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BAo cAo TV L~ ANToAN TAl cHiNHT~ NGA'f 30 THANG 06 NA.M 2013

CONG TV TNHH MQT THANH VIENQUAN LY QUY £lAu TlJCHlrNG KHOAN IPA

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cONG TYTNHH Mc)TTHANH VItN QUAN LY QuY OAU n/CHl1NG KHOAN IPA

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CONG TYTNHH MTVQUAN LY QuY c'Au nlCHU'NG KHOAN IPA,

DAo cAo CUA ClAM DOC

Giim d6c Cong flo. Dinll biy bao cSo cU. mlnh cung v6i Blio cae. ry I~ an lOin tl.i chJnh Ifi ngay 30Ihang 6 nim 2013 di d~ SQAIXCI.

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KUJ gulil vI COne tvC"ng ly TNHH Mo)t!hanh vien Quan ly qu9 DAu tit Chimg 1IlOan IPA IIICfmgly con 100% v6n d1. litCUllC"ngl)' Cd pilL. Tf.p dolIn Diu tit I.P.A, hOllI,*,g!heo Giiy phep sA 3MJBCK-GP ngily G4 thling3 nim 2008 do Chia *h US'ban Chimg khoAn Nhi nln.il:ClIp,

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Giim d&e dim bao ring, COng ty on tuSn thli cie yeu cAu hin eung nhlt luin thli nhil'ng ytll du cWolMng lit &iJ 226•.••TT-BTC ngay 31 ilulng 12 nAm 2010 e •••••~ Til ehinh quy dinll elll lieu an I~ Iiieh/nh ~.ib~n phip xaly d6; ~6i cae 16 ehii'c kinh doanh eillingl<ho&n kh6ng dlip (mg chi li~ an winIii chlnh. Th6ng tit s6 16SnOl2flT-BTC ngiy 09 !hang 10 nim 2012 ..m d6i. t,.l, sung m~( sd d~u ciIaTMnIl tit s6 22612010f1T-BTC ngiy 31 thing 12 nim 2010 elia ~ Hi ehinh quy djnh ~t,bi I;eU an

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tONG TY TNHH MTV QUAN l Y QUi' DAU nt CHUNG KHOAN IPABAa CAOcUA G1AM D6c (rllp thco)

1Q3nu.i chinh v, bi~n phap ,1.11lY d.si '1m ck!d ~hm: kinh doanh chimg khoan u,oog ~p (mg ehll;euan loan tAielllnh khl I", BOlocao ry If anloWJ li! (blob '.1 npy)O thing 6 n1m. 201).

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Chung loi dillhl/l: hi~n cOng tilc so.\lilxet !l"" c,," Iy I~an loiln tili chinh lhco ChUM mll'Cki~m l<>anViol!"am '~Cool!- lac ""'"-IxCt. Chn~n m!fC nay y,;n du ronll tae s"lil ,d ph;,i llip t.' hu,..:h ~;i thl«: h~n dol00 SIIdam baa ,'ira pMi rAng.B"a Cli" I) I~ aJll<;>3ntili chinh khong cOn "hila dl,l'n;::nhllng "'li S<illl\mgy~u. Con!/-llic '""" x~'l hao I!,\m cllu yJu iii "I~ Irll<'oMi,<Ii nhan "V cilBC6nl/1} vii lip dllng cac lhu II,ICph.•••lich llin nhitng III.'",;::lin lai chinll dllQ'!;sU'<l\lngd~ laP B"" ca.. IS' 1~an l<>antal chinh; conI!-llienily cnng dp m\>t.n"i~<1(, dam bao ItJp h,m ",\ngl,,",, ki';'m h,.;n. CMOIl!oi khong thl,l"Chi.):nClinl!-,ieeki.!", man n.:n ciinll Ulon!! dlIa I'llY k~n k;~m ICIlin

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Klnb iJIi: Uy ban ChUng !;hoM NIul. nuQl;:

BAa cAo Tt LE:AN TOA.•••TA, CH.l"Ur,i 1b6i dilm: ngAy 30 thang 6 n!m 2013

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• B;iocao d~ dy dl/l1gtrin00 sO'sf, l~uduqc q,p nl\fIl If.i "gay l~pb80do va duqc I,ptheo dimg~ quy djnh l¥i TMng nr 56 226flT-BTC ngAy 31 thang 12 nm 2010 cUa ~ Til cllinh quy djnhchi lieu an IoolnIll; cblnh ••.a bi," phAp xir ly db; ••.6i cic t6 cllm; kiob doanh choing kl108n kliM, doIpUnll chi li<!uan to4n tii ehlnh .'. ThOng tu sA 16512012!lT.BTC ngay 09 IMng 10 n!m 20ll ••.••oSbi,M 5ung"* 56 di~u cUa ThOng lit sA 22612010llT-BTC "g'Y 31tIWJg 12 n!m 2010 cui BQTal chiob quy djnh v~ c:hllieu an loan w chinh ••.a bi~ pilip ltV IS'<!hivOi ~ t& chin: kinh doanhchUng khoan khOng dip Img chi lieu an 10ftnllIi ehlnll.

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• Chung t6i xin hoM loan chjllllich nllifm tru&cPIlip 1$ v! tinh ,hinh xii, vii lJung Ihll" cUlln6idung baa do.

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7. Tril ph;tu 1lM<I&nibn ~ c61l11ri ,ian d40 "'" cOOIfid1r6lJ..am. k~ci trliiphilu ch~ aiTnii phi& kMng ni<!myb.c61!>Oi gian <lao"'" till WiS..am.lJ c.illriiiphi~ chuyh. db,Tflii phiAu kMng nibn yet c<'llh<'rigian <lao"'" ro snlm lIir 1m. k~ c.t tni, pbi~uchu~n dAi

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CONG TV TNHH MQTTHANH VI@NQuAN LVQU90AU nlCHl1NG KHOAN IPADjochl: sb 1 dmm, NlU)'~nThlfq7ll H~ q'*' HoiB,i T""'3- H' N~isAo cAo TY 1£ AN WAN TAt CHINHTJi npy 30 ill"'" 6 n.Im2013It Bin, libh ,ii Irj •• 1n>(ti~ !lloo)

"- c,~k,nl mv. <lh II,Ht 06 nil '" Q.y ",0 nil '" Gli Irj nil ro

'" m (3)- (II' (2)

l.. 0). C6pkib 109.142.600, dph~ pM Ih6ng. c6 philu IN <Iiicu. oM:IIId"i<: '''' 1.091.<126.000 109.142.600- 111m.~ 19-1SOGiao dieh ChomakhoM HAChi Minh;

~ cIu:ma;.hl <lUf"'"• C6 phi&. phA~ c6 phifu IN <!tIiella eic III~hUt ,,."-

nilm ~ lfi SOQIao dieh Cluing kho6II Hi ~i

"- " c.I phi& pM IMn&-c6 phl~ IN <l1id. e6ng IY<SiIi ''''chillla ~"•••.lI~m yft, dangkj Ii'" dich qWll>f~UoC~". c.I ph~ pM mooc. e6 phi~ IN <lti~1IaoM:cOOlly ;'"

~ <SillehUni.u lUng ky IU'll.kyonhlllli chilli niInl ~"'* lUng kj lliao dich; c6 phi& danslJ1>nSdqI philhil\h IAnd4u (lPOl

l>. dphllu ell.l cic <>6nSI)'<SiIic"Uni IdUoc ,...- v. CIt""I,k! qu' "Au h. ehome kilo"

" lMdfi chUng ''''" 0..9 thW>vibI ''''- V< Ooml kho~.hi h," ~h' 11.0 dith

•• l>. O"JnS kho*n hi lfIIl "simi Ji&odieh ,...". Ch""ll kh<W> hi holylIi~mrtt. holygiao dich '""VII. One khoia kUe- " e6 phln. phlo , ••.•••g6p ,~ de 1.,.; ehlini kho3n ~ ,...Vllt Roil", Itnllhhn

l.. MJ clnins kIlo'n Mti< Ihl Ihf", Qo, "''' 11l1,0 GI' I.! l1li n>,.o..

~ TONG GIA 111.1R(;I RO THI TRu'l'NG 109.IU.600

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I' ""'"" I r r I I' , I I I' I r , rCONGTY TNHHMQTTHANH Vl~N QUA.N lYQuY f)lu ntCHl1NG KHOAN lPADiachl:sA I ~1lOnJN~ ThuI,m.H;b,. q.4n HoiIU Tnrnll. H~N~BAoeAo IT Le AN TOAN TAl CHt:-.IHTJi"I~ :lOl"""s (, nlm lOllII. Rift•. do. ~ 'rj nil •••w~lheol

• • Rll) ItO TlI.l.NIl YOAN

1•••1hn.hlloe dl<. •%

•• Kill' •.•• 1rri'tI.M h,n 110••• Ieh

, Ti~,.:ri kj !lin ~i'*k""'" ti~clio \'aYtMnC c<Itti "*" bOo &no,. ClIo •• ~mimi IlIoo6n

" Vay chlinjj kha6n

•• HW """'. ""'" cbUng khotn d><:amk~ hbIlti,. Ill'!' &nr; ban cbfrnJ kboila 01><:amkh mua\Ji

•• HI'I' .sAnti:dH> -.y Ill'" k9 </U9Ithclkllao:;b"*". yay ""'" ohim.kbo'nYOo:: """"' lhutn \;nh h!cotim. ~<hil

II. Rol'noq" IlIbt b, •••••• !oliO

ThI>i lian "'" "'"J. O. IS "Pt' """ Iho); htn !hanb lD4n. chuyfn ~"" d'tUnJ kItoMI2. 16_ ]0 np,. ••• IhIri"'" lh.nh Iaiin., <~ po dum, khoUI1. J I _ 60 IIIiY •••• lhlri •••• dunh toAn, ~ iii'" ch""s lboan4 n60 npy "'" 4i

111. RIlI ••• lIn •. lII•••••Chi Ii<!r1OI1V1l' khoin \'1)'. k'Ii "rn. d6i ""

1. TIln&iritti N.," ""'& v~ A

8. TONC;CIA TRJ Ill1' 11;0TII"''';II lOA •••.

I~"" -,. "

1,11%CIj '9 nil •••

],2% 4,11% .%

10.000.000.000

m.0111.0C0 I

IIf .& nil no

'"''''"",~11'1••• "o,lbf",

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Qor rna nil! no

Qwy Ina nil •••10.000,000.000

T6.u1l1rj.!:!!.!!.6lU'I.704

600,000.000

20.261.704

Gl' ltl 1"111••

1.100.00II,000GIj It! nil ro1.000,000,000

UlU6t.71lo4

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- CONG T'( TNHH MOT THANH VIEN QUAN LY QUi' OAU n1 CHUNG KHOAN IPA()ja chi: s.\ I dlf6n& "',,,yin Thuvn& Hifl\, quJrJH,oiIU TI\IJI&H' N~iBAOcAo TV LoS AN roAN TAl CHiNHT,I ngi)' 30 1""'& (, nlrn 20 13It JUolllfab I" Irj rill .0 (Iit,llbeol

c. MenAO HO,,"TnQNC (TIN" TRONC "'ONG 06 ruANG)- , Tbl .bl phf bo,t "~nl phil oI.b 1m"' .~nl 06lhhl

" Cit loJIoh lUi", I•.••.klloI16.& cbl ••••1,. Chi pbl Wu !lao, D\r pbOI!&Ii"" si.ll diu !If chim& kilo'" nsin I\JIl- ,. DII P"'""'I gi4m ~ 41••lit eh""g kboin diIll hJn, DI.rphOOgplW mil kbcI dOl-III. T6nlld,l phi "" khllll~1IlI•.•. (III • I - II)

IV. 1~% Tana: chi phi ""'II khi El~m lrir (1\1 •• 15% III)

- V. 20% V6n phip dja. n. 16 .hllt klnh doonb .homekIIota

- c. TO.Ne CtA TRI AUI MO HO,,"T D(lNG tOoM •• llV, VI)

n. TONG CIA TAl RUI MO (A + B + C)

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3.0H.197.015

187.?65.4lI12.760.0_11

J85.00H34

1.6J1.!\JI.!JJ

5.000.000.000

llJ19.~

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•••CaNG TY TNHH MQr THANH VIEN QuAN LVQUi' DAU n1CHl1roiG KHOAN IPADilchr, 56 I du<rnf;N~ Th,,1'DI Hj~ 'I.",," J-I"j 1MTnmg, Hb.N~iBAa cAo TV le AN ToAN TAr CIIINH

III. nANG TONG HQ'P cAe CHi Tlru Ria RO vA VON KHA IH,JNGT.' "lay 30 Ibanl: 6 aim lOU

V~n lUI';dVllatT&nl- "., Cld ntu Jij Irj rill rn Chi ebg- ,. T&.I pi iii fUr ro tlIj lnIOnl 709.141.600

L..,. T~ gil iii .,;;ro lhanb""" 2.620.261.704, T&n&clttli nil robotl ~I 5.000.000,000< dill." 101ril TO(4. I + 1+ J) 303%9.4O.t..31)4

,. v.i_ kU d¥., 13."6.!lUl.'lIl- • Tt Ifu loh ~4"kill dynl (6. !/4) ",%

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C6NG TV TNHH MQY THANH VIEN QUAN Lof QUY DAU nJ CHI1NG KHOAN IPADjaclll; 56 1 oJutIng Neurin Th\rvna;Hio!n.q<40nHai Bi Tnm" Hi NOlBAocAo Ti' Lt AN roAN rAI miNHTti "fly 30 !hans 6 """ 20 138bthyh ••lab llIo do tt If u IOh til.bloh (liEs>thoa)

UA,NTlluvtT MINH BADCADTY L~ AN TOAN TAl CIIL"fIT,l ngily 3llIh;,nr; 6 Bllm 2013

; Cllngly cO pll4n.

; 09 ngo.rm.

: Djch vy..

Hinh III"",I';' bihl ~~o

Unb •.vc klnh douh

O.;.C I)[tl\ol HO~ T DONG C(IA C()'ljG TV

N..l'\1 TAl CHisH, DON "1 TItN T(: sU- DV1"o'GTRO"iG Kt TO'\JIi

Nim till.binbN5m \.Iiichlnll cUa Cang ty bit dAu lif ngay OllMng 01 •.i kb tbite vao ngay 31 !hang 12 hang

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2. 0<nIvi li~o 'i ""dY"lllroOll:Id rdoD<m"i lib. I~ sir d\log trong U!Olin ~ DAng Vitt Nam (YNn).

m. cOsOTRisH BAY

•••I. Vill bliapilip If lipdyng

Ilia C;lo tY l~ an 10M tAi chinh 1<1;ogiy 30 mang 6 nAm 2013 cun C6n1l1)' do.rqc ~p vitrinh baythen quy djnb tf;i ThOng til J, 2261IT-BTC npy 31 thang 12 nim 2010 vi Thong lu sf,16Sf2012lIT-BTC ngay 09 thing 10 !Lim 2012 .ira df.j, b6 lung m{!I so:\di~o CUa ThOnIO tu J,22612010lIT-BTC nl>iy J I lhing 12 n!m 2010 ~1iII~ Til ~hinh 'luy djnh ~~ chi lieu an loan !Ai~hlnh ~-i bl~n pMp xli' I)' ~I ~6i cic 1&~bUe kinh doanh ~hlinl! kho6n klKlng dip ling ~hlljeu anloan tii ~hinh,

-

1:. Tuyiu loA~.~vlt<: luiu Ib••via bia pbap I)'GiAm d6e dim baa di luin lhu yeu cAu ~1iIIThoog tu s6 226/TT.BTC ngay 31 lhang 12 n!m2010 ~i Th6ng tu s6 16512012nT-BTC npy l)9 thang 10 n!m 2012 sUa 46i, b&sung"* s&di~u~ila Tb6ng lU s&22612010lTT-BTC "giy 31 th8ng 12 nAn!2010 ~1iIIB6 Hi dtlnh 'Ill}' 4jnh vi ~hjtieu an I"'" til ~hlnh vi b~" pilip xiii)' d6i vo; ca~ lA~hil'c klnh doonh ~hling khoin khOng 4••p(rng ~hlli~u an loan tii ~h;nh.

IV. cAe culNn SACHq,p s;'o c;'o TVLt AN TOA."iT;'I CHI~"l1

I. TyIf~'\Bkhi d,"gTY If vAn khi dl'"g Ii tY t~ph~n trim gith gii ni ~n kit••d\lng vi lAng gii uj nii ro.

TY t~vAn khi d\lIlil 40 Il1I'mgv~ min: do)an 10M tii chinh~"'" C6ng ty. phin inh khi n~ng thanhlOin c •.•.•.COOg ty trong vi~ thanh loRn nhanh d~nghia 'V til ~hinh vi khi ning bU&p ~ac niiro phil sinh trollg 'lui Irlnh hOOl'I~n8 kinh <loanh cu .•.cOng ty .

,•.•

•••

CONG TY TNHH MQT THANH VIEN QUAN LYQuY CAU ntCHUNG KHOAN IPA~thl: s6 I dttbng Ng~~~ Th"'1lli Hi~1>,qnJn Hai BATnm,. H.IoNo)iBAa cAoTY u:AN roAN TAl CHINH

_ Tli Dgi~30 lhing (; film 20llBh lhyh ••in. BiDdo" It a••loilll"! .bl,," (Illp tIleo)-

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T&ng gea iii rlii I'(>Ii lAng ~ gi! tri nli ro Ihi tnWng. gi.t iii rili m Ihnnh """ .'. gia iii rili TOhOf,!d9ng.

1. vAo kh. d\lngvbtl khi d\lng 1II•.6.1 thil sa h!hl to dt~ th~y~n dbi lMnh litn tronl vong thin ml<ul ('l'O) ngll.,.trong dolQi nhuin 101, k~ vi l<,linhuj,n sa~ thlJ chl!ll phln phAi lJ\t6<ckhi Irkh ij.p de khoAn d",phOnl theo 'l~' dinh cUa pilip Iuf.!. V6n kh! dlmg cOn baa gAm nAm mll'Oiph'" Irlm (50%) phAngill.tri tAng thlm cila IioisAn c6 dinh duvc dinh g14 I,i lheo quy djnh cWopMp I~l (lrOlIg lI"Ilt'mghQP dinh gial!ng).

v6n kM d\lng duvc ditu chinh Ung lhtm b6i Clickhoin mllC'•.•u:• T~.bO p~n gia iii 1An1.thtm CUllcae khoan.u~ rn (lltn o;a sO chenh I~h ,iChl giii gok 50

v6i gIll. lhl tMmg llic dlnh lhco ThOng rn sf, 22612010fIT-BTC), kh6ng bllO g6m chimgkhoin phal hinh b<.iicae: th eh~ cO 'luau ~ v<liC6ng Iy ding nhu ehling kho.i.o to dtOi gianhi han cM th~ytn nh<n,mg cOn le.i Ifitl chin mll'Oi (90) ngiy. k~ til ngay I~p B&oc'o tY l~ anloan liI.ichinh.

• Cae Ir.hoannq cO Ih~ chu,in dbi lh.inh v&. ehil sO hllu cO IhOi h~ band~IAi lhitu li 5 nAm.• Cae klKl8n n", c6 th<'rih~ ban d1~ Ii 10 nim dI dlD;lCding ky bl; s~ng vAn khi d\IDBva; Cry

ban thling kholin "''hi n\Kilc.

T6ng gia Di cae kholin lItn dlfl7Csir dung d~ bA 5~ng v6n khi d\lng IAi da bAng 50% pbln vAn cMsa him. 06i vo; cae khooin Ill,1cO 1M chuy~n dAi thinh v6n chli sO bllu vi cae khOlin Ill,1dI dlll;lCding Ity bA sung vAn khi d\lng vo; U, ban chullg khoM Nhi. n.roe, C6ng ty kbAu Iris 20% Sill hiban.u~ trong IbOi gian nim 5 nlm cuAi tling lJVOckhi ~n "'" Ib,,"h loan h* ch~,bl d6i tMnhcA phik pill>th6ng ••i khA~ tris liip m~i qll}"25% hi p/lAngia iii coo te.i SRUkbi d;I kh!~ trir IrongtIKri h", b&n (04) 'luy c..Ai cling 1rm'Jckhi din"'" Ib,,"h IoO.n~ chuytn d,l,i Ihanh J, phi~upMlhOng.

vAn khi dllllg dlfl,l'Cdi';u chinh giam bCi de khooin mvc sau:• Toan bo)phAn gia iii gWn di tiul cae Ir.hooincH~IV (trill to sa- chenh ~h giib gia g& SOvcr;gill lhi InrI'mg ili dinh thea Thoog rn s6 226f2010flT-BTC). kh6ng bao gAm chling kholinpha! binh b<.iicae tA ch~ cO quaD h~ vo; COng I)' ding nhl< chling khOOncO ItKti Ii,," bi "'"eh~ ehu}~n nhuvng oon l\1iutn chin mll'Oi (90) ngay, k~ IU "Siy Itp Bil.ocAn tY ~ an loan Iiithlnh.

• N.lm mum ph'" lrim (50%) toan bO pllln gia tri geam di clialii s&nc6 dinh. dl1QCdinh gilll,itbeo q~y dinh CUDphiI.pIuj.!.

• vAn c6 phAn IlUdli holln l,i"l cJ phi& q~f.• cae Iii sAn ngin hlUl,i chli htll co tlKri han Ih~ hhi h,* thOi ,,",n lh.anh wan cOn I,i lItn chin

mll'Oi(90) ngAy• cae khOOnng","i trir (Db. cO) lJin bliP cao tili chinb dA dl1QCIr.i~mloan mi cli••• dlD;lClrir l'1lkh6i ••6n kh8.d\lng.

Khi llic djnh cae chi lieu Iii •••• giAm Iris khoi vOn kM d\lPg tA cll~ kinh doanh chUng kboandlf(lCd;~u chinh siim b6I pbtn gii tri giAm lrir nlll<•.•~:• 00; vOl Iioi .an dimg ~ baa dam ch<>ngllia VIIciul chinh tA th~ kinh dnanh chling khoan

Itotc cho bin Ihit ba.lhl khi linh giam tris "U'9Cgiam b6t di gialrj nM nlliol ciul tae git tri sa~:gia iii Ihi tMmg cita lAi .an M(xie dinh thea Thong lu sh 226120IorrT.BTC). gia hi sA.ach,gii iii cOn lai cita nghTa V\l;

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CONGTYTNHH MQTTHANH VI~N QUANLYQuyolu weHlING KHOANIPADja ~ht s6 I duOn@N@uyb TIIlrqftg H;~ qup Hai aa TIUIIg. iU NOlBAocAo TY L(':AN ToAN TAJCHfNHT~ ngay 30 thang /; n1m 201lBiD thy'" mlnh 811.0do lj It U loin iii (blAh (li!P m..o)

• 06i Wi tii sin dll\l'l: b&o dilm bing llii $An eila kll6l:h Mllg. kill ljnll giim IJir dl,fQl: giim b6I 4igi" tri IIflO nh!t (Ua cAe giiltj sau: gia trj liIi san Me dim ~lk <finllthe<>quy dinh TMng lu' 5622612010rrT_BTC, gil trj sO ~h,

J. Gi' I'; nii n:>hu,1d~DgGiii u; nil 10 "Ofl "o)n8 I•• gli Irj tllmlll omg....;; mlic dQ Ibn thil cO 1M uy fa do 13i k9 lhl$. J3ih~ ttJ.,g~' quy trinh nghi~p ~v. 13i(on IIgum trong quA lrlnh Lie ng.hifp. "'* do lhi~u "6n linhdoanh pMl sinh 1ir cae khotn chi phi, J3 rir hOfl dOng dAu tu, "* do d,c nguycn nllin I..h.ichquan 1JLic.

RiI; ro hOff. l!Qng CUllCoog ty duqc :U.: "jnb bing 25% chi phi duy ui hoot d<)nll c•.••.COOg lyIrong \'OlIg mm," hai (12) Ih4ng lj~ k~ tinh tCi Ihang sAn nhit. 11* 20% "bn phap dinh thco 'luydjnh eM phap 11*. lily thuQe "ill gi! tri nio J<'rnhem.

Cbi ph! duy trl ~ dQllg cu. C6ng ty dlf9" Xli<:dinh Nng 1611gchi ph! ph.ir sinh Irong ky, Irir di:• Chi phi W" hao;• Dy pbOng giam gii diu Ill' ngin hl/.l1;• Dy ph6ng giim giAdAu Ill'dii h;n;• D\l' phOng pltAi tbu Id,6 dOL

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•• Cia Irj nil ro Ibl1nrtrDllGia lrj nii m thi wOng Ii gii Irj IlWIlg .mg vcr; mli<:do}I6n 1It~1cO 1M xay fa klti gia lhi tnrongClla Iii sin 4ang sO hftu bib. dQng lite<>chi<!uhtrUng bAt Io;ri.

G~ lTinii ro!hi tnWng dUQCUnh - Vi t!"J rong x GiA lA; SIInx H~ .A ril; m!hi 1JUimg. Irong dOh~.A nii m {hi lrulJug va gi. Ii; sin duvc xk dinh the<>TMng lU sO 226t:!OIOflT-BTC.

Cae t!i siln khOng linh Gii tri riai ro Ihi Inr<mg bao g6m ~c Iof.. sau;• c6plli~uqU9.• Ch.mg khotn phoit hinh b6i ck 13 ,hli<: 06 qlWl '" vcr; C6ng ty cung nhu eh.mg khQlin cO!hlJi gian hi h", cit! chuy.!n nhuvng con I.; In!n cbin mum (90) ngiy, kt 1i,rngay I~ IUo caoI)l ~ an loan la; chinh.

• Tnii ph.~u, c:a.:ding cl' "'1, giiy h'JcOgii. eren thi tnrimgli~n l~ da <!io~ .

Gl! tri riai ro lhi lrui:mg CUB~i lAi d.n U<: dinh so!pM; di~u ,hinh ling them trong InIOnIl hQpC~g ty dAu lU qui nhitu vllo lAi $in dO, ngoti lnI ch.mg khoAn dang trong thOi Sian bao linhphil hanh the<>hinh thli<: cam l.!1 eM.: chAn, tril phi~u Chinh phu, tri.i phi~u dlf\JCChiM phil baoIAnh.Oi. tri nii ro dtn;r<:<!ic!uchinh lAng theo nguy~n tit: ""u:• Ting them 10% trong tru<'mg hqp gi. tri CuBkh""n di •• ru nay chi.!m lir IO'Y.\Ci 15% v6n

chll sO'hltu ella 16 chi" kinh doanh chimg khoin .• TAng thtm 20% trong wOng hqp gii tri "ia khoan <Uu ru My ch;'!m n:r 15% I<l'i25% v6n

chu sO'hlhl cua t6 chli<: kinh d<.>anhchimg khOM.• Tinillhem 30'.4 1runillJUimg bqp gia tri ,ita kholin dAu I•• nily ,hitn, n:r25% trU len v6n dtu

.0 hftu 'UB It; chli<: kinh doIinh chling kholin.

C"og ty phili ditu ehinh lAng th&n dc khoi.n cA tUc, tril1li<:, gi •. tri quy.!o ll"Ud!i ntu phil sinb(dAi ~m chUng khoan), h,* Iii cho vay (dAl vcr; lib. gvi v! cl!ockho8n IUImg dlWllg lito cOOgellehll)'lo nluft;mg. gi'y t<:re6 gii) vllo gii tii sin khi x.ic dinh gl! tri rill 10 Ihi tnrong.

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CONG TY TNHH MQT THANH VIEN QUAN LY QuY aAu n1 CHirNG KHOA.N IPA,OiacM: 56 I """""g Nsuy!n Thtlynll Hiln, 'I'4n Hai Bt Tnmll. Ht N~iaAocAoTY LtAN ToANTArcHtNHTili "i~yJ(ll!Wlg 6 nlm :ro 13Il.iIlllhy'l millb8tn <lintj.1f u loh Ul <blab (titp l!Ico)

!ii. Gill. Irj nil ro Ihub h•• "Gill. trj nii ro !hanh 10Iin I.•.gia iii !lrong Ung vo; moll: ~ i& IhAl co lill tiy n khi d6i ll\c khOngth~ thanh tOOndUng hfn II<:+:chuyb. Siac>lAisan dung hf'llhco cam koh.

Khi k~!hito;: ngAy giao dich, cOng ry dc djnh gill iii nii ro thanh toW!d6i vOi cae h..,p d~g. giaodjch sau:• Tita giri co ky hjIn ~i cae t6 chu.: tin d~ng. ck khOlin cho vay d6i vo; cae t6 chire. c. nMn

khae; Hqp d6nS v••y. mltl;m ch"mg khoBo phi> hllP ~(rj 'Iuy djnh cita phip l~l; H"" dAng bancO cam ket mua l;li chUng khooin phil Ilo,1pva; 'luy dinh cUa pMp lui.!; HQp dAng mus cO cam"~l ban ~i chUng khoM phil ~ vo; 'luy djnh cUr.philp I",t; H"" d~ng chn YlIymUll kj. 'IllYchUng kllooin phil hqp vlri 'Iuy djnh Clla p~ luft.

Gill. iii ni, ro Ihanh loon cho cae khOlin mllC lJin. He ~ nij rn !hanh toan thoo d6j tae x Gi!tri til d.n ti~m in nii TOthanh 1Oll.n.troog dO. H6 so'>nii ro thanh roan tbc<ld6i l!c Qc djnh ruy!huQc v.to moll: dQ tin nhi~ Clla d6i tac gill<>dich va Gill. tri Iii .an liem An nii ro thanh loanthe<) nguyen lie 'luy djnh ~i ThOng til 56 226/l010fTT.BTC. Gill. tri lA, un li~ .Ionnii 10!hanh tOOnphai dUQ'l'dib.! chlnh ling l!lo!mcile kholin cJ rue. !rai lUI:.gill.trj 'luy~n lfUda, n~lIplllil sinh (dtli Wi chimg khoan). ~c t:lj cho vay, vi cae khoan phIl phi kMc (ddi va; cickhOlin lin d\lng).

• Hqp dAng bllo 15nh ph" hllnh kYvo; c6c 16 chlh: kh.ic lrofIg Itl hqp bin l.tnh phal banh thoohlnh thile cam kel chic chin rna tA chile kiM doanh chimg klloftn la t6 chirc Ioio IJnh phlllbanh chlnh. g" trj nii ro thanh toan dw,Jc.de djnh b!ng300/. gill.trj ron I,i clla cile h"" dAngban l1nh phM Mnh cltlfa dUQ'l'lhanh loan.

• Cile kholin pltii !hu di qua hlUl. k~ ci lrai phi';" dliooh"", cae gii)' ta cO gii, cling Cll nq .14di<>hlUlm! chilli dUQ'l'Ihanh ta6n, cae kl\o;\n plui.i lhu cila C•••••S !y. cae kho>oinphii lhu cookbach bing trong hoiIl dl)ng mO, gibi bin chUng khoan; Hi san 'I'" tIWi h,n chuy.!n giao. k.!d chUng khoan tronS """I dQng kinh doanlt Clla Cong Iy, chUng kho.in cila khich Mng trooghOJI ~ng moi gi<'richimg khoan; H"" dAng vay. mllqll chimg lhoan ph•..•""" vOi 'I")' dinhcUa ph.ip lu,t; Hqp dAng bin cOcam kel mua ~i chimg khcan phil h"" vm lIuy djnh cU3 pluiplu6.t; IIqp d~ng mUll cO cam kAt ban If;i cltimg khoan phil """ vm 'I"y dinh clln phAp Iu$t;Hqp dbng cho ny mua ky quy chimg khoall phil hqp.{rj 'l"Y dinh cila phip IU\l1da dlioohlIn.giA tri nil ro lhanh loin dllQ': xi< djnh nhu sau:

Gi'll'i nii ro lhanh toAn. He sA nli ro tlllmh loan Iheo l!Ib:igian X Gioi tri tai san tib in niiro lhanh Io;in.

H~ s& nli ro thanh toin lheo 1h<'1igian dUQ'l'K.ic djnh dn cir ,'ill kttc.ing lh<'1igian qua h,nthllnh 1"'0 tbc<l nSllytn lie 'IllY dinh tJi TMng '" 226/20 I(kITf-BTC.

Gill.Irj tii san ti.!m!n nli TOthanh lOan dllQ': xi< djnh nhll sau:OOi vo; c&c giao djch m~ ban chUng lltn4n, coo khilelt hang IK+: cho ban !han to chUl:kiM dcanh chimg kbo.om:Ii g" tri thi truimg cUr.hqp d~g Ifnb theo ngu)'fll tic 'Iuy dinht.,; ThOng III 226/l010lIT.BTC;Wi v{rj cae giao djcll cho vay mUll cllting 1rJloM ky 'Iuf.gillO djch ban cO cam k~ mUllI,i. giao djch mua cO cam koh ban I,~ vay, cho vay chimg khOlin: g" tri tii san li.!m .Ionnli ro thanlt 10," de dinh lbCQ~n tic 'Iuy dinh tJi ThOng '" 226/20IorrT-BTC~00; v{rj cae khoan phBi mil. trii phitu dI dAo h"" cae cOng Cll nq dI dan h"",: 101 Ilia trikhoan pMi mu linh theo m~nh gi•.• ceng them cae khoiln IA;chID dtn;JCthanh loan. chiphf c6lifll 'Iuan va tn'r di klloi.n lhanh loan .14thl/<"btu If\l<'ocd6 (no!uco),

17

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L.C6NG 1Y TNHH MQT THANH VJEN QUA.N LY Qui' aAU nt CHlmG KHOAN IPADjachi: 56 I dulmg Nguy~n ThIf9'lI Hi~, quJr>Hal B.I.TRmg. Hi NO;BAocAo TV Lt ANTOAN rAI cHfNHTf! IIpy 10 !h4n16 nlm 2013BanIhy" ••lllh""" •••• ry If .1I1"b .il ~h'"h (l;lp 1heo)

Khi xk dinh gi.i tri nii ro thanh loin. Coog ty dlfl,ll: hi! tn:r rong song phuong ai! tri Iii W1li!mAn",i ro thanh to&n !fong mnJng hQP d4p ling dAy If" cae di~lIlr.i~n sau,• Ru; ro lbanh!OAn lien qUAilt6i ~i1ngmQl <fA;tac;• Rili ro lh""h """ phil sinh "Ai vo; "img If$ loti; binh gill<)djell thco qllY dinh llli khoan 1

E>i~u9 thOng 11122612010!IT.8TC;• V~c hi! trir rong IlOIIgph"':"'g.tl dlfl,Jl'de bftI thAng nh!llru'l'r(: bAng "in ban.

Oii. tri nii to!hanh loan phii do.rqo;:di~1I"hinh llng them trong elk tnn'mg hQP sau:• Tlng tMm 10% trong tntimg IIqp git tri khooin cho VA)'.,Ai \1m mQllf. I'h.n:, c8 llhAn vi nll6m

tAchirc, eli nhin li~n quail (rn!u00), "h~ til 10% lOi IS% vOneM sO'Mu;• nnS ,hem 20% trong tnWnll hqp gi•. tri khoin coo ny.tAi va; mQlIAchlfc, d nhin vi. ,,116m

rtl ch.n:. c! nhin lien quan (n~1I00), chi~m [ir IS""' lCri25% v6n eM w hfhl;• nnS thlm 30% Irong trvlJng hqp gi' tri kho8n coo \lay dJi va; "* tA~hli<;.eft nhan ,.• nhOm

~ ~hli<;.ci nhin lien qUll/1 (n~u e6), h,* mQl ell nMn vII e": Wn litn qUloO Wi eft nhin M(n& cO), ~hK!mn:r 25% vb.. eM "" hl1'uIJti len.

Tnrtmg hqp dbi 1":.sa hoan loan m111Jli n!ng!hanh Io8n, tOlHibO khoan !hi~ hi dnh Ihco gill iiihqp dbng pMi do.rq<;giam lrir di lir v6n kh' d~n8.

4.P. nglly 13 thing g nlm 2013

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U Tbl U,',nll U ••b 1M Thanh HVUlIg

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