\le ,t6 ehue DHDCD

3 25/03/2019 2019, vi~e tang von dieu l~ va su d\lng von huy d9ng hi~u100%qua, ho<;ttd9ng d~u tu, ngu6n v6n, tai ehinh k~ toan va

quan tri rui ro ....

Hop phi en hop thuemg ky quy II12019, tri~n khai KHKDnam 2019 sau khi DHDCD thong qua, cae eong vi~e dnth\Ie hi~n eho cae thang ti~p thea eua nam 2019, ho<;ttd9ng

4 03/06/2019 kinh doanh va phM tri~n ngu6n v6n, khai thae va huy d9ng 100%v6n; ho<;ttd9ng moi gi&i va dieh V\l tai ehinh; tri~n khaigiao dieh hqp tae phcit tri~n san ph~m ban Ie trai phi€u ehokhaeh hang ea nhan gifra SHS va SHB

Hop tri~n ,khai,h~<;ttd9ng d~u tu, tu v&? tai e~inh" thong5 05/1112019 qua cae van de ve tin d\lng va phM trien nguon von eho

100%HDKD, Yay v6n thea hc;tnmue th&u chi nam 2019 t<;tiVPBANK

HOp HDQT quy III/2019, tri~n khai ho<;ttd9ng d~u tu, tu

6 10109/2019vfrn tai ehinh, thong qua cae v&n d~ v~ tin d\lng va phat

100%tri~n ngu6n v6n eho HDKD.

Phuong an yay v6n Indovinabank

Hop trien khai h,o<;tt~9~g dau tu, tu van tai ~hinh, 9T~,7 1111112019 thong qua cae van de ve tin d\lng va phM trien nguon von 100%

eho HDKD, v€ vi~e yay hc;tnmue t<;tiVPB

Thao luan va xem xet cho '1kien v~ k~t qua kinh doanhdu ki~n cua nam 2019, t~p trung bao cao v~ hoat donghuy dong, kinh doanh va phat trien nguon von, trien khaihoat dong kinh doanh Qu'1 IV .2019 va viec xay dung k~

8 1111112019 hoach nam 2020. 100%

Phuong an yay v6n thea han rmrc th~u chi tai Ngan hangTMCP Sai Gon - Ha NQi, Chi nhanh Ha NQi

BLPH Trai phieu Hai Phang

Hop trien khai hoat dQng dau tu, tu van tai chinh, thongqua cac v~n d~ v~ tin dung va phat trien nguon v6n cho

9 2311112019 HDKD; 100%

Vay v6n SHB Hang Trong

1. Hoat dQng giam sat ella HDQT

Trong narn 2019, HDQT va Ban TGD Cong ty t~p trung trien khai giam sat va dinh hirongphat trien toan dien cac heat dQng kinh doanh cua SHS, tang cirong quan tri rui roo

HDQT tiep tuc t~p trung trien khai heat dQng kinh doanh nam 2019 duoc DHDCD thongqua, t~p trung van viec xay d\l'l1gva triSn khai kS ho~ch kinh doanh nam 2019 sat v&i thvc tStinh hinh kinh t~ VImo, vi mo, bi~n dQng nganh ngh~ va d~t m\lc tieu khai thac t6i da lO'ith~,cO'hQi, duy tri nhip dQtang truang cua nam 2019.

Phat triSn ho~t dQng d~u tuTrai phiSu doanh nghi~p va phat hanh Trai phi~u Doanh nghi~pd~ tang lO'ithS v6n, tang lO'ithS an toan tai chinh cho cac ho~t dQng kinh doanh cua Cong ty.

Phat triSn ho~t dQng tu v~ tai chinh va bao Hinh phat hanh, tu v~ c6 ph~n hoa doanhnghi~p/thoai v6n1chao ban c6 ph~nlniem ySt c6 phiSu, ho~t dQngmoi gi&ichUng khoan va ho~tdQng tv doanh.

HDQT tang cu6ng giam sat ho~t dQng tu v~ tai chinh, dich V\ltai chinh, ki~m soat chi phidoanh nghi~p va chi phi quan 1'1,quan tri rui ro, cO'du danh m\lc t6n kho va nO'x~u; Thanhvien HDQT ph\l trach vi~c quan tri rui ro va tai chfnh phai dinh ky hang thang ho~c hang qu'1hop v&i T6ng Giam d6c va Truang Ban Ki~m soat d~ trao d6i v~ cac v~n d~ va giai phap thvchi~n.

HQi d6ng Quan tri da tri~n khai 9 cUQchop d~ thao lu~n va thong qua nhi~u v~n d~ dinhhu6ng chiSn luO'ccua Cong ty, quySt dinh cac v~n d~ thuQc thfun quy~n HDQT nhu hoan thanhvi~c tang v6n di~u l~ va Slr d\lng ngu6n v6n huy dQng hi~u qua, dung kS ho~ch duO'cDHCDthong qua; tra c6 tuc b~ng ti~n m~t cho c6 dong, rna rQng nganh ngh~ kinh doanh chUng khoanphai sinh, phat hanh chUng quy~n co bao dam, phat hanh c6 phiSu, phat hanh Trai phiSu, d~utu Trai phiSu, c6 phiSu, phuong an yay v6n, cac nQi dung trinh DHDCD thu6ng nien thong quava Phuong an tri~n khai thvc hi~n C\lth~ sau do.

Xem xet va phe duy~t cac khoan m\lc dh tu chiSn luO'c cua Cong ty, cac v~n d~ cO'dunhan sv quan 1'1dp ca~, cac v~n d~ luong thuang, cO'du nhan sv thuQc th~m quy~n HDQT.

Cong ty chu trong vi~c gill' vfrng thi ph~ moi gi&i trong top d~u, tiSp t\lC rna rQng, YUanlen m~ me, song song v&i dam bao an toan ngu6n v6n cua nha d~u tu va Cong ty, nhi~u sanph~m moi gi&i da d~g dap Ung nhu c~u cua nha d~u tu va tuan thu phap lu~t.

Ban hanh 02 Nghi quySt, 36 QuySt dinh, k'1phe duy~t 40 To trinh cua Ban TGD lien quandSn nhi~u v~n d~ trong ySu cua Cong ty, lam cO'sa va dinh huang cho Ban TGD tri~n khai

,;

nhiem vu.

2. Hoat dQng cua cac ti~u ban thuQc HDQT:

HDQT phan cong nhiem vu cho tung thanh vien chiu trach nhiern v~ cac mang cong vieccu the, bao gem:

STT Ti~u ban TV HDQT phu trach1. Quan tri chung Ong D6 Quang Hi~n - Chu tich HDQT

2. Chinh sach phat trien Ong D6 Quang Hi~n - Chu tich HDQT

3. Nhan SlJva luang thirong va Ong Vii Dire Ti~n - Thanh vien HDQTQuan tri h~ thong

4. Quan tri rui ro va Ki~m toan noi Ong Mai Xuan San - Thanh vien HDQTbQ

5. Quan tri rui ro, Tai chinh Ong Le Dang Khoa - Thanh vien HDQT

Ong Nguy~n Van Hung - Thanh vien HDQT - tir

6. Quan tri rui ro va Ki~m toan nQi 1114/2018 d~n 1114/2019)bQ Ong Mai Anh Chinh- TVHDQT (nr 1114/2019 d~n

1511112019)

Cac thanh vien phu trach cac ti~u ban diroc phan cong, c~p nhat thong tin, di~n bi~n tinhhinh cong ty tren ca sa h6 sa, dii li~u va cac bao cao cua Ban Ki~m soat, Ban T6ng Giam d5c,BQph~ KTNB va bao cao v~ cho tftt ca cac Thanh vien HDQT duqc bi~t d~ cung co bi~n phapxu ly, dinh huang va h6 trq cho Ban T6ng Giam d6c tim ra huang giai quy~t phu hqp, d~c bi~ttrong nhiing thm diSm thi tfUemgbi~n dQng Ian va n~n kinh t~ co nhi~u chinh sach tac dQng.

Van phong HDQT v6i vai tro la ban thu ky, c6 vftn cua HDQT va quan ly h6 sa c6 dong,thlJc hi~n cac cong vi~c thea chi d~o cua HDQT, Chu tich HDQT lien quan d~n t6 chucDHDCD, cong tac cua HDQT, Ban KiSm soat va T6ng Giam d6c; so~n thao va xay dlJng Mth6ng lUll trii cac van ban, quy ch~, quy trinh, bao cao ... thuQc DHDCD va HDQT, thea d5ih6 sa c6 dong cong ty, tra c6 tuc, s6 CNSHCP cho c6 dong chua lUll ky, h6 trq c6 dong ti~nhanh cac thu t\lCphap ly lien quan d~n trao, t~g, thira k~ c6 ph~n SHS; .

BQph~ KiSm toan nQi bQ thuQCHDQT ti~p t\lC h6 trq cho cac ho~t dQng quan tri rui rocua HDQT, thlJc hi~n vi~c kiSm toan cac ho~t d(lng kinh doanh va quan ly di~u hanh cua toanM th5ng cong ty, lien t\lCdua ra cac ki~n nghi va d~ xuftt huang t6i giai quy~t tri~t dS cac t6nt~i, rui ro va nang cao chftt luqng cac ho~t d(lng kinh doanh.

3. Cac Nghi quy~t/Quy~t dinh clla HQi dAng qmtn tri

Stt

I Nghi quy~t

01-2019INQ-HDQT 19/03/2019

2 02-2019INQ-HDQT 26104/2019II Bien ban hQp

ThOngqua phuang an phat hanh tniiphi~u rieng Ie dqt 1 nam 2019Sua d6i Dieu l~ SHS

1 01-2019/BBH-HDQT 18/0112019Phien hQPd~u nam 2019 trien khai caccong viec d~u nam 2019

PhM hanh trai phieu dot 1/20192 02-2019/BBH-HDQT 19/03/2019

3 03-2019/BBH-HDQT 25/03/2019

4 04-20 19/BBH-HDQT 03/0612019

5 05-2019IBBH-HDQT 05/11/2019

6 06-2019IBBH-HDQT 10109/2019

9 09-2019/BBH-HDQT 2311112019

7 07-2019IBBH-HDQT

8 08-20 19IBBH-HDQT

Giao dich gitta SHS&SHB

Phien hop thuong ky Quy lI12019, trienkhai KHKD nam 2019 sau khi DHDCDthong qua, cac cong viec ck thuc hieneho cac thang tiep thea cua nam 2019,hoat dong kinh doanh va phat triennguon von, khai thac va huy d(>ngvon;heat d(>ngmoi gioi va dich vu tai chinh;trien khai giao dich hop tac phat triensan pham ban le trai phieu eho khachhang ca nhan giira SHS va SHB

HQP trien khai. hoat d(>ngd~u nr, tir v~ntai chinh, thong qua cac v~n d~ v~ tindung va phat tri~n nguon v6n ehoHDKD, Yay v6n thea han rmrc thau chinam 2019 tai VPBANK

HQPHDQT quy lIII20 19, trien khai heatd(>ngd~u nr, ill v~n tai ehinh, thong quacae v~ d~ v~ tin d\lng va phat tri~nngu6n v6n eho HDKD.

Phuong an yay v6n Indovinabank.~I

11/11/2019

HQP trien khai hOi;ltd(>ngdau ill, tu vantai ehinh, QTRR, thong qua cae v~n d~v~ tin d\lng va pMt tri~n ngu6n v6n choHDKD, v~ vi~e yay hi;lnmuc ti;liVPB

.(c.j

1111112019

Thao 1u~nva xem xct eho y kien ve ketqua kinh doanh dv kiSn eua nam 2019,t~p trung bao cao v~ hOi;ltdong huydong, kinh doanh va phat tri~n ngu6nv6n, tri~n khai hOi;ltdong kinh doanhQuy IV.20 19 va vi~e xay d\lllg kS hOi;lehnam 2020.Phuong an yay v6n thea hi;lnmuc th~uchi ti;liNgan hang TMCP Sai Gan - HaN(>i,Chi nhanh Ha N(>i

BLPH Trai phiSu Hai Phang

HQP trien khai hOi;ltd(>ngdau tu, tu vantai ehinh, thong qua cae v~n d~ v~ tind\lng va phat tri~n ngu6n v6n choHDKD;

Yay v6n SHB Hang Tr6ng

III Quy~t dinh

1 01-2019/QD-HDQT 18/02/2019 Yay von han mire ABBank2 02-2019/QD-HDQT 18/02/2019 Khen thuong T~p th~ Xu~t sic SHS3 03-2019/QD-HDQT 18/02/2019 Khen thuong Ca nhan xuat sac SHS4 04-2019/QD-HDQT 11104/2019 Thay doi Thanh vien HDQT SHS5 05-2019/QD-HDQT 23/02/2019 Thanh I~p BTC DHDCD 2019 SHS

6 06-2019/QD-HDQT 23/02/2019 Thanh l~p BKT TCCD DHCD 2019SHS

7 07-2019/QD-HDQT 01103/2019 Quyet toan chi phi DHCD 20198 08-2019/QD-HDQT 05/03/2019 Oia han OCN Chao ban CK SHS9 09-2019/QD-HDQT 25/03/2019 Giao dich .gitra SHS&SHB10 10-2019/QD-HDQT 14/0312019 Xu ly co_Qhancon dir11 11-2019/QD-HDQT 14/03/2019 Xu ly co_QhanESOP con dir12 12-20 19/QD-HDQT 01/04/2019 Xu ly Ho sa co dong13 13-20 19/QD-HDQT 05/04/2019 Tiep tuc bo nhiem OD SHS HCM14 14-20 19/QD-HDQT 11104/2019 Thay doi Thanh vien HDQT15 15-2019/QD-HDQT 26/04/2019 Chi thu lao HDQT, BKS16 16-2019/QD-HDQT 20103/2019 HQ'Ptac voi SHB Finance

17 17-2019/QD-HDQT 22/04/2019 Mua tai san va cong cu lao dong choHQi sa

18 18-2019/QD-HDQT 23/04/2019 Chi BS thu nhap 011519 19-2019/QD-HDQT 24/05/2019 Yay von thee han rmrc thau chi VPB20 20-2019/QD-HDQT 03/06/2019 Chi tra co nrc nam TC 201821 21-2019/QD-HDQT 03/06/2019 HQ'Ptac voi SHB phat trien SP Trai

phieu ban le22 22-2019/QD-HDQT 14/08/2019 CUcan bo di mroc ngoai23 23-2019/QD-HDQT 01110/2019 Hqp tac Indovinabank24 24-2019/QD-HDQT 26/07/2019 Giao dich _gifraSHS - SHB25 25-2019/QD-HDQT 16/08/2019 CM dQbao hiem cho CBNV26 26-2019/QD-HDQT 30109/2019 Dieu chinh loai chirng khoan cho nguoi

sa hfru chirng khoan27 27-2019/QD-HDQT 01/10/2019 HQ'Ptac Indovinabank28 28-2019/QD-HDQT 04/1112019 HQ'Ptac tin dung voi VPBank29 29-2019/QD-HDQT 10/11/2019 Chi bo sung thu nhap 15111 (SN Cty)30 30-2019/QD-HDQT 08111/2019 Vay thee han rmrc tai VPBank31 31-2019/QD-HDQT 12/1112019 Yay han mire thau chi SHB Ha NQi32 32-2019/QD-HDQT 14/11/2019 Mi~n nhiem TVHDQT Mai Anh Chinh33 33-2019/QD-HDQT 14/11/2019 BLPH trai _QhieuHP 201934 34-2019/QD-HDQT 26/11/2019 Yay von SHB Hang Trong35 35-2019/QD-HDQT 26/1112019 Thoi chirc vu OD Chi nhanh TPHCM

d6i voi ong Nguy~n H6ng Di~p36 36-2019/QD-HDQT 26/1112019 Oiao nhi~m V\l kiem nhi~m OD SHS

HCM cho PTOD Nguy~n Chi Thanh

I. Ban ki~m soat:

1. Thong tin v~ thanh vien Ban Ki~m soat (BKS):

Ban Ki~m soat Cong ty bao g6m TruOng Ban Ki~m soat va 02 Thanh vien. Ngay 261412017,D~i hQi d6ng c6 dong thuemg nien SHS da: ti~n hanh b~u cu lila ch9n Thanh vien Ban Ki~msoat nhi~m ky 2017 -2022, gifr nguyen cac nhan Sl,l' nhu nhi~m ky 2012-2017.

Ngay bitSB buAi Lydo

diu lahQp Ty l~ khong

Stt Thanh vien BKS Clnrc v\l thanh vien BKS tham tham d\l'BKS

tham d\l' hop hQpduo

1 Ba Pham Thi Bteh HongTruong 20/8/2008 4 100% 0ban

2 Ba Luang Thi L1!U Thanh vien 27/4/2015 4 100% 0

3 Ong VUDue Trung Thanh vien 06/4/2012 4 100% 0

2. Hoat dQng glam sat ella BKS dBi vOi HDQT, Ban TAng Giam dBe va eAdong:

Trong nam 2019, Ban Kiem scat xay dung va trien khai k~ hoach hoat dong cua Ban Ki~msoat trong nam 2019, tri~n khai cong tac kiem soat toan dien moi hoat dong cua Cong ty, cacheat dong Quan tri rui ro, xay dung KHKD nam 2020, kh6i VP, Nguon v6n va Trai phieu. Quymo kiem scat t~p trung vao cac mat heat dong kinh doanh chinh va cac phong ban, chi nhanhnham giam thieu rui ro, phong ngira sai s6t va yeu du HDQT, Ban TGD sam e6 bien phap xu1ydam bao tuan thu phap lu~t va Di~u 1~SHS (n~u e6).

BKS d~e bi~t ehu trQng ra soat cae khoan m\le d~u tu e6 phi~u, trai phi~u; kinh doanh vahuy d('>ngngu6n; moi giai chUng khoan va dieh V\l tai ehinh; ti~n hanh dinh ky hang quy va e6cae dq1:ki~m tra thea mang hO<;ttd('>ngkinh doanh, l~p bao eao va ki~n nghi d6i vai HDQT vaBan TGD.

3. S\l' phBi hgp ho~t dQng gifra BKS dBi vOi ho~t dQng clla HBQT, Ban TAng Giam dBeva cae can bQ quan ly khac:

Ban Ki~m soat thucmg xuyen nh~n dUQ'esv hqp tae eh~t eM va tieh eve eua HDQT, BanTGD, CBNV e6 lien quan, d~ dang ti~p e~n vai cae thong tin, h6 sa, dfr li~u v~ cae ho<;ttd('>ngkinh doanh, di~u hanh, quan tri va ki~m soat cua Cong ty. Cae phi en hQp thuemg ky thea quy,BKS d~u dUQ'eHDQT mai tham gia va e6 bao cao, d~ xu~t, ki~n nghi t<;tieu('>ehQp d~ HDQT,BTGD va BKS kip thai nim bit tinh hinh hO<;ttd('>ngeua Cong ty tir nhi~u g6e d('>va c6 giaiphap phu hqp.

II. Bao t~o v~ quan tri eong ty:

Cac khoa dao t~o v~ quan tri cong ty rna cac thanh vien HBQT, thanh vien BKS, TAngGiam dBc, cae can bQ quan Iy khae va ThU' ky cong ty da tham gia theo quy dinh v~ quantri eong ty:

Thu ky HDQT dfl tham gia H('>ithao v~ Bao eao phat tri~n b~n vfrng, Bao cao thuemg niendo UBCKNN va IFC t6 ehuc, H(,>ithao v~ Quan tri Doanh nghi~p do HNX va m('>ts6 CTCKThanh vien t6 ehue, H(,>ithao v~ Thu ky Cong ty, Quan tri eong ty.

Ban TGD cung thuang xuyen tham dV ho~c eu can b('>e6 lien quan tham dv cae bu6i tQadam, huang d~n eua UBCKNN, Sa GDCK va TTLKCKVN v~ vi~e ti~p e~n va tri~n khai caevan ban quy ph<;tmphap lu~t mai v~ eong b6 thong tin, quan tri cong ty, t6 ehue hO<;ttd('>ngcong ty chUng khoan ...

III. Danh saeh v~ ngU'<rico lien quan ella eong ty niem y~t theo quy dinh t~i khoan 34 Bi~u 6Lu~t Ch.rng khoan va giao dich clla ngU'm co lien quan clla eong ty vOi ehinh Cong ty

1. Danh sach v~ ngU'<rico lien quan clla cong ty

.,

. ,'..-I(::::

Ten ta chuc/ca nhall Chucvy. ThOi diem ThOi diem, ;;:t.k~tthuc laSHS bit 4au la Ly do

NCLQ NCLQHOI DONG QUAN TRJ vA NGl1<'n co LIEN QUAN

Ong Hi~n du'Q'cb6D8 Quang Hi~n CTHDQT nhiem Chu tich. .

HDQT til'03/12/2007

86 Dang Thanh NCLQ 0311212007 NCLQ cuaCTHDQT

Le Thi Thanh NCLQ 03112/2007 NCLQ cuaCTHDQT

86 Thi Thu Ha NCLQ 03/12/2007 NCLQ cuaCTHDQT

86 Thi Minh Nguyet NCLQ 03112/2007 NCLQ cuaCTHDQT

Le Thanh Hoa NCLQ 03112/2007 NCLQ cuaCTH8QT

86 Quang Vinh NCLQ 03112/2007 NCLQ cuaCTHDQT

86 Vinh Quang NCLQ 03112/2007 NCLQ cuaCTHDQT

Cong ty CP T~p doanTCCLQ 03112/2007 NCLQ cua

T&T CTHDQTNgan hang TMCP Sai

TCCLQ 03112/2007 TCCLQ cuaGon-HaNoi CTHDQTT~ng Cong ty CP Bao

TCCLQ 03112/2007 TCCLQ cuahiern Sai Gon - Ha NOi CTHDQTCong ty CP PhM trien dothi va khu cong nghiep TCCLQ 03/12/2007 TCCLQ cuaSHB CTH8QTCong ty CP Khai thacche bien khoang san TCCLQ 03112/2007 TCCLQ cuaT&THa Giang CTH8QTCTCP B~nh vien Giao

TCCLQ 2014 TCCLQ cuathong van tai CTHDQT

Ong Khoa duoc, .Le Dang Khoa TVHDQT bo nhiem

TVHDQTngay22/3/2013

r.s Trong Khoi NCLQ 22/3/2013 NCLQ cua ongKhoa

Ha Thi H6ng NCLQ 22/3/2013 NCLQ cua ongKhoa

ts Trong Khue NCLQ 22/3/2013 NCLQ cua ongKhoa

Le Trung Kien NCLQ 22/3/2013 NCLQ cua ongKhoa

Nguyen H6ng H:;tnh NCLQ 22/3/2013 NCLQ cua ongKhoa

Le Huong Giang NCLQ 22/3/2013 NCLQ cua ongKhoa

. 8

9

.C;01

,-.-

Ten tA chuc/cauhin C~~f.JT\l Thiri diem ThOidi~mbit diu la k~(t~~claLydot,i~I{S NCLQ NCLQ

Ngan hang TMCP Sai Gon - TCCLQ 22/3/2013TCCLQ cua ong

HaNQi KhoaTong Cong ty CP Bao hiem TCCLQ 22/3/2013

TCCLQ cua ongSai Gon - Ha NQi Khoa

Mai Xuan Soon TVHDQTO.Son du(}'c bonhiem ngay24/0112014

Mai Xuan Thao NCLQ 24/01/2014NCLQ cua ongSan

Nguyen Thi Kim NCLQ 24/0112014NCLQ cua ongSan

Mai Xuan Ha NCLQ 24/01/2014NCLQ cua ongSan

Mai Thi Kim Thanh NCLQ 24/01/2014NCLQ cua ongSan

Nguyen Thi Thu Trang NCLQ 24/01/2014NCLQ cua ongSan

Mai Thi Khanh Vi NCLQ 24/01/2014NCLQ cua ongSan

Mai Xuan Lam NCLQ 24/01/2014NCLQ cua ongSan

Cong ty CP XNK Thu cong TCCLQ 24/01/2014TCCLQ cua ong

my nghe Artexport Vi~t Nam SanCOD;gty CP Thuy san Ha NQi TCCLQ 24/01/2014

TCCLQ cua ong- Can ThO' -Son

Cong ty CP T~p doan T&T TCCLQ 24/01/2014TCCLQ cua ongSan

Cong ty TNHH T&T Motor TCCLQ 24/01/2014TCCLQ cua ong

Cong ty C6 phan Kinh doanhSan

TCCLQ 24/01/2014TCCLQ cua ong

va Dau nr Vi~t Ha SanCo~g ty CP Dien co Thong 29105/2018NMt

ve Duc Ti~n TGD-O. Tien duoc bo

TVHDQTnhiem TVHDQTtil' ngay 15/9/2014

Vii Due Tu6e NCLQ 15/09/2014NC;:LQcua ongTien

Nguyen Thi Tuyet NCLQ 15/09/2014NC;:LQcua ongTien

Vii Thi Hai Y~n NCLQ 15/09/2014NC;:LQeua ongTien

Uong Van Hl;lnh NCLQ 15/09/2014NC;:LQeua ongTien

Vii Due Nh~t Minh NCLQ 15/09/2014NC;:LQeua ongTien

Vii Due Nh~t Nam NCLQ 15/09/2014NC;:LQeua ongTien

Cong ty CP Xay HipDau khi TCCLQ 15/09/2014TC;CLQ eua ong

Thanh H6a (TVHDQT) Tien

'.§i

Chuc Vl}Thot diem ThOi di~m

Ten ta chuc/ca nhan bit d~u lit kit tlnic lit Ly dot~iSHS NCLQ NCLQTong cong ty CP Bao hiem TCCLQ

15/09/2014 TCCLQ cua ongSai Gon - Ha NQi (BSH) (TVHDQTJ Ti~nCong ty CP Dau tir va Dieh TCCLQ

15/09/2014 TCCLQ cua ongvu ha tang xang d~u (TVHDQT) Ti~n

CONG TY CO PHAN DIBN TCCLQ07/2015 TCCLQ cua ong

CO THONG NHA.T (TVHDQT) Ti~n

LilTVHDQTMai Anh Chinh TV HDQT SHS tir 1114/2019

d~n 1511112019Mai Anh Chi~n NCLQ 1114/2019 1511112019 NCLQ cua ong

ChinhNguyjri Thi Vuot NCLQ 1114/2019 15111/2019 NCLQ cua ong

ChinhHoang Thi Thu Hi~n 1114/2019 15111/2019 NCLQ cua ong

NCLQ ChinhMai AnhMinh NCLQ 1114/2019 1511112019 NCLQ cua ong

ChinhMai Anh Phuong Linh NCLQ 11/4/2019 15/1112019 NCLQ cua ong

ChinhMai T~t Thang NCLQ 1114/2019 1511112019 NCLQ cua ong

ChinhDinh Thi Loan NCLQ 1114/2019 1511112019 NCLQ cua ong

Chinh

Mai Thi Thanh Van NCLQ 1114/2019 1511112019 NCLQ cua ongChinh

DuQ'c b& nhiemNguy~n Van Hung TVHDQT ngay 1114/2018-

11/4/2019

Nguyen Van Ngfr NCLQ 1114/2018 1114/2019NCLQ cua o. Hung

Tr~n Thi ChanhNCLQ 1114/2018 1114/2019 NCLQ cua o. Hung

Lai Ngoc Dung NCLQ 11/4/2018 111412019 NCLQ cua o. Hung

Nguyen Minh Duc NCLQ 1114/2018 1114/2019 NCLQ cua o. Hung

Nguyen Chi Hi~u NCLQ 1114/2018 1114/2019 NCLQ cua o. Hung

Nguy~n Thi Hai Y~n NCLQ 1114/2018 11/4/2019NCLQ cua o. Hung

Nguyen Thi Oanh NCLQ 1114/2018 1114/2019NCLQ cua o. Hung

10

11

ChucYi}ThOi(Ji~m ThOidi~m

Ten tA chuc/ca nltan b~tdAu la k~ttll1'ic la Lydot~i SHS NCLQ NCLQ

BAN KIEM SOAT vA NCLQB.HAng dU'Q'cbB

Pharn Th] Bich HAng TBKS nhiem TBKSngay 15/8/2008

PIWmBa Than NCLQ 15/8/2008NCLQ cua baH6ng

Luang Thi Cue NCLQ 15/8/2008NCLQ cua baH6ng

Pham Ba Trung NCLQ 15/8/2008NCLQ cua baHong

Pham Thi Hu~ NCLQ 15/8/2008NCLQ cua baH6ng

Pham Ba Dfing NCLQ 15/8/2008NCLQ cua baH6ng

Pham Van Tuyen NCLQ 15/8/2008NCLQ cua baH6ng

Pham Anh Quan NCLQ 15/8/2008NCLQ cua baH6ng

Pham Nhat Minh NCLQ 15/8/2008NCLQ cua baH6ngO. Trung dU'Q'cbo

Vii Bue Trung TVBKS nhiem TVBKS06/4/2012

Vii Phong Phu NCLQ 06/4/2012 NCLQ cua o.Trung

Liru Thi Thuy NCLQ 06/4/2012 NCLQ cua o.Trung

Duong Kim Anh NCLQ 06/4/2012 NCLQ cua o.Trung

Vii Thuy Hang NCLQ 06/4/2012 NCLQ cua o.Trung

Vii Due Kh6i NCLQ 06/4/2012 NCLQ cua o.Trung

Vii Due Nguyen NCLQ 06/4/2012 NCLQ cua o.Trung

T6ng Cong ty CP Baa hiemTCCLQ TCCLQ cua o.

Sai Gon - Ha Noi (BSH)(TVHDQT- 06/4/2012 TrungPTGD)

ThimhBU'Q'cbo nhiem lit

Luong Th] L1!u vien BKSTVBKS til'27/4/2015

Luang Sy Hai NCLQ 27/4/2015 NCLQ cua ba Ll,lU

BuiThiH6ng NCLQ 27/4/2015 NCLQ eua ba Ll,lU

Mful NgQeBaa NCLQ 27/4/2015 NCLQ eua ba Ll,lU

M~n Hoang Ngan NCLQ 27/4/2015 NCLQ eua ba Ll,lU

M~n Quynh Chi NCLQ 27/4/2015 NCLQ eua ba Ll,lU

Luang Sy Hao NCLQ 27/4/2015 NCLQ eua ba Ll,lU

Luang Thi Nhai NCLQ 27/4/2015 NCLQ eua ba Ll,lU

..4

--- ---

Chirc V\l ThOi diem ThOi diemTen ta chtrc/ca nhan bit diu la k~t thuc la Ly dot~i SHS

NCLQ NCLQCong ty CP XNK Thu cong TCCLQ

24/0112014 TCCLQ cua belmy nghe (TVBKS) Luu

BAN TONG GIAM DOC, KE ToAN TRU'ONG vA NCLQ

TGD- O.Ti~n dU'Q'cb8ve Dtrc Ti~nTVHDQT nhiem la TGD k~

til' 0111112014Vii Due Tiroc NCLQ 0111112014 NCLQ cua ong

Ti~nNguyen Thi Tuyet NCLQ 0111112014 NCLQ cua ong

Ti~nVii Thi Hai Y~n NCLQ 0111112014 NCLQ cua ong

Ti~nUong Van H?nh NCLQ 0111112014 NCLQ cua ong

Ti~nVii Due Nh~t Minh NCLQ 0111112014 NCLQ cua eng

Ti~nVii Due Nh~t Nam NCLQ 0111112014 NCLQ cua ong

Ti~nCong ty CP xa, Hip Dau khi TCCLQ

0111112014 TCCLQ cua ongThanh Hoa (TVHDQT) Ti~nTong cong ty CP Bao hiem TCCLQ

01111/2014 TCCLQ cua engSai Gon - Ha NQi (BSHl (TVHDQT) Ti~nCong ty CP Dau nr va Dich TCCLQ

15/09/2014 TCCLQ cua ongvu ha tkg xang dAu (TVHDQT) Ti~nCONG TY CO PHAN DI$N

29/05/2018 TCCLQ cua ongCd THONG NHAT Ti~n

Pho TGD 20/912011- la K~kiem toan trU'ong,

Tdn Sy Ti~n h'A K;: 16/4/2014 -Ian l~m etoan PTGD kiemtrU'()n_g nhifm KTT

TrAnXuan Xuy~n NCLQ 20/9/2011 NCLQ eua 6.Ti~nPh?ffi Thi Thiem NCLQ 20/9/2011 NCLQ eua 6.Ti~nTrAnThanh Binh NCLQ 20/9/2011 NCLQ eua 6.Ti~nTrAnThi H6ng Minh NCLQ 20/9/2011 NCLQ eua 6.Ti~nTrAnMinh Trang NCLQ 20/9/2011 NCLQ eua 6.Ti~nCong ty CP Xay l~p DAukhi TCCLQ

20/9/2011 TCCLQ eua ongThanh Hoa (TBKS) Ti~nCong ty CP Dau tu va Dieh TCCLQ

15109/2014 TCCLQ eua ongV\l h? tkg xan_g_dAu (TVBKS) Ti~n

TCT Bao hi~m hang khong TCCLQ19/1112014 TCCLQ eua eng

(TVBKS) Ti~n

PTGD, GD O.Thanh dU'Q'cNguy~n Chi Thanh tuy~n d\lng va bBSHSHCM

nhi~m la PTGD

12

13

ThOidi~m ThOidiemTen tA chuc/ca ullan 6~tdiu hI k~ttlluc]a Lydo

.. NCLQ NCLQtir 05/5/2014

Nguyen Van Hi~n NCLQ 5/512014NCLQ cuaa.Thanh

Nguy~n Thi Hanh NCLQ 5/5/2014NCLQ cuaa.Thanh

Hoang Thi Thu Tra NCLQ 5/5/2014NCLQ cuaa.Thanh

Nguyen Hoang Khanh Chi NCLQ 5/5/2014NCLQ cuao.Thanh

Nguyen Hoang Khanh Linh NCLQ 5/5/2014NCLQ cuaa.Thanh

Pho TBngBit Thanh dU'Q'c

Trin Thi Thu Thanh Giam €lacTD&BN lit PTGDngay 01109/2018

Tr~n Hem Khoa NCLQ 01109/2018NCLQ cua baThanh

Truong Thi Hao NCLQ 01109/2018NCLQ cua baThanh

Tr~n Anh Tuan NCLQ 01/09/2018NCLQ cua baThanh

Tr~ Htru Hai NCLQ 01/09/2018NCLQ cua baThanh

Tran Qudc Toan NCLQ 01/0912018NCLQ cua baThanh

Nguyen Vi~t Th~ng NCLQ 01/0912018NCLQ cua baThanh

Nguyen Tr~n Quynh Trang NCLQ 01/09/2018NCLQ cua baThanh

Nguyen Trinh vn NCLQ 01/09/2018NCLQ cua belThanh

NGUOI CONG BO THONG TIN vA NCLQ

B.Mai duoc bB

Nguy~n Thiry Hanh MaiTP. PC& nhiem nguoiQTRR CBTTtir

16/5/2011

Nguyen Van B6n NCLQ 16/5/2011 NCLQ cua B.Mai

Nga Thi Huong Nhu NCLQ 16/5/2011 NCLQ cua B.Mai

Nguy~n Quang Hai NCLQ 16/5/2011 NCLQ cua B.Mai

Phung Quang Tuyen NCLQ 16/5/2011 NCLQ cua B.Mai

Phung Thi Hi~n Anh NCLQ 16/5/2011 NCLQ cua B.Mai

Phung Ha Linh NCLQ 16/5/2011 NCLQ cua B.Mai

Chu'ev\I Thoodi~m Thoo di~mTen ta ehue/ca nhan biitdfrulit k~tthue lit Lydot~iSHS NCLQ NCLQ

Be) PH~N KIEM ToAN Ne)I Be) vA NCLQ

Tdn Thj Bich Thao TV TVBKTNB tirBP.KTNB 22/8/2016

Tr~n Xuan Than NCLQ 22/8/2016 NCLQ cua B TMoDang Thuy Binh NCLQ 22/8/2016 NCLQ cua B TMoTdn Dt;liNghla NCLQ 22/8/2016 NCLQ cua B TMoTdn Phuong Lan NCLQ 22/8/2016 NCLQ cua B TMoTdnAnh ro NCLQ 22/8/2016 NCLQ cua B TMoTdn Ngoc Khanh NCLQ 22/8/2016 NCLQ cua B TMoTdn Ngoc Tram NCLQ 22/8/2016 NCLQ cua B TMo

2. Giao djch gifra Cong ty v6'i nguot co lien quan ella Cdng ty; hoac gifra Cdng ty vO'ieB dongIon, ngU'O'inQi bQ, ngU'ooco lien quan cua ngum nQi bQ: 0

3. Giao djch gifra ngU'oo nQi bQ Cdng ty niem y~t, ngU'oo co lien quan ella ngU'(')'inQi bQ vo"iCong ty con, Cdng ty do Cdng ty niem y~t niim quy~n ki~m soat: 0

4. Giao djch gifra Cdng ty vot cac d6i tU'Q'ngkhac: 0

a. Giao dich gifra Cong ty voi Cong ty rna thrum vien HDQT, thanh vien Ban Kiem soat, T6ngGiam d6c dil va dang la thanh vien sang l~p ho?c thrum vien HDQT, T6ng Giarn c16ctrongthai gian ba (03) nam tra It;liday (tinh tt;lithai di~m l~p bao cao): 0

b. Giao dich giua Cong ty v&i Cong ty rna nguai co lien quan cua thanh vien HDQT, thanh vienBan Ki~rn soat, T6ng Giarn d6c la thanh vien HDQT, T6ng Giarn d6c: 0

c. Cac giao dich khac cua Cong ty (n~u co) co th~ mang It;lilQ'iich v~t ch~t ho?c phi v~t ch~t c16iv&i thanh vien HDQT, thanh vien Ban Ki~m soat, T6ng Giam d6c: 0

IV. Giao djeh eBphi~u ella ngU'oonQi bQva ngU'oolien quan ella ngU'm nQi bQ

1. Danh saeh ngU'O'inQi bQva ngU'm co lien quan ella ngU'm nQi bQ

2. Giao djeh etia ngU'm nQi bQ va ngU'm co lien quan d6i v6'i eB phi~u ella eong ty niem y~t: 0

Thong tin eB dong 16'n, eB dong ehi~n 1U'Q'e

14

Ten tA chu-c/cainhan > y. < IClnrc V\l t~i I SLCPsa I Ty l~ SH

SHS h1h. c1I8iky cu8ikYH(H DONG QUAN TRf vA NCLQ

DB Quang Hi~n CTHDQT 593.416 0,29

86 Dang Thanh NCLQ 0 0

Le Thi Thanh NCLQ 0 0

86 Thi Thu Ha NCLQ 33.000 0,016

86 Thi Minh Nguyet NCLQ 0 0

Le Thanh Haa NCLQ 0 0

D6 Quang Vinh NCLQ 0 0

86 Vinh Quang NCLQ 0 0

Cong ty CP Tap doan T&T TCCLQ 11.743.416 5,67

Ngan hang TMCP Sai Gon - Ha NQi TCCLQ 0 0

Tong Cong ty CP Bao hiem Sai Gon - TCCLQ 0 0HaNQiCong ty CP Phat trien do thi va khu cong TCCLQ 0 0nghiep SHBCong ty CP Khai thac che bien khoang TCCLQ 0 0san T&T Ha Giang

CTCP Benh vien Giao thong van tai TCCLQ 0 0

Le Dang Khoa TVHDQT 50.000 0,024

Le Trong Khoi NCLQ 0 0

Ha Thi H6ng NCLQ 0 0

Le Trong Khue NCLQ 0 0

Le Trung Kien NCLQ 0 0

Nguyen Hong Hanh NCLQ 0 0

Le Huang Giang NCLQ 0 0

Ngan hang TMCP Sai Gon - Ha NQi TCCLQ 0 0

Tong Cong ty CP Bao hiem Sai Gan - TCCLQ 0 0HaNQi

Mai Xu an SO'n TVHDQT 50 °Mai Xuan Thao NCLQ 0 0

Nguyen Thi Kim NCLQ 0 0

Mai Xuan Ha NCLQ 0 0

Mai Thi Kim Thanh NCLQ 0 0

Nguyen Thi Thu Trang NCLQ 0 0

Mai Thi Khanh Vi NCLQ 0 0

15

.~

f•)

'll.1

Mai Xuan Lam NCLQ 0 0

Cong ty CP XNK Thu cong my nghe TCCLQ 0 0

Cong ty CP Thuy san Ha N9i - C~n ThO' TCCLQ 0 0

Cong ty CP T~p dean T&T TCCLQ 11.743.416 5,67

Cong ty TNHH T&T Motor TCCLQ 0 0

Cong ty C6 ph~n Kinh doanh va D~u tirTCCLQ 0 0Vi~t Ha

CONG TY CO PHAN DIeN COTCCLQ 0 0THONGNHAT

Vii Dtfc Ti~n TGD-TVHDQT 4.644.250 2,24

Vii Due Tu6e NCLQ 0 0

Nguyen Thi Tuyet NCLQ 0 0

Vii Thi H,'tiY~n NCLQ 0 0

Uong Van Hcmh NCLQ 61.295 0,03

Vii Due Nh~t Minh NCLQ 0 0

Vii Due Nh~t Nam NCLQ 0 0

Cong ty CP Xay l~p D~u khi Thanh H6a TCCLQ0 0(TVHDQT)

Cong ty CP Xay l~p va Dia be Viing Tau TCCLQ0 0(TVHDQT)

Tong cong ty CP Bao hiem Sai Gon - Ha TCCLQ0 0N9i (BSH) (TVHDQTl

Cong ty CP Dau ttr va Dich vu ha tang TCCLQ0 0xang d~u (TVHDQTl

CONG TY CO PHAN DIeN CO TCCLQ0 0THONGNHAT (TVHDQT)

Mai Anh Chinh TVHDQT 0 0Mai Anh Chi~n NCLQ 0 0Nguyen Thi Vuet NCLQ 0 0Hoang Thi Thu Hi~n NCLQ 0 0Mai AnhMinh NCLQ 0 0Mai Anh Phuong Linh NCLQ 0 0Mai T~t Th~g NCLQ 0 0

Dinh Thi Loan NCLQ 0 0

Mai Thi Thanh Van NCLQ 0 0

16

Nguy~n van Hung TVHDQT 0 0

Nguyen Van Ngu NCLQ 0 0

Tdn Thi Chanh NCLQ 0 0

Lai Ngoc Dung NCLQ 0 0

Nguyen Minh Dire NCLQ 0 0

Nguy~n Chi Hi~u NCLQ 0 0

Nguyen Thi Hai Y~n NCLQ 0 0

Nguyen Thi Oanh NCLQ 0 0

BAN KIEM SOAT VA NCLQ

Pham Th] Bieh Hang TBKS 27.1750,13

Pham Ba Than NCLQ 0 0

Luong Thi Cue NCLQ 0 0

Ph(;lIDBa Trung NCLQ 0 0

Ph(;lIDThi Hu~ NCLQ 0 0

Pham Ba Diing NCLQ 0 0

Ph(;lIDVan Tuyen NCLQ 0 0

Pham Anh Quan NCLQ 0 0

Pham Nhat Minh NCLQ 0 0

Vii Due Trung TVBKS 700.000 0,338

VUPhong Phu NCLQ 0 0

Luu Thi Thuy NCLQ 0 0

Duong Kim Anh NCLQ 0 0

ve Thuy H~ng NCLQ 0 0

ve Due Kh6i NCLQ 0 0

VU.£)ueNguyen NCLQ 0 0

Tong cong ty CP Bao hiem Sai Gon - HaTCCLQ

(TVHE>QT- 0 0NQi (BSH) PTG'£))

Luong Thi L1!uThimh vien 0 0

BKS

Luong Sy Hai NCLQ 0 0

Bui Thi H6ng NCLQ 0 0

17

MfrnNgoc Bao NCLQ 0 0

Mfrn Hoang Ngan NCLQ 0 0Mfrn Quynh Chi NCLQ 0 0

Luong Sy Hao NCLQ 0 0

Luong Thi Nhai NCLQ 0 0

Cong ty CP XNK Thu cong my nghe TCCLQ0 0(TVBKS)

BAN TONG GIAM DOC, KE ToAN TRUONG vA NCLQPho TGD kiem

Tdn Sy Ti~n nhi~m K~ toan 0 0trurmz

Tran Xuan Xuyen NCLQ 0 0

Pham Thi Thiem NCLQ 0 0

Trftn Thanh Binh NCLQ 40 0

TrAnThi H6ng Minh NCLQ 0 0Tdn Minh Trang NCLQ 0 0

Cong ty CP xs, l~p DAukhi Thanh H6a TCCLQ0 0(TVHDQT)

Cong ty C6 phan DAuTu va Dich vu H~ TCCLQ0 0tAngXang dAu (TVHDQT)

TCT Bao hiem hang khong TCCLQ0 0(TVBKS)

Nguy~n Chi Thanh PTGD, GD0 0SHSHCM

Nguyen Van Hi~n NCLQ 0 0

Nguyen Thi Hanh NCLQ 0 0

Hoang Thi Thu Tra NCLQ 0 0

Nguyen Hoang Khanh Chi NCLQ 0 0

Nguyen Hoang Khanh Linh NCLQ 0 0

Tdn Thj Thu Thanh Pho Tang Giam 146.600 0,07dacTran Hfru Khoa NCLQ 0 0Truong Thi Hao NCLQ 0 0Tran Anh Tuan NCLQ 0 0Tran Hiru Hai NCLQ 0 0Tran Quoc Toan NCLQ 0 0Nguyen Vi~t Thang NCLQ 0 0

18

Nguyen Tr~n Quynh Trang NCLQ 0 0

NGUOI CONG BO THONG TIN vA NCLQ

Nguysn Thiry Hanh MaiTP. PC& 32.095 0,015QTRR

Nguyen Van B6n NCLQ 0

Ng6 Thi Huang Nhu NCLQ 0

Nguyen Quang Hai NCLQ 0

Phung Quang Tuyen NCLQ 0

Phung Thi Hi~n Anh NCLQ 0

Phung Ha Linh NCLQ 0

BQ PH~N KIEM ToAN NQI BQ vA NCLQ

Tdn Thi Bich Thao TV BP.KTNB 0 0

Tran Xuan Than 0 0

Dang Thuy Binh 0 0

Trftn D?i Nghia 0 0

Trk Phuang Lan 0 0

Trftn Anh Tu-

0 0

Tran Ngoc Khanh 0 0

Tnln Ngoc Tram 0 0

1?$f~l;ff~1R'2~·a.YJIi~Y·.l~S" :.: . .','c.\aau .: <;'< ··.·'iiEi"SLCP••·.: '

C6ng ty CP T~p doan T&T6.127.000 11.743.416, 11104/2019(6,127%) 5,67%

PYN ELITE FUND (NON-UCITS) 7.656.100 5.035.550 20106/2019(7,26%) (2,43%)

Nhom co dong YURIE VIETNAM 5.288.700; 6.897.125 20106/2019(1+2+3) (5,05%) (3,33% )

1. YURIE VIETNAM ACCUMULATE 0422.500 20106/2019

DTARGETRETURNFUND (0,02%)2. YURIE VIETNAMESE 5.219.700; 6.474.625

SECURITIES INVESTMENT 20106/2019TRUST (STOCK)

(4,95%) 3,123%

3. Yurie VietNam Smart Accumulated 69.000; (0,06%) 0 20106/2019Target Return Fund

• Cong ty tang von di~u l~nr 1.053.956.740.000 len 2.072.682.010.000 d6ng k~ nr ngay26/04/2019 nen sau ngay 26/04/2019 hrong c5 phan thay d5i.

II Ngay 20106/2019 la ngay dang ky cuoi cung chia c5 nrc bang tien mat.

19

--- - ---------------------------------~

v. cae V~lIll d~ dn HU'1!lly khac

Cong ty d~c biet chu trong cong tac quan tri, di€u harm, quan tri rui ro, cong b6 thong tinkiem soat va kiem toan n('>ibe>tuan thu cac quy dinh phap lu~t va Bi§u 1~Cong ty viquyen loi cua C6 dong va S\I phat tri€n b§n vimg cua Cong ty.

Noinhan:Nhu tren;

., Luu VT, VPHfJQT