NGAN HANG THUONG M~I c6 PHAN

sAI GON THUONG TIN

S6j~ 2017 ITS - H8QT

CcentNG HOA xA HcentI CHU NGHiA VI~T NAM

pound)9C lap - TlI do - Hcmhphuc

Tp Ho Chi Minh ngay 4J thang ()3 nem 2017

THONG BAaVv pound)~ CU UNG CU NHAN su LAM THANH VI~N Hcent18bNG QUAN TR THANH VI~N BAN KI~M

SOAT NGAN HANG THUONG M~I c6 PHAN sAI GON THUONG TIN

NHI~M KY 2017-2021

Kinh gui QUY c6 DCNG NGAN HANG TMCP sAI GON THUONG TIN (SACOMSANK)

Can CLILu~HDoanh nghi~p so 68120141QH13 dU(fCQuae hpi kh6a XIII thOng qua ngay 1611112014

Can cLl Lu~t Cec to cturc tin dtmg so 4112010lQH12 auoc Quae hpi ruroc Cpng hoe Xa hpi Chu nghla Vi~t

Nam kh6a XII thOng qua ngay 16162010

Can CLILu~t ChLlng khoan so 10120061QH11ngay 291612006mroc Ouoc hpi ruroc Cpng hoe xa hpi ctu) nghla Vi~t

Nam khoa XI thong qua ngay 291612006 va Lu~t s6 62120101QH12slfa dobOsung mot so cteu cua Lu~t ChLlng

khoan dU(fCQuae hpi ruroc Cpng nos Xa hpi CM nghTa Vi~t Nam khoa XII thong qua ngay 2411112010

Can CLI ThOng tir so 12112012ITT-BTC ngay 261112012 coe Bp Te chlnh quy dinh ve quan tri cong tyap dtmg

cho cec c6ng ty dJi chung

Can cLlDeu I~ Ngan hang ThUOngme eophBn Sai Gon ThUOngTin (Saeombank)

Can ell Cong van so 324INHNN-TTGSNH ngay 1810112012cue Ngan hiJng nha mrac (NHNN) ve vi~c cMp thu~n

dl kien nnsn sir TCTD chi nhBnh ngan hang rurac ngoaiCan ell Cong van so 649INHNN-TTGSNH ngay 2510112013cua NHNN ve vi~c slfa domot so npi dung tJi Cong

van 324INHNN-TTGSNH ngay 1810112012

Can ell Cong van so 94561NHNN- TTGSNH ngay 1811212014coe NHNN ve vi~e slfa domot so no dung tJiCong

van 324INHNN-TTGSNH ngay 181ot12ot2

Van dljng eong van so 9297INHNN-TTGSNH ngay 0411212015cue NHNN ve tM tuc de cu LIng ctr nMn sir tham 6i()30gia tern thiJnh vien HDQT thanh vien BKS Eximbank 1tJt NGAN

Can ell Ngh quye so 0812017INQ-HDQT ngay 0110312011cue Hpi dong qudn tri Sacombank ve vi~c thOng q ~ THlld~~kehoJch va Ip trinh tocmrc h9P DJihpi dong codong thUCtngnien trong nsrn 2017 cue Sacombank 1 THlidN~

Can CLINghi quye so 12120171NQ-HDQT 1310312017cus Hpi dong quan tri Sacombank ve vi~c thOng qua cong ~

tee tocturc DJihpi dong codong thUCtngnien nem tai chlnh 2015 20 16 ~

Nhi~m ky 2011 - 2015 cua H9i dong quan tr] (Hpound)QT) va Ban kiem soat (BKS) Sacombank da ket thuc Nham

chuan b] nhan sl cho nhiern ky ke tiep Hpound)QT xin thong bao den Quy co dong Sacombank ve viec de cu ling cli nhan

su de bau lam thanh vien Hpound)QT BKS nhiern ky 2017 - 2021 nhu sau

A QUY DNH v~ s6 LUQNG THANH VI~N HDQT BKS NHI~M KY 2017 -2021

I S6ILfctngthanh vien H8QT

01 kien sOIUCJngthanh vien Hpound)QT Sacombank nhiern ky 2017-2021 la 07 (bay) thanh vien trong d6 c6 01 (mot)

thanh viem Hpound)QT dcentc I~p T6i thieu 12 (mot ph~m 2) tong sOthanh vien Hpound)QT phai la ngUoi khong dieu hanh

Ngeuromhang va thanh vien Hpound)QT dcentc I~p

II So 1Ultmgthanh vien BKS

01 kien s61UCJngthanh vien BKS Sacombank nhiern ky 2017-2021 la 04 ( b6n) thanh vien

S61UCJngthanh vien Hpound)QT BKS nhiern ky 2017-2021 ClJthe S8 do Dal hcenti dong co dong (pound)Hpound)Cpound))Saccombank

quyet dinh tal phien h9P pound)Hpound)Cpound) thUong nien narn tai chfnh 2015 2016 dY kien dUCJcto crurc vao nqay

28042017

B QUY pound)NH v~ TI~U CHUAN vA pound)I~U KI~N LAM THANH VI~N Hpound)QT BKS SACOMBANK

I NhUngnglloi khong dUltIClam thanh vien Hpound)QT BKS Sacombank

1 NgUaichua thanh nien ngUoib] han che hoac b] mat nang IYchanh vi dan su

2 NgUaidang b] truy cuu trach nhiern hinh su dang chap hanh ban an quyet dinh ve hinh sY cua T6a an

3 NgUaida bi ket an ve tcenti W tcenti pharn nqhiern tronq tro len

4 NgUoida b] ket an ve tcenti xarn pharn so hUurna chua dUCJcxoa an tlch

5 Can bcent cong chuc ngUoi quan Iy tUcap ph6ng tro len trong cac doanh nqhiep rna Nha nUDCnarn W 50

v6n dieu I~ tro len tnr ngUoidUCJccUlam dltlidi~n quan Iy phan vOng6p cua Nha ruroc tal Sacombank

6 Sy quan ha sy quan quan nhan chuyen nghi~p cong nhan qucc ph6ng trong cac co quan don v thuoc

Quan dcenti nhan can Vi~t Nam sy quan ha sy quan chuyen nghi~p trong cac co quan don v thuoc Cong

an nhan dan Vi~t Nam trU ngUai dUCJccU lam dltlidien quan Iy phan vcn g6p cua Nha nuoc tai

Sacombank

7 NgUoi thucentc dOitUCJngkhong dUCJctham gia quan Iy dieu hanh theo quy dinh cua Phap lu~t ve can bcent

cong chuc va Phap lu~t ve ph6ng chOngtham nhGng

8 NgUoi da Wng la chu doanh nghi~p tu nhan thanh vien hop danh cua cong ty hop danh Tong giam doc

(Giam dOc)thanh vien Hpound)QT thanh vien Hol dong thanh vlen thanh vien BKS cua doanh nqhiep Chu

nhiern va cac thanh vien Ban quan tr] hop tac xa tltlithai diem doanh nghi$p hop tac xa b] tuyen bOpha

san trUtrUang hop doanh nghi~p hop tac xa b] tuyen bOpha san vi Iy do bat kha khang

9 NgUoidltlidi~n theo phap lu~t cua doanh nghi$p tal thai diem doanh nghi$p b dlnh chi heat dcentng b] buoc

giai the do vi pharn Phap lu~t nghiem tronq trUtrUong hop la dltlidi$n theo de ngh cua co quan nha ruroc

c6 tham quyen nharn chan chinh cung cOdoanh nghi~p do

10 NgUoi da Wng b] dlnh chi chuc danh Chu tich HDQT thanh vien Hpound)QT Chu tich Hcenti dong thanh vien

thanh vien Hol dong thanh vien TrUong BKS thanh vien BKS Tong qlarn doc cua to clurc tin dlJngtheo

quy dinh tltlipound)ieu 45 cua pound)ieu 1$Sacombank hoac b] co quan c6 tham quyen xac dinh ngUoi do c6 vi

pharn dan den viec to chuc tin dunq bi thu hoi Giay phep

11 NgUoic6 lien quan cua thanh vien Hpound)QT Tong giam dOckhong dUCJcla thanh vien BKS cua Sacombank

12 Cha me vCJchong con va anh chi em cua thanh vien Hpound)QT va vCJchong cua nhClngngUai nay khong

dUCJcla Ke toan trUong hoac la ngUoiphu trach tal chinh cua Sacombank

II NhUngtruong hcp khong cung dam nhi~m chuc VlJ

1 Thanh vien HDQT cua Sacombank khong dUCJcdong thoi la NgUoiquan Iy cua to chuc tin dlJngkhac ( tnr

trUong hop to chirc nay la cong ty con cua Sacombank) hoac la thanh vien BKS cua Sacombank

2

2 Thanh vien HDQT cua Sacombank khong dUqcdong thbi 113thanh vien HDQT cua tren narn (05) cong ty

khac tnl trUbng hop 113thanh vlen HDQT cua cac cong ty trong cung tap dean hoac cac cong ty heat

dcentng theo nhorn cong ty bao gom cong ty me - cong ty con tap dean kinh te hoac la ngUbi dal dien cua

cong ty quan Iy quy conq ty dau tUchung khoan

3 Thanh vien BKS khong dUqcdong thol dam nhi$m mot trong cac chirc vu sau day

a) Thanh vien HDQT NgUbi dieu hanh nhan vien cua Sacombank hoac Conq ty con cua Sacombank

hoac nhan vien cua doanh nghi~p rna thanh vien HDQT Tong giam doc cua Sacombank la thanh

vien HDQT NgUbi dieu hanh hoac la Co dong Ian cua doanh nghi~p do

b) Thanh vlen HDQT thanh vien Hol dong thanh vien NgUbidieu hanh cua doanh nghi$p rna thanh vien

BKS cua doanh nghi$p do dang la thanh vien HDQT NgUbidieu hanh tai Sacombank

III Tleu chuan va dieu ki~n lam thanh vien HDQT BKS Sacombank

1 Tieu chuan va cieu ki~n lam thanh vien HpoundJQT

a) Khong thucentc doi tUqngquy dlnh tal Muc I va MIlCII phan B cua Thong bao nay

b) Co dao duc nghe nqhiep

c) La ca nhan sa hGu hoac ngUoi dUqc uy quysn dii dien sa hGu It nhat 5 von dieu I~ cua

Sacombank hoac co bang dii h9C tra len ve mcentt trong cac nqanh kinh te quan trl kinh doanh lu~t

hoac co It nhat 03 narn la ngUoi quan Iy cua to clurc tin dllng hoac doanh nghi~p heat dcentng trong

nqanb bao hiem chung khoan ke toan kiem toan hoac co It nhat 05 narn lam viec true tiep tal cac

bcent phan nghi$p vu trong ITnhvlc ngan hang tai chlnh kiem toan hoac ke toan

2 Tieu chuan va cieu ki~n lam thanh vien HpoundJQTc9CIp

a) Khong thucentc doi tUqng quy dlnh tal Mllc I va MIlCII phan B cua Thong bao nay

b) Co dao duc nghe nghi~p

c) Co bang dii hoc tra len ve mot trong cac nqanh kinh te quan tr] kinh doanh luat hoac co It nhat 03

narn la ngUoi quan Iy cua to chirc tin dllng hoac doanh nghi$p heat dcentng trong nqanh bao hiem

chung khoan ke toan kiem toan hoac co It nhat 05 narn lam vi$c tnrc tiep tai cac bi phan nghi$p vu

trong ITnhvlc ngan hang tai chinh kiem toan ho~c ke toan

d) Khong phai la ngUoi dang lam viec cho Sacombank hoac Cong ty con cua Sacombank hoac da lam

viec cho Sacombank hoac Cong ty con cua Sacombank trong 03 narn lien ke truce do

e) Khong phai la ngUoi hUang lUong thu lac thUong xuyen cua Sacombank nqoai nhGngkhoan phll cap

cua thanh vien HDQT dUqc hUangtheo quy dinh

f) Khong phai la ngUoi co vo chong cha me con anh Chi em va vc chong cua nhGng ngUoi nay la

Co dong Ian cua Sacombank ngUoi quan Iy hoac thanh vien BKS cua Sacombank hoac Cong ty con

cua Sacombank

g) Khong true tiep gian tiep sa hGuhoac dii di~n so hGutLt 1 von dieu 1$hoac von co phan co quyen

bieu quyet tra len cua Sacombank khOng cung ngUoi co lim quan sa hCiutLt 5 von dieu I~ hoac von

co phan co quyen bieu quyet tra len cua Sacombank

h) Khong pMi ta ngUoi quan Iy thanh vien BKS cua Sacombank tai bat ky thoi diem nao trong 05 narn

lien ke truce do

3 Tieu chuan va cieu ki~n Jam thanh vien BKS

a) Khong thuoc doi tUqng quy dlnh tal Muc I va MIlCII phan B cua Thong bao nay

3

b) C6 dao duc nghe nghi~p

c) C6 bang d~i h9C tro len ve mit trong cac nqanh kinh te quan tr] kinh doanh luat ke toan kiem toan

c6 it nhat 03 narn lam vi~c true tiep trong linh vlc ngan hang tai chinh ke toan hoac kiem toan

d) Khong phai la ngllai c6 lien quan cua Ngllai quan Iy Sacombank

e) Thanh vien BKS khong phai la ngllai trong bi phan ke toan tai chinh cua Sacombank va khong phal

la thanh vien hay nhan vien cua cong ty kiem toan dic I~p dang thuc hi~n kiem toan cac bao cao tai

chinh cua Sacombank

f) Phai cu tru tai Vi~t Nam trong thai gian lam thanh vien BKS Sacombank

C QUY DNH v~ QUY~N D~ cu VNG co vA H~ sa lfNG co VI~N THAM GIA LAM THANH VI~N HDQT BKS

SACOMBANK NHI~M KY 2017-2021

I Quy lt1inhva quyan lt1aCll ung cli va 56 1Ultmgnhan 51dUc1Cquyan lt1acli ung cli cua co dong

1 Quy djnh ve quyen de Clf Ungell cua co dong

Co dong nh6m co dong sa hGuco phan Sacombank trong thai han lien tuc it nhat 6 (sau) thanq tinh den

ngay dang ky cu6i cunq tham dl Dai hii dong co dong thllang nien narn tai chinh 2015 2016 cua

Sacombank (nqay 15032017) dllc1cquyen ung cLf hoac de CLfngllai vao danh sach ung cLf vien HOQT

BKS nhiern 2017-2021

2 Quy djnh ve sOtJngUngcll vien dtJcquyen de co tJngcll cua co dong

a S6 Illc1ngung cLf vien ma Co dong nh6m co dong c6 quyen ung cLf hoac de cLf phy thuoc vao ty I~ sa

hGuco phan rna Co dong nh6m co dong nam giGlien tuc trong thai han it nhat 6 (sau) thang va dllc1C

thuc hien theo quy dinh cu the nhu sau

(i) Co dong nh6m co dong sa hGuW 10 den dllai 20 tong 56 co phan c6 quyen bieu quyet ()

dllc1Cquyen ung cLf hoac de cLf t6i da 01 (mot) ung cLf vien lam thanh vien HDQT va 01 (mot)

ung cLf vien lam thanh vien BKS

(ii) Co dong nh6m co dong sa hGuW 20 den dllai 30 tong 56 co phan c6 quyen bieu quyet dUlt1c

quyen ung cLf hoac de cLf toi da 02 (hai) ung cLf vien lam thanh vien HOQT va 02 (hai) ung cLf

vlen lam thanh vien BKS

(iii) Co dong nh6m co dong sa hGuW 30 den dllai 40 tong s6 co phan c6 quyen bieu quyet dUlt1C

quyen ung cLf ho~c de cLf toi da 03 (ba) ung cLf vien lam thanh vien HOQT va 03 (ba) ung CLf

vien lam thanh vien BKS

(iv) Co dong nh6m co dong sa hGuW 40 den dllai 50 tong so co phan c6 quyen bieu quyet dlllt1e

quyen ung CLfhoac de cLf toi da 04 (bon) ung elf vien lam thanh vien HDQT va 04 (bon) ung eLt

vien lam thanh vien BKS

(v) Co dong nhorn eo dong sa hGuW 50 den dllai 60 tong 56 eo phan eo quyen bieu quyet dllc1e

quyen ung elf hoac de elf toi da 05 (narn) ung elf vien lam thanh vien HDQT va 05 (nam) ung elf

vien lam thanh vien BKS

(vi) Co dong nh6m co dong sa hGuW 60 den dllai 70 tong so eo phan e6 quyen bieu quyet dlllt1e

quyen ung cLf hoac de cLf toi da 06 (sau) ung elf vien lam thanh vien HDQT va 06 (sau) ung cu

vien lam thanh vien BKS

4

-rd--

(vii) Co dong nh6m co dong so hGuW 70 den dLioi 80 tong 56 co phan c6 qUYEJnbieu quyet dLic1c

quyen ling CLr hoac de CLrt6i da 07 (bay) ling CLrvien lam thanh vien HDQT va 07 (bay) ling CLr

vien lam thanh vien BKS

(viii) Co dong nh6m co dong so hGu W 80 den dLioi 90 tong 56 co phan c6 quyen bieu quyet

dLilt1Cquyen ling CLr hoac de CLrt6i da 08 (tam) ling CLr vien lam thanh vien HDQT va 08 (tam)

ling CLrvien lam thanh vien BKS

Luu I () Tong 56 co phan c6 quyen bieu quyet hi$n tal cua Sacombank 1131803653429 co phan

b TrLiong hop 56 ILilt1ngling CLrvien do Co dong nh6m co dong ling CLrhoac de CLrthap hem 56 ILilt1ng

thanh vien dy kien cua nhiern ky 2017-2021 thi 56 ling CLrvien con lal 58 do HDQT BKS nhlern ky

2011-2015 de CLr (HDQT de CLrling CLrvien HDQT BKS de CLr ling CLrvi en BKS)

II Quy djnh va he so va thai han ncentp he so I1a cU ling cll

1 Ho sa de elf tJng ar tlJanhvien HpoundJQ T BKS gom 04 bO v6f cec tai lieu chi tiet sau bull -------

a Thong bao de cUlLtng cli(theo m~u)

b Ly lich ca nhan cua yng SLrvi~n (theo rnau)

c Phieu Ly lich tLi phap 562 (mau 56 072013ITT-LLTP) cua ling CLrvien

- Phieu 11lich tu phap pha] c6 day du thong tin ve an tlch (bao gem an tfch da dLilt1Cx6a va an tfch

cbua dLilt1Cx6a) va thong tin ve earn dam nhiern chirc vu thanh I~p quan 11doanh nghi$p hlt1ptac xa

- TrLiong hop ngLioi dLilt1Cde CLrkhong c6 qu6c tich Viet Nam Phieu Ly lich tu phap (hoac van ban c6

gia tr tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cua nuoc ma ngLioi nucc nqoal cu tru truce

khi den Viet Nam cap TrLiong hop ngLioi nLioc nqoai hien da cu tru tili Viet Nam W du 06 thang tra

len thi Phieu Ly llch tLi phap do co quan quan 11co so dG li$u 11Ich tu phap tal Vi$t Nam noi ngLioi

rurcc ngoai dang cu tru cap

- Phieu 11Ich tu phap (hoac van ban c6 gia tr] tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cap

trong thoi han sau (06) thang tinh den thai diem n9P he so de nqh] chap thuan danh sach du

kien nhan su

d Ban sac CMND hoac h(gt chieu va cac van bang chling chi chling nhan trlnh d(gt van h6a trinh d(gt

chuyen man

e Bang ke khai ngLioi c6 lien quan cua ling CLrvien (theo rnau)

f Bao cao conq khai llt1iich lien quan cua ling CLrvien (theo m~u)

g Giay xac nhan nam giG co phan lien tuc it nhat trong 6 thang cua ngLioi ling cUlde CLr(theo rnau)

h Cac van ban khac chling minh ling CLrvien du cac dieu ki$n tieu chuan theo quy dnh (neu c6)

LLiuy

raquo Cac ban sac tieng Vi$t va cac ban dich W tieng ruroc nqoai sang tieng Vi$t phai dLilt1Cco quan c6

tham quyen chling thyc theo quy dnh cua phap lu~t

raquo Tal li$uvan ban trong he so phai dLilt1Clap bang tieng Viet Van ban I~p a nuoc nqoai phai dLilt1Chop

phap h6a lanh Sy va dich sang Tieng Viet

raquo Cac bieu mau he so de CLr ling CLrdLilt1Cdang tai tili da chi website cua Sacombank theo dLiong d~n

httpsllwwwsacombankcomvncompanyPagesDai-hoi-dong-co-dongaspx

5

01 kien sOIUCJngthanh vien Hpound)QT Sacombank nhiern ky 2017-2021 la 07 (bay) thanh vien trong d6 c6 01 (mot)

thanh viem Hpound)QT dcentc I~p T6i thieu 12 (mot ph~m 2) tong sOthanh vien Hpound)QT phai la ngUoi khong dieu hanh

Ngeuromhang va thanh vien Hpound)QT dcentc I~p

II So 1Ultmgthanh vien BKS

01 kien s61UCJngthanh vien BKS Sacombank nhiern ky 2017-2021 la 04 ( b6n) thanh vien

S61UCJngthanh vien Hpound)QT BKS nhiern ky 2017-2021 ClJthe S8 do Dal hcenti dong co dong (pound)Hpound)Cpound))Saccombank

quyet dinh tal phien h9P pound)Hpound)Cpound) thUong nien narn tai chfnh 2015 2016 dY kien dUCJcto crurc vao nqay

28042017

B QUY pound)NH v~ TI~U CHUAN vA pound)I~U KI~N LAM THANH VI~N Hpound)QT BKS SACOMBANK

I NhUngnglloi khong dUltIClam thanh vien Hpound)QT BKS Sacombank

1 NgUaichua thanh nien ngUoib] han che hoac b] mat nang IYchanh vi dan su

2 NgUaidang b] truy cuu trach nhiern hinh su dang chap hanh ban an quyet dinh ve hinh sY cua T6a an

3 NgUaida bi ket an ve tcenti W tcenti pharn nqhiern tronq tro len

4 NgUoida b] ket an ve tcenti xarn pharn so hUurna chua dUCJcxoa an tlch

5 Can bcent cong chuc ngUoi quan Iy tUcap ph6ng tro len trong cac doanh nqhiep rna Nha nUDCnarn W 50

v6n dieu I~ tro len tnr ngUoidUCJccUlam dltlidi~n quan Iy phan vOng6p cua Nha ruroc tal Sacombank

6 Sy quan ha sy quan quan nhan chuyen nghi~p cong nhan qucc ph6ng trong cac co quan don v thuoc

Quan dcenti nhan can Vi~t Nam sy quan ha sy quan chuyen nghi~p trong cac co quan don v thuoc Cong

an nhan dan Vi~t Nam trU ngUai dUCJccU lam dltlidien quan Iy phan vcn g6p cua Nha nuoc tai

Sacombank

7 NgUoi thucentc dOitUCJngkhong dUCJctham gia quan Iy dieu hanh theo quy dinh cua Phap lu~t ve can bcent

cong chuc va Phap lu~t ve ph6ng chOngtham nhGng

8 NgUoi da Wng la chu doanh nghi~p tu nhan thanh vien hop danh cua cong ty hop danh Tong giam doc

(Giam dOc)thanh vien Hpound)QT thanh vien Hol dong thanh vlen thanh vien BKS cua doanh nqhiep Chu

nhiern va cac thanh vien Ban quan tr] hop tac xa tltlithai diem doanh nghi$p hop tac xa b] tuyen bOpha

san trUtrUang hop doanh nghi~p hop tac xa b] tuyen bOpha san vi Iy do bat kha khang

9 NgUoidltlidi~n theo phap lu~t cua doanh nghi$p tal thai diem doanh nghi$p b dlnh chi heat dcentng b] buoc

giai the do vi pharn Phap lu~t nghiem tronq trUtrUong hop la dltlidi$n theo de ngh cua co quan nha ruroc

c6 tham quyen nharn chan chinh cung cOdoanh nghi~p do

10 NgUoi da Wng b] dlnh chi chuc danh Chu tich HDQT thanh vien Hpound)QT Chu tich Hcenti dong thanh vien

thanh vien Hol dong thanh vien TrUong BKS thanh vien BKS Tong qlarn doc cua to clurc tin dlJngtheo

quy dinh tltlipound)ieu 45 cua pound)ieu 1$Sacombank hoac b] co quan c6 tham quyen xac dinh ngUoi do c6 vi

pharn dan den viec to chuc tin dunq bi thu hoi Giay phep

11 NgUoic6 lien quan cua thanh vien Hpound)QT Tong giam dOckhong dUCJcla thanh vien BKS cua Sacombank

12 Cha me vCJchong con va anh chi em cua thanh vien Hpound)QT va vCJchong cua nhClngngUai nay khong

dUCJcla Ke toan trUong hoac la ngUoiphu trach tal chinh cua Sacombank

II NhUngtruong hcp khong cung dam nhi~m chuc VlJ

1 Thanh vien HDQT cua Sacombank khong dUCJcdong thoi la NgUoiquan Iy cua to chuc tin dlJngkhac ( tnr

trUong hop to chirc nay la cong ty con cua Sacombank) hoac la thanh vien BKS cua Sacombank

2

2 Thanh vien HDQT cua Sacombank khong dUqcdong thbi 113thanh vien HDQT cua tren narn (05) cong ty

khac tnl trUbng hop 113thanh vlen HDQT cua cac cong ty trong cung tap dean hoac cac cong ty heat

dcentng theo nhorn cong ty bao gom cong ty me - cong ty con tap dean kinh te hoac la ngUbi dal dien cua

cong ty quan Iy quy conq ty dau tUchung khoan

3 Thanh vien BKS khong dUqcdong thol dam nhi$m mot trong cac chirc vu sau day

a) Thanh vien HDQT NgUbi dieu hanh nhan vien cua Sacombank hoac Conq ty con cua Sacombank

hoac nhan vien cua doanh nghi~p rna thanh vien HDQT Tong giam doc cua Sacombank la thanh

vien HDQT NgUbi dieu hanh hoac la Co dong Ian cua doanh nghi~p do

b) Thanh vlen HDQT thanh vien Hol dong thanh vien NgUbidieu hanh cua doanh nghi$p rna thanh vien

BKS cua doanh nghi$p do dang la thanh vien HDQT NgUbidieu hanh tai Sacombank

III Tleu chuan va dieu ki~n lam thanh vien HDQT BKS Sacombank

1 Tieu chuan va cieu ki~n lam thanh vien HpoundJQT

a) Khong thucentc doi tUqngquy dlnh tal Muc I va MIlCII phan B cua Thong bao nay

b) Co dao duc nghe nqhiep

c) La ca nhan sa hGu hoac ngUoi dUqc uy quysn dii dien sa hGu It nhat 5 von dieu I~ cua

Sacombank hoac co bang dii h9C tra len ve mcentt trong cac nqanh kinh te quan trl kinh doanh lu~t

hoac co It nhat 03 narn la ngUoi quan Iy cua to clurc tin dllng hoac doanh nghi~p heat dcentng trong

nqanb bao hiem chung khoan ke toan kiem toan hoac co It nhat 05 narn lam viec true tiep tal cac

bcent phan nghi$p vu trong ITnhvlc ngan hang tai chlnh kiem toan hoac ke toan

2 Tieu chuan va cieu ki~n lam thanh vien HpoundJQTc9CIp

a) Khong thucentc doi tUqng quy dlnh tal Mllc I va MIlCII phan B cua Thong bao nay

b) Co dao duc nghe nghi~p

c) Co bang dii hoc tra len ve mot trong cac nqanh kinh te quan tr] kinh doanh luat hoac co It nhat 03

narn la ngUoi quan Iy cua to chirc tin dllng hoac doanh nghi$p heat dcentng trong nqanh bao hiem

chung khoan ke toan kiem toan hoac co It nhat 05 narn lam vi$c tnrc tiep tai cac bi phan nghi$p vu

trong ITnhvlc ngan hang tai chinh kiem toan ho~c ke toan

d) Khong phai la ngUoi dang lam viec cho Sacombank hoac Cong ty con cua Sacombank hoac da lam

viec cho Sacombank hoac Cong ty con cua Sacombank trong 03 narn lien ke truce do

e) Khong phai la ngUoi hUang lUong thu lac thUong xuyen cua Sacombank nqoai nhGngkhoan phll cap

cua thanh vien HDQT dUqc hUangtheo quy dinh

f) Khong phai la ngUoi co vo chong cha me con anh Chi em va vc chong cua nhGng ngUoi nay la

Co dong Ian cua Sacombank ngUoi quan Iy hoac thanh vien BKS cua Sacombank hoac Cong ty con

cua Sacombank

g) Khong true tiep gian tiep sa hGuhoac dii di~n so hGutLt 1 von dieu 1$hoac von co phan co quyen

bieu quyet tra len cua Sacombank khOng cung ngUoi co lim quan sa hCiutLt 5 von dieu I~ hoac von

co phan co quyen bieu quyet tra len cua Sacombank

h) Khong pMi ta ngUoi quan Iy thanh vien BKS cua Sacombank tai bat ky thoi diem nao trong 05 narn

lien ke truce do

3 Tieu chuan va cieu ki~n Jam thanh vien BKS

a) Khong thuoc doi tUqng quy dlnh tal Muc I va MIlCII phan B cua Thong bao nay

3

b) C6 dao duc nghe nghi~p

c) C6 bang d~i h9C tro len ve mit trong cac nqanh kinh te quan tr] kinh doanh luat ke toan kiem toan

c6 it nhat 03 narn lam vi~c true tiep trong linh vlc ngan hang tai chinh ke toan hoac kiem toan

d) Khong phai la ngllai c6 lien quan cua Ngllai quan Iy Sacombank

e) Thanh vien BKS khong phai la ngllai trong bi phan ke toan tai chinh cua Sacombank va khong phal

la thanh vien hay nhan vien cua cong ty kiem toan dic I~p dang thuc hi~n kiem toan cac bao cao tai

chinh cua Sacombank

f) Phai cu tru tai Vi~t Nam trong thai gian lam thanh vien BKS Sacombank

C QUY DNH v~ QUY~N D~ cu VNG co vA H~ sa lfNG co VI~N THAM GIA LAM THANH VI~N HDQT BKS

SACOMBANK NHI~M KY 2017-2021

I Quy lt1inhva quyan lt1aCll ung cli va 56 1Ultmgnhan 51dUc1Cquyan lt1acli ung cli cua co dong

1 Quy djnh ve quyen de Clf Ungell cua co dong

Co dong nh6m co dong sa hGuco phan Sacombank trong thai han lien tuc it nhat 6 (sau) thanq tinh den

ngay dang ky cu6i cunq tham dl Dai hii dong co dong thllang nien narn tai chinh 2015 2016 cua

Sacombank (nqay 15032017) dllc1cquyen ung cLf hoac de CLfngllai vao danh sach ung cLf vien HOQT

BKS nhiern 2017-2021

2 Quy djnh ve sOtJngUngcll vien dtJcquyen de co tJngcll cua co dong

a S6 Illc1ngung cLf vien ma Co dong nh6m co dong c6 quyen ung cLf hoac de cLf phy thuoc vao ty I~ sa

hGuco phan rna Co dong nh6m co dong nam giGlien tuc trong thai han it nhat 6 (sau) thang va dllc1C

thuc hien theo quy dinh cu the nhu sau

(i) Co dong nh6m co dong sa hGuW 10 den dllai 20 tong 56 co phan c6 quyen bieu quyet ()

dllc1Cquyen ung cLf hoac de cLf t6i da 01 (mot) ung cLf vien lam thanh vien HDQT va 01 (mot)

ung cLf vien lam thanh vien BKS

(ii) Co dong nh6m co dong sa hGuW 20 den dllai 30 tong 56 co phan c6 quyen bieu quyet dUlt1c

quyen ung cLf hoac de cLf toi da 02 (hai) ung cLf vien lam thanh vien HOQT va 02 (hai) ung cLf

vlen lam thanh vien BKS

(iii) Co dong nh6m co dong sa hGuW 30 den dllai 40 tong s6 co phan c6 quyen bieu quyet dUlt1C

quyen ung cLf ho~c de cLf toi da 03 (ba) ung cLf vien lam thanh vien HOQT va 03 (ba) ung CLf

vien lam thanh vien BKS

(iv) Co dong nh6m co dong sa hGuW 40 den dllai 50 tong so co phan c6 quyen bieu quyet dlllt1e

quyen ung CLfhoac de cLf toi da 04 (bon) ung elf vien lam thanh vien HDQT va 04 (bon) ung eLt

vien lam thanh vien BKS

(v) Co dong nhorn eo dong sa hGuW 50 den dllai 60 tong 56 eo phan eo quyen bieu quyet dllc1e

quyen ung elf hoac de elf toi da 05 (narn) ung elf vien lam thanh vien HDQT va 05 (nam) ung elf

vien lam thanh vien BKS

(vi) Co dong nh6m co dong sa hGuW 60 den dllai 70 tong so eo phan e6 quyen bieu quyet dlllt1e

quyen ung cLf hoac de cLf toi da 06 (sau) ung elf vien lam thanh vien HDQT va 06 (sau) ung cu

vien lam thanh vien BKS

4

-rd--

(vii) Co dong nh6m co dong so hGuW 70 den dLioi 80 tong 56 co phan c6 qUYEJnbieu quyet dLic1c

quyen ling CLr hoac de CLrt6i da 07 (bay) ling CLrvien lam thanh vien HDQT va 07 (bay) ling CLr

vien lam thanh vien BKS

(viii) Co dong nh6m co dong so hGu W 80 den dLioi 90 tong 56 co phan c6 quyen bieu quyet

dLilt1Cquyen ling CLr hoac de CLrt6i da 08 (tam) ling CLr vien lam thanh vien HDQT va 08 (tam)

ling CLrvien lam thanh vien BKS

Luu I () Tong 56 co phan c6 quyen bieu quyet hi$n tal cua Sacombank 1131803653429 co phan

b TrLiong hop 56 ILilt1ngling CLrvien do Co dong nh6m co dong ling CLrhoac de CLrthap hem 56 ILilt1ng

thanh vien dy kien cua nhiern ky 2017-2021 thi 56 ling CLrvien con lal 58 do HDQT BKS nhlern ky

2011-2015 de CLr (HDQT de CLrling CLrvien HDQT BKS de CLr ling CLrvi en BKS)

II Quy djnh va he so va thai han ncentp he so I1a cU ling cll

1 Ho sa de elf tJng ar tlJanhvien HpoundJQ T BKS gom 04 bO v6f cec tai lieu chi tiet sau bull -------

a Thong bao de cUlLtng cli(theo m~u)

b Ly lich ca nhan cua yng SLrvi~n (theo rnau)

c Phieu Ly lich tLi phap 562 (mau 56 072013ITT-LLTP) cua ling CLrvien

- Phieu 11lich tu phap pha] c6 day du thong tin ve an tlch (bao gem an tfch da dLilt1Cx6a va an tfch

cbua dLilt1Cx6a) va thong tin ve earn dam nhiern chirc vu thanh I~p quan 11doanh nghi$p hlt1ptac xa

- TrLiong hop ngLioi dLilt1Cde CLrkhong c6 qu6c tich Viet Nam Phieu Ly lich tu phap (hoac van ban c6

gia tr tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cua nuoc ma ngLioi nucc nqoal cu tru truce

khi den Viet Nam cap TrLiong hop ngLioi nLioc nqoai hien da cu tru tili Viet Nam W du 06 thang tra

len thi Phieu Ly llch tLi phap do co quan quan 11co so dG li$u 11Ich tu phap tal Vi$t Nam noi ngLioi

rurcc ngoai dang cu tru cap

- Phieu 11Ich tu phap (hoac van ban c6 gia tr] tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cap

trong thoi han sau (06) thang tinh den thai diem n9P he so de nqh] chap thuan danh sach du

kien nhan su

d Ban sac CMND hoac h(gt chieu va cac van bang chling chi chling nhan trlnh d(gt van h6a trinh d(gt

chuyen man

e Bang ke khai ngLioi c6 lien quan cua ling CLrvien (theo rnau)

f Bao cao conq khai llt1iich lien quan cua ling CLrvien (theo m~u)

g Giay xac nhan nam giG co phan lien tuc it nhat trong 6 thang cua ngLioi ling cUlde CLr(theo rnau)

h Cac van ban khac chling minh ling CLrvien du cac dieu ki$n tieu chuan theo quy dnh (neu c6)

LLiuy

raquo Cac ban sac tieng Vi$t va cac ban dich W tieng ruroc nqoai sang tieng Vi$t phai dLilt1Cco quan c6

tham quyen chling thyc theo quy dnh cua phap lu~t

raquo Tal li$uvan ban trong he so phai dLilt1Clap bang tieng Viet Van ban I~p a nuoc nqoai phai dLilt1Chop

phap h6a lanh Sy va dich sang Tieng Viet

raquo Cac bieu mau he so de CLr ling CLrdLilt1Cdang tai tili da chi website cua Sacombank theo dLiong d~n

httpsllwwwsacombankcomvncompanyPagesDai-hoi-dong-co-dongaspx

5

2 Thanh vien HDQT cua Sacombank khong dUqcdong thbi 113thanh vien HDQT cua tren narn (05) cong ty

khac tnl trUbng hop 113thanh vlen HDQT cua cac cong ty trong cung tap dean hoac cac cong ty heat

dcentng theo nhorn cong ty bao gom cong ty me - cong ty con tap dean kinh te hoac la ngUbi dal dien cua

cong ty quan Iy quy conq ty dau tUchung khoan

3 Thanh vien BKS khong dUqcdong thol dam nhi$m mot trong cac chirc vu sau day

a) Thanh vien HDQT NgUbi dieu hanh nhan vien cua Sacombank hoac Conq ty con cua Sacombank

hoac nhan vien cua doanh nghi~p rna thanh vien HDQT Tong giam doc cua Sacombank la thanh

vien HDQT NgUbi dieu hanh hoac la Co dong Ian cua doanh nghi~p do

b) Thanh vlen HDQT thanh vien Hol dong thanh vien NgUbidieu hanh cua doanh nghi$p rna thanh vien

BKS cua doanh nghi$p do dang la thanh vien HDQT NgUbidieu hanh tai Sacombank

III Tleu chuan va dieu ki~n lam thanh vien HDQT BKS Sacombank

1 Tieu chuan va cieu ki~n lam thanh vien HpoundJQT

a) Khong thucentc doi tUqngquy dlnh tal Muc I va MIlCII phan B cua Thong bao nay

b) Co dao duc nghe nqhiep

c) La ca nhan sa hGu hoac ngUoi dUqc uy quysn dii dien sa hGu It nhat 5 von dieu I~ cua

Sacombank hoac co bang dii h9C tra len ve mcentt trong cac nqanh kinh te quan trl kinh doanh lu~t

hoac co It nhat 03 narn la ngUoi quan Iy cua to clurc tin dllng hoac doanh nghi~p heat dcentng trong

nqanb bao hiem chung khoan ke toan kiem toan hoac co It nhat 05 narn lam viec true tiep tal cac

bcent phan nghi$p vu trong ITnhvlc ngan hang tai chlnh kiem toan hoac ke toan

2 Tieu chuan va cieu ki~n lam thanh vien HpoundJQTc9CIp

a) Khong thucentc doi tUqng quy dlnh tal Mllc I va MIlCII phan B cua Thong bao nay

b) Co dao duc nghe nghi~p

c) Co bang dii hoc tra len ve mot trong cac nqanh kinh te quan tr] kinh doanh luat hoac co It nhat 03

narn la ngUoi quan Iy cua to chirc tin dllng hoac doanh nghi$p heat dcentng trong nqanh bao hiem

chung khoan ke toan kiem toan hoac co It nhat 05 narn lam vi$c tnrc tiep tai cac bi phan nghi$p vu

trong ITnhvlc ngan hang tai chinh kiem toan ho~c ke toan

d) Khong phai la ngUoi dang lam viec cho Sacombank hoac Cong ty con cua Sacombank hoac da lam

viec cho Sacombank hoac Cong ty con cua Sacombank trong 03 narn lien ke truce do

e) Khong phai la ngUoi hUang lUong thu lac thUong xuyen cua Sacombank nqoai nhGngkhoan phll cap

cua thanh vien HDQT dUqc hUangtheo quy dinh

f) Khong phai la ngUoi co vo chong cha me con anh Chi em va vc chong cua nhGng ngUoi nay la

Co dong Ian cua Sacombank ngUoi quan Iy hoac thanh vien BKS cua Sacombank hoac Cong ty con

cua Sacombank

g) Khong true tiep gian tiep sa hGuhoac dii di~n so hGutLt 1 von dieu 1$hoac von co phan co quyen

bieu quyet tra len cua Sacombank khOng cung ngUoi co lim quan sa hCiutLt 5 von dieu I~ hoac von

co phan co quyen bieu quyet tra len cua Sacombank

h) Khong pMi ta ngUoi quan Iy thanh vien BKS cua Sacombank tai bat ky thoi diem nao trong 05 narn

lien ke truce do

3 Tieu chuan va cieu ki~n Jam thanh vien BKS

a) Khong thuoc doi tUqng quy dlnh tal Muc I va MIlCII phan B cua Thong bao nay

3

b) C6 dao duc nghe nghi~p

c) C6 bang d~i h9C tro len ve mit trong cac nqanh kinh te quan tr] kinh doanh luat ke toan kiem toan

c6 it nhat 03 narn lam vi~c true tiep trong linh vlc ngan hang tai chinh ke toan hoac kiem toan

d) Khong phai la ngllai c6 lien quan cua Ngllai quan Iy Sacombank

e) Thanh vien BKS khong phai la ngllai trong bi phan ke toan tai chinh cua Sacombank va khong phal

la thanh vien hay nhan vien cua cong ty kiem toan dic I~p dang thuc hi~n kiem toan cac bao cao tai

chinh cua Sacombank

f) Phai cu tru tai Vi~t Nam trong thai gian lam thanh vien BKS Sacombank

C QUY DNH v~ QUY~N D~ cu VNG co vA H~ sa lfNG co VI~N THAM GIA LAM THANH VI~N HDQT BKS

SACOMBANK NHI~M KY 2017-2021

I Quy lt1inhva quyan lt1aCll ung cli va 56 1Ultmgnhan 51dUc1Cquyan lt1acli ung cli cua co dong

1 Quy djnh ve quyen de Clf Ungell cua co dong

Co dong nh6m co dong sa hGuco phan Sacombank trong thai han lien tuc it nhat 6 (sau) thanq tinh den

ngay dang ky cu6i cunq tham dl Dai hii dong co dong thllang nien narn tai chinh 2015 2016 cua

Sacombank (nqay 15032017) dllc1cquyen ung cLf hoac de CLfngllai vao danh sach ung cLf vien HOQT

BKS nhiern 2017-2021

2 Quy djnh ve sOtJngUngcll vien dtJcquyen de co tJngcll cua co dong

a S6 Illc1ngung cLf vien ma Co dong nh6m co dong c6 quyen ung cLf hoac de cLf phy thuoc vao ty I~ sa

hGuco phan rna Co dong nh6m co dong nam giGlien tuc trong thai han it nhat 6 (sau) thang va dllc1C

thuc hien theo quy dinh cu the nhu sau

(i) Co dong nh6m co dong sa hGuW 10 den dllai 20 tong 56 co phan c6 quyen bieu quyet ()

dllc1Cquyen ung cLf hoac de cLf t6i da 01 (mot) ung cLf vien lam thanh vien HDQT va 01 (mot)

ung cLf vien lam thanh vien BKS

(ii) Co dong nh6m co dong sa hGuW 20 den dllai 30 tong 56 co phan c6 quyen bieu quyet dUlt1c

quyen ung cLf hoac de cLf toi da 02 (hai) ung cLf vien lam thanh vien HOQT va 02 (hai) ung cLf

vlen lam thanh vien BKS

(iii) Co dong nh6m co dong sa hGuW 30 den dllai 40 tong s6 co phan c6 quyen bieu quyet dUlt1C

quyen ung cLf ho~c de cLf toi da 03 (ba) ung cLf vien lam thanh vien HOQT va 03 (ba) ung CLf

vien lam thanh vien BKS

(iv) Co dong nh6m co dong sa hGuW 40 den dllai 50 tong so co phan c6 quyen bieu quyet dlllt1e

quyen ung CLfhoac de cLf toi da 04 (bon) ung elf vien lam thanh vien HDQT va 04 (bon) ung eLt

vien lam thanh vien BKS

(v) Co dong nhorn eo dong sa hGuW 50 den dllai 60 tong 56 eo phan eo quyen bieu quyet dllc1e

quyen ung elf hoac de elf toi da 05 (narn) ung elf vien lam thanh vien HDQT va 05 (nam) ung elf

vien lam thanh vien BKS

(vi) Co dong nh6m co dong sa hGuW 60 den dllai 70 tong so eo phan e6 quyen bieu quyet dlllt1e

quyen ung cLf hoac de cLf toi da 06 (sau) ung elf vien lam thanh vien HDQT va 06 (sau) ung cu

vien lam thanh vien BKS

4

-rd--

(vii) Co dong nh6m co dong so hGuW 70 den dLioi 80 tong 56 co phan c6 qUYEJnbieu quyet dLic1c

quyen ling CLr hoac de CLrt6i da 07 (bay) ling CLrvien lam thanh vien HDQT va 07 (bay) ling CLr

vien lam thanh vien BKS

(viii) Co dong nh6m co dong so hGu W 80 den dLioi 90 tong 56 co phan c6 quyen bieu quyet

dLilt1Cquyen ling CLr hoac de CLrt6i da 08 (tam) ling CLr vien lam thanh vien HDQT va 08 (tam)

ling CLrvien lam thanh vien BKS

Luu I () Tong 56 co phan c6 quyen bieu quyet hi$n tal cua Sacombank 1131803653429 co phan

b TrLiong hop 56 ILilt1ngling CLrvien do Co dong nh6m co dong ling CLrhoac de CLrthap hem 56 ILilt1ng

thanh vien dy kien cua nhiern ky 2017-2021 thi 56 ling CLrvien con lal 58 do HDQT BKS nhlern ky

2011-2015 de CLr (HDQT de CLrling CLrvien HDQT BKS de CLr ling CLrvi en BKS)

II Quy djnh va he so va thai han ncentp he so I1a cU ling cll

1 Ho sa de elf tJng ar tlJanhvien HpoundJQ T BKS gom 04 bO v6f cec tai lieu chi tiet sau bull -------

a Thong bao de cUlLtng cli(theo m~u)

b Ly lich ca nhan cua yng SLrvi~n (theo rnau)

c Phieu Ly lich tLi phap 562 (mau 56 072013ITT-LLTP) cua ling CLrvien

- Phieu 11lich tu phap pha] c6 day du thong tin ve an tlch (bao gem an tfch da dLilt1Cx6a va an tfch

cbua dLilt1Cx6a) va thong tin ve earn dam nhiern chirc vu thanh I~p quan 11doanh nghi$p hlt1ptac xa

- TrLiong hop ngLioi dLilt1Cde CLrkhong c6 qu6c tich Viet Nam Phieu Ly lich tu phap (hoac van ban c6

gia tr tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cua nuoc ma ngLioi nucc nqoal cu tru truce

khi den Viet Nam cap TrLiong hop ngLioi nLioc nqoai hien da cu tru tili Viet Nam W du 06 thang tra

len thi Phieu Ly llch tLi phap do co quan quan 11co so dG li$u 11Ich tu phap tal Vi$t Nam noi ngLioi

rurcc ngoai dang cu tru cap

- Phieu 11Ich tu phap (hoac van ban c6 gia tr] tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cap

trong thoi han sau (06) thang tinh den thai diem n9P he so de nqh] chap thuan danh sach du

kien nhan su

d Ban sac CMND hoac h(gt chieu va cac van bang chling chi chling nhan trlnh d(gt van h6a trinh d(gt

chuyen man

e Bang ke khai ngLioi c6 lien quan cua ling CLrvien (theo rnau)

f Bao cao conq khai llt1iich lien quan cua ling CLrvien (theo m~u)

g Giay xac nhan nam giG co phan lien tuc it nhat trong 6 thang cua ngLioi ling cUlde CLr(theo rnau)

h Cac van ban khac chling minh ling CLrvien du cac dieu ki$n tieu chuan theo quy dnh (neu c6)

LLiuy

raquo Cac ban sac tieng Vi$t va cac ban dich W tieng ruroc nqoai sang tieng Vi$t phai dLilt1Cco quan c6

tham quyen chling thyc theo quy dnh cua phap lu~t

raquo Tal li$uvan ban trong he so phai dLilt1Clap bang tieng Viet Van ban I~p a nuoc nqoai phai dLilt1Chop

phap h6a lanh Sy va dich sang Tieng Viet

raquo Cac bieu mau he so de CLr ling CLrdLilt1Cdang tai tili da chi website cua Sacombank theo dLiong d~n

httpsllwwwsacombankcomvncompanyPagesDai-hoi-dong-co-dongaspx

5

b) C6 dao duc nghe nghi~p

c) C6 bang d~i h9C tro len ve mit trong cac nqanh kinh te quan tr] kinh doanh luat ke toan kiem toan

c6 it nhat 03 narn lam vi~c true tiep trong linh vlc ngan hang tai chinh ke toan hoac kiem toan

d) Khong phai la ngllai c6 lien quan cua Ngllai quan Iy Sacombank

e) Thanh vien BKS khong phai la ngllai trong bi phan ke toan tai chinh cua Sacombank va khong phal

la thanh vien hay nhan vien cua cong ty kiem toan dic I~p dang thuc hi~n kiem toan cac bao cao tai

chinh cua Sacombank

f) Phai cu tru tai Vi~t Nam trong thai gian lam thanh vien BKS Sacombank

C QUY DNH v~ QUY~N D~ cu VNG co vA H~ sa lfNG co VI~N THAM GIA LAM THANH VI~N HDQT BKS

SACOMBANK NHI~M KY 2017-2021

I Quy lt1inhva quyan lt1aCll ung cli va 56 1Ultmgnhan 51dUc1Cquyan lt1acli ung cli cua co dong

1 Quy djnh ve quyen de Clf Ungell cua co dong

Co dong nh6m co dong sa hGuco phan Sacombank trong thai han lien tuc it nhat 6 (sau) thanq tinh den

ngay dang ky cu6i cunq tham dl Dai hii dong co dong thllang nien narn tai chinh 2015 2016 cua

Sacombank (nqay 15032017) dllc1cquyen ung cLf hoac de CLfngllai vao danh sach ung cLf vien HOQT

BKS nhiern 2017-2021

2 Quy djnh ve sOtJngUngcll vien dtJcquyen de co tJngcll cua co dong

a S6 Illc1ngung cLf vien ma Co dong nh6m co dong c6 quyen ung cLf hoac de cLf phy thuoc vao ty I~ sa

hGuco phan rna Co dong nh6m co dong nam giGlien tuc trong thai han it nhat 6 (sau) thang va dllc1C

thuc hien theo quy dinh cu the nhu sau

(i) Co dong nh6m co dong sa hGuW 10 den dllai 20 tong 56 co phan c6 quyen bieu quyet ()

dllc1Cquyen ung cLf hoac de cLf t6i da 01 (mot) ung cLf vien lam thanh vien HDQT va 01 (mot)

ung cLf vien lam thanh vien BKS

(ii) Co dong nh6m co dong sa hGuW 20 den dllai 30 tong 56 co phan c6 quyen bieu quyet dUlt1c

quyen ung cLf hoac de cLf toi da 02 (hai) ung cLf vien lam thanh vien HOQT va 02 (hai) ung cLf

vlen lam thanh vien BKS

(iii) Co dong nh6m co dong sa hGuW 30 den dllai 40 tong s6 co phan c6 quyen bieu quyet dUlt1C

quyen ung cLf ho~c de cLf toi da 03 (ba) ung cLf vien lam thanh vien HOQT va 03 (ba) ung CLf

vien lam thanh vien BKS

(iv) Co dong nh6m co dong sa hGuW 40 den dllai 50 tong so co phan c6 quyen bieu quyet dlllt1e

quyen ung CLfhoac de cLf toi da 04 (bon) ung elf vien lam thanh vien HDQT va 04 (bon) ung eLt

vien lam thanh vien BKS

(v) Co dong nhorn eo dong sa hGuW 50 den dllai 60 tong 56 eo phan eo quyen bieu quyet dllc1e

quyen ung elf hoac de elf toi da 05 (narn) ung elf vien lam thanh vien HDQT va 05 (nam) ung elf

vien lam thanh vien BKS

(vi) Co dong nh6m co dong sa hGuW 60 den dllai 70 tong so eo phan e6 quyen bieu quyet dlllt1e

quyen ung cLf hoac de cLf toi da 06 (sau) ung elf vien lam thanh vien HDQT va 06 (sau) ung cu

vien lam thanh vien BKS

4

-rd--

(vii) Co dong nh6m co dong so hGuW 70 den dLioi 80 tong 56 co phan c6 qUYEJnbieu quyet dLic1c

quyen ling CLr hoac de CLrt6i da 07 (bay) ling CLrvien lam thanh vien HDQT va 07 (bay) ling CLr

vien lam thanh vien BKS

(viii) Co dong nh6m co dong so hGu W 80 den dLioi 90 tong 56 co phan c6 quyen bieu quyet

dLilt1Cquyen ling CLr hoac de CLrt6i da 08 (tam) ling CLr vien lam thanh vien HDQT va 08 (tam)

ling CLrvien lam thanh vien BKS

Luu I () Tong 56 co phan c6 quyen bieu quyet hi$n tal cua Sacombank 1131803653429 co phan

b TrLiong hop 56 ILilt1ngling CLrvien do Co dong nh6m co dong ling CLrhoac de CLrthap hem 56 ILilt1ng

thanh vien dy kien cua nhiern ky 2017-2021 thi 56 ling CLrvien con lal 58 do HDQT BKS nhlern ky

2011-2015 de CLr (HDQT de CLrling CLrvien HDQT BKS de CLr ling CLrvi en BKS)

II Quy djnh va he so va thai han ncentp he so I1a cU ling cll

1 Ho sa de elf tJng ar tlJanhvien HpoundJQ T BKS gom 04 bO v6f cec tai lieu chi tiet sau bull -------

a Thong bao de cUlLtng cli(theo m~u)

b Ly lich ca nhan cua yng SLrvi~n (theo rnau)

c Phieu Ly lich tLi phap 562 (mau 56 072013ITT-LLTP) cua ling CLrvien

- Phieu 11lich tu phap pha] c6 day du thong tin ve an tlch (bao gem an tfch da dLilt1Cx6a va an tfch

cbua dLilt1Cx6a) va thong tin ve earn dam nhiern chirc vu thanh I~p quan 11doanh nghi$p hlt1ptac xa

- TrLiong hop ngLioi dLilt1Cde CLrkhong c6 qu6c tich Viet Nam Phieu Ly lich tu phap (hoac van ban c6

gia tr tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cua nuoc ma ngLioi nucc nqoal cu tru truce

khi den Viet Nam cap TrLiong hop ngLioi nLioc nqoai hien da cu tru tili Viet Nam W du 06 thang tra

len thi Phieu Ly llch tLi phap do co quan quan 11co so dG li$u 11Ich tu phap tal Vi$t Nam noi ngLioi

rurcc ngoai dang cu tru cap

- Phieu 11Ich tu phap (hoac van ban c6 gia tr] tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cap

trong thoi han sau (06) thang tinh den thai diem n9P he so de nqh] chap thuan danh sach du

kien nhan su

d Ban sac CMND hoac h(gt chieu va cac van bang chling chi chling nhan trlnh d(gt van h6a trinh d(gt

chuyen man

e Bang ke khai ngLioi c6 lien quan cua ling CLrvien (theo rnau)

f Bao cao conq khai llt1iich lien quan cua ling CLrvien (theo m~u)

g Giay xac nhan nam giG co phan lien tuc it nhat trong 6 thang cua ngLioi ling cUlde CLr(theo rnau)

h Cac van ban khac chling minh ling CLrvien du cac dieu ki$n tieu chuan theo quy dnh (neu c6)

LLiuy

raquo Cac ban sac tieng Vi$t va cac ban dich W tieng ruroc nqoai sang tieng Vi$t phai dLilt1Cco quan c6

tham quyen chling thyc theo quy dnh cua phap lu~t

raquo Tal li$uvan ban trong he so phai dLilt1Clap bang tieng Viet Van ban I~p a nuoc nqoai phai dLilt1Chop

phap h6a lanh Sy va dich sang Tieng Viet

raquo Cac bieu mau he so de CLr ling CLrdLilt1Cdang tai tili da chi website cua Sacombank theo dLiong d~n

httpsllwwwsacombankcomvncompanyPagesDai-hoi-dong-co-dongaspx

5

(vii) Co dong nh6m co dong so hGuW 70 den dLioi 80 tong 56 co phan c6 qUYEJnbieu quyet dLic1c

quyen ling CLr hoac de CLrt6i da 07 (bay) ling CLrvien lam thanh vien HDQT va 07 (bay) ling CLr

vien lam thanh vien BKS

(viii) Co dong nh6m co dong so hGu W 80 den dLioi 90 tong 56 co phan c6 quyen bieu quyet

dLilt1Cquyen ling CLr hoac de CLrt6i da 08 (tam) ling CLr vien lam thanh vien HDQT va 08 (tam)

ling CLrvien lam thanh vien BKS

Luu I () Tong 56 co phan c6 quyen bieu quyet hi$n tal cua Sacombank 1131803653429 co phan

b TrLiong hop 56 ILilt1ngling CLrvien do Co dong nh6m co dong ling CLrhoac de CLrthap hem 56 ILilt1ng

thanh vien dy kien cua nhiern ky 2017-2021 thi 56 ling CLrvien con lal 58 do HDQT BKS nhlern ky

2011-2015 de CLr (HDQT de CLrling CLrvien HDQT BKS de CLr ling CLrvi en BKS)

II Quy djnh va he so va thai han ncentp he so I1a cU ling cll

1 Ho sa de elf tJng ar tlJanhvien HpoundJQ T BKS gom 04 bO v6f cec tai lieu chi tiet sau bull -------

a Thong bao de cUlLtng cli(theo m~u)

b Ly lich ca nhan cua yng SLrvi~n (theo rnau)

c Phieu Ly lich tLi phap 562 (mau 56 072013ITT-LLTP) cua ling CLrvien

- Phieu 11lich tu phap pha] c6 day du thong tin ve an tlch (bao gem an tfch da dLilt1Cx6a va an tfch

cbua dLilt1Cx6a) va thong tin ve earn dam nhiern chirc vu thanh I~p quan 11doanh nghi$p hlt1ptac xa

- TrLiong hop ngLioi dLilt1Cde CLrkhong c6 qu6c tich Viet Nam Phieu Ly lich tu phap (hoac van ban c6

gia tr tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cua nuoc ma ngLioi nucc nqoal cu tru truce

khi den Viet Nam cap TrLiong hop ngLioi nLioc nqoai hien da cu tru tili Viet Nam W du 06 thang tra

len thi Phieu Ly llch tLi phap do co quan quan 11co so dG li$u 11Ich tu phap tal Vi$t Nam noi ngLioi

rurcc ngoai dang cu tru cap

- Phieu 11Ich tu phap (hoac van ban c6 gia tr] tLielng dLielng) phai dLilt1Cco quan c6 tham quyen cap

trong thoi han sau (06) thang tinh den thai diem n9P he so de nqh] chap thuan danh sach du

kien nhan su

d Ban sac CMND hoac h(gt chieu va cac van bang chling chi chling nhan trlnh d(gt van h6a trinh d(gt

chuyen man

e Bang ke khai ngLioi c6 lien quan cua ling CLrvien (theo rnau)

f Bao cao conq khai llt1iich lien quan cua ling CLrvien (theo m~u)

g Giay xac nhan nam giG co phan lien tuc it nhat trong 6 thang cua ngLioi ling cUlde CLr(theo rnau)

h Cac van ban khac chling minh ling CLrvien du cac dieu ki$n tieu chuan theo quy dnh (neu c6)

LLiuy

raquo Cac ban sac tieng Vi$t va cac ban dich W tieng ruroc nqoai sang tieng Vi$t phai dLilt1Cco quan c6

tham quyen chling thyc theo quy dnh cua phap lu~t

raquo Tal li$uvan ban trong he so phai dLilt1Clap bang tieng Viet Van ban I~p a nuoc nqoai phai dLilt1Chop

phap h6a lanh Sy va dich sang Tieng Viet

raquo Cac bieu mau he so de CLr ling CLrdLilt1Cdang tai tili da chi website cua Sacombank theo dLiong d~n

httpsllwwwsacombankcomvncompanyPagesDai-hoi-dong-co-dongaspx

5

~ poundgte dUc1Cho tro cac thu hJCIiEm quan den ho so ung Clf vien de ngh Ouy co dong lien h~ 6ng

Nguyen Van Minh - Ph6 chanh van ph6ng HpoundgtQT Sacombank - s6 may Opoundgt090 393 393 2

2 ThOgian va dja diem n(jp ho sa

~ Thai han n9P ho so Tnroc 17 gio nqay 101042017

~ poundgtadiem n9P ho so Van ph6ng H9i dong quan tri Sacombank 56266 - 268 (Lau 15) Nam

Ky Khoi NghTa PhUong 8 QU$n 3 TpHCM

TM HOI DbNG QUAN TR

NC1inhan

- NhU tren

- NHNN amp CQ TTGS NH de bao cao- Cue TTGSNH TP HCM (Cue II) de bao cao

- HpoundlQT BKS de biet

LUuVpHpoundgtQT

6