SBB SECURITIES. 13Ä0 CÄO TiNH HiNH QUAN TRI 6 THANG CUOI NAM 2014 BOARD OF DIRECTOR'S MANAGEMENT REPORT SECOND 6 MONTHS YEAR 2014

Transcription

1 CONG TY CO PHAN CH(JNG KHOAN SAIGONBANK BERJAYA SAIGONBANK BERJAYA SECURITIES JOINT STOCK COMPANY 031E3E0 SBB SECURITIES 13Ä0 CÄO TiNH HiNH QUAN TRI 6 THANG CUOI NAM 2014 BOARD OF DIRECTOR'S MANAGEMENT REPORT SECOND 6 MONTHS YEAR 2014 Dia chi : LAtt 5-6, 2C PhO Chinh, Quin 1, TP. Ho Chi Minh Address : 5-6 th Floor, 2C Pho Due Chinh, District 1, HCM City Dien thoai/tel : (84) Fax: (84) Website :

2 CTCP CHI:J.NG KHOAN SAIGONBANK BERJAYA SAIGONBANK BERJAYA JOINT STOCK COMPANY CONG HOA X A HQ1 CHU NGHIA VIE:T NAM DOc 14 Tt do Hanh THE SOCIALIST REPUBLIC OF VIETNAM Independence Freedom Happiness 030E6 S6/No: /2014/BCQT S13BS Fp. HCM, ngdy,.:,;.q..thang 12 Pam 2014 HCMC, December, 2014 BAO O) TINH HiNH QUAN TR! CONG TV BOARD OF DIRECTOR'S MANAGEMENT REPORT (6 MO/1g ette'fi llehn 2014/ Second 6 months Year 2014) Kinh - U' y ban Chtimg khotin Nha ntrifrc (SSC) State Securities Commission of Vietnam Thiing tin cong ty: - Giao dich Chang kholin Ha Niii (HNX) Hanoi Stock Exchange - SO' Giao dich Chting khoin Thiinh ph4 Hi) Chi Minh (HOSE) Ito Chi Minh City Stock Exchange Ten cong ty : COng ty Co phan Chang khoan Saigonbank Berjaya (SBBS). Name of Company : Saigonbank Berjaya Securities Joint Stock Company Dia chi tru chinh : LAu 5&6, 2C PhO Dire Chinh, Quin 1. Tp. HCM Address : Floor 5&6, 2C Pho Duc Chinh Street, District 1, HCMC Dien thoai/tel : Fax: V6n dieu Ic : d6ng Charter Capital : VND o go: SBB SECURITIES 1. Hoot ding cfia ding quart tri (Boo coo 6 thing cu6i näm 2014): Board of Director's Operation (Second 6 months report year 2014) I. Ceic cluic hpp ciia Hill d(ng (punt tri: Board of Director's Meeting:

3 Stt No. ThAnh vien HDQT Member of Ong Nguyen 1 loâi Nam Mr. Nguyen Hoai Nam Ong Kuok Wee Kiat Mr. Kuok Wee Kiat Ong Derek Chin Chee 3 Seng Mr. Derek Chin Chee Seng Ong Nguyen Ngoc Dieu 4 Mr. Nguyen Ngoc Dieu Ba TrAn Thi Viet Anh Ms. Tran Thi Viet Anli Clint vu Title So bum hop tham du' The number of meetings attended Ty le (%) ChU tich Chairman 2/2 100 Thanh vien Member of 2/2 100 Thanh vien Member of 1/2 50 Thanh vien Member of 2/2 100 ThAnh via Member of V do khong tham thy Reason for not attendance Ban viec Busy 02 buei hop do ban viec 0/2 0 nen da" ity quyen cho Nguyen Minh Tri Phe Tong giam doe Ngan Hang TMCI) Sai GOn COng Thixorng tham du. thay. 02 meetings due to being busy, authorized on Mr Nguyen Minh 7'ri Deputy General Director of Saigonbank to attend the meeting. 2. Hoyt &Ong giam sat ciia HDQT doi vii Tijng Gitim &tic: 's supervisory on General Director's management: GiAm sat cong tic dieu hanh cna Ban Tong giam dee cdc nei dung sau: Supervise the Board of Management's operation with the following contents: Chi dao va giam sat qua trinh trien khai va thtrc hien ke hoach kinh doanh theo nghi quyet Dai hei dung co (Ring, theo dei va den dee Ban Teng giam dee trien khai Nghi quyet cua hei Sing quan tri cong ty; Direct and supervise the deployment and implementation on business plan according to the resolutions of the General shareholders, monitor and supervise the Board of Management's implementation on the resolutions of the Board of Directors of the Company. Chi dao t8 chirc be may nhan si.r trong Ban Wong giam doe va giam sat ding tic dieu hanh hoat deng sari xuat kink doanh sau thing cuei nam 2014;

4 Direct the organization of the personnel of the Board of Management and supervise the operation, execution for second six months of year Dinh 14 hang thing, quy TOng giam doc bdo cdo Tinh hinh hoat dong kinh doanh tinh hinh tai chilli, cua COng ty v6i HOi d6ng quail tri. DOng th6i Tong giam doc trgc tich hoi d6ng (wan tri v'e tiep bao cao Chd tinh hinh kinh doanh khi co yeu cau; The General Director reports monthly, quarterly Operation, Financial condition of the company to the Board of Directors. At the same time, the General Director reports directly to the Chairman of the Board on the operation performance as required. ()min tri cling giam sat, tham gia cac cuoc hop dia Ban dieu hinh COng ty N/A chi dao gidi quyet kip thei cac kho khan, vtrong mac Oat sinh trong qua trinh Quan tri - dieu hinh cda COng ty, vi the SBBS da CO nhang quy& sach, gidi phap phd hop, kip thai va hieu qua truck nhilng di6n bien phdc tap cda thi truing va ngan chin rui ro nqi bo; 110i d6ng The Board of Directors also supervise, participate in the meetings of the Board of Management of the company, and direct to solve the difficulties promptly, problems arising during the time of operation administration of the company to provide SBBS with decisions, appropriate solutions, timely and effectively before the market becomes complicated and therefore prevent internal risks. Cdc not dung khac ve vice wan this cac quy dinh trong HDKI) chimg khodn. Other items for compliance with the provisions on the operation of the securities companies 3. Hoyt diing cua cac trju ban thuk Ii i (king qutin Operations of the Subcommittees under the Board of Directors: 3.1 Ticiu ban (/trim tri riii ro dive hren clic cling vice: Risk management subcommittee performs the work: Xay dung cac quy dinh chinh sach chitin lugc quail ly rui ro; cac tieu chuan dinh gia rui ro; mire do rui ro tong the va cua timg b6 phan trong cong ty; Establishing policy, strategy policy of risk management, the risk assessment standards, the overall level of risk and of each department in the company; Xem xet, dinh gia doc lap ve sg phta hop, wan thd cac chinh sach, quy trinh rui ro da thiet lap Independently assessing the appropriateness and compliance with policies and risk process set in the company; Kiem tra, xem xet va dinh gia str day dd, hieu qua va hieu Igc cda he th6ng quail tri rui ro trong cling ty va hoan thien he th6ng nay. Checking, reviewing and assessing fulfillment, efficiency and effectiveness of the risk management system of the company and completeness of the system. Mot so cling ttic khtic: Some other works: Xac dinh chinh sach thirc thi va mire do chap nhan rui ro cda cong ty; Determination of policy of implementation and the level of risk acceptance of the company; Xac dinh rui no cna cong ty; Determination of company's risks,. Do ItrOng rui no:

5 Risk measurement; Giam sat, ngän ngira, phdt hien va xu ly rui ro. Monitoring, prevention, detection and handling of the risks 3.2 Tiau ban /dam twin rrgi b(r th(re hien cac cong vice Internal Audit subcommittee performs the work: Danh gid doe rap ve su phis hap, tuan this cac quy dinh, cac guyet dinh cua DHCD, HDQT; Independently assessing the suitability and compliance with policies and law, decisions of the General Meeting of Shareholders, Board of Directors; Kiem tra, xem xet,danh gia sir day dn. hieu qua va hieu loc cna he thong kiem soat noi bo va hoan thien he thong nay; Inspecting, reviewing and assessing the adequacy, efficiency and effectiveness of the internal control system and improve the system; Danh gid vice Wan thu coa HDKD d6i vo i cac chinh sach va quy trinh noi bo; Assessing the compliance of business operation for policies and internal process MOt ride kluicsome other work: Danh gia vice wan thu quy dinh, kiem soat cac bin phdp darn bac) an town tai sail; Assessing the compliance with regulations of the law and control of asset safety measures; Danh gia kiem town not bo ThOng qua thong tin tai chinh va qua trinh kinh doanh. Assessing Internal Audit through the financial and business/ operational information. Danh gia hieu qua cna cat hoat d'ong; Assessing the effectiveness of the activities; Thuc hien kiem soat he th6ng cong nghe thong tin; Performing the control of information technology system; Dieu tra cac vi pham trong nqi bo cong ty chong khodn; Investigating violations inside the securities company; Thoc hien kiem town noi be) cong ty chimg khodn; Performing internal audit inside the securities company II. Cic Nghi quyet/quyet dinh ena floi dong quail tri (13ao cdo 6 thing cuoi nam 2014): 's resolutions and Memorandum (Second 6 months report year 2014) Stt So Nghi quvet/ quy Ngity Ni ei dung Quyet dinh Date Content No. of resolutions and Memorandum 1 05/2014/QD- 22/7/2014 HDQT DOng yr, cho Um! ty vat 1112,511 han cua COng ty Chimg khozin Inter-Parcific, Ngan hang Maybank DOng y cho COng ty mo p TK (USD-VND) tai Ngan hang Maybank- CN Ha Nai

6 3, 4 Giao cho TOng giam doc thqc Wn ky kétt cdc, lieu vay von va tra ncy ngan hang cac khoan vay trén. Approve for the short term loan from the Inter- Parcific Securities and from Maybank Approve for Opening bank account (USD and VIVD) at Maybank Ha Noi Branch Assign on the GD to implement the signing for loan and repay the above loan. Chap thuan cho COng ty vay them 2 trieu USD 08/2014/QD- 04/9/2014 cita Ngan hang Maybank theo to trinh 3/9/2014 IIDQT Giao cho Ring giam chic thtrc hien 1(y ket cac tai lieu vay von NIA tra ncr ngan hang cac khodn vay tren Approve the additional short term loan of USD 2 million from Maybank Assign on the GD to implement the signing for loan and repay the above loan. Deng y cho Cong ty vay ngan han cua COng ty 06/2014/QD- 03/11/201 Chirng khoan Inter-Parcific theo to trinh HDQT 4 17/10/2014 cua T6ng giam d6c Giao cho Tong giam (I& thcrc hien 14 ket cac tai lieu vay von va tra nc7 nuan hang cac khoan vay tree. Approve the short term loan from Inter-Parcific Securities Assign on the GD to implement the signing for loan and repay the above loan Thay danh sach nguiri co lien quan ciia Ciing ty dai chung theo quy Binh tkd khoiin 34 Olt', 6 Luat Chtimg khoan (Bao cdo 6 Mang cu6i ndm 2014): /lien tai SBBS chtra la COng ty dai chung. Changing on the list of related persons as stipulated under Point 34, Article 6, Securities Law (Second 6 months report year 2014): Presently SBBS is not a listing company yet. IV. Ciao dich cua c8 thing n8i bo va ng iri lien quan (Bao cao 6 thing cucii noun 2014): KhOne. CO Transaction activities of internal shareholders and related people (second 6 months report year 2014): Alone 1. Dante sóch co dong ki vet ngirei co lien quail List of internal shareholders and related people.

7 Ten to chirc/ca!man Chirc vu tai S6 CMND/ Ngay cap Nai cap Dia chi So CO l le sa Ghi chit khoan cong, tv- DKKD CMND/ CMND/ Address phieu SO hail CO, Note giao dich (neu co) ID or DKKD DKKD him cuei phieu cuei chimg Title (if Business Issuance Issuance ky ky Stt Name of organizations / Individuals khoan (lieu ca) Securities trading account any) Licence No. date place Number of stock own at the end of period The ratio of I stock own at the end I of period (f any) 1 Nguyen Hoai Nam CHI tich CA Nguyen Hoai Nalli I-IDQT 05/12/2005 TP.HCM ,4% Chairman 2 Phircmg Anh Phat Thanh vien CA Phuong Anh Phat BKS 03/04/2002 TP.HCM % Member of HCMC SB Police 3 Trail Thi Viet Anti 'Hianh vien CA Tran Thi Viet Anh HDQT TP.FICM ,16% Member of 20/01/2003 HCMC Police HCMC Police 1 CA CO dong la ngureti Tran Thi Viet Thu TP.HCM % có lien quan Tran Thi Viet Thu HCMC co dong not 07/01/2002 Police Shareholder is the related person to internal shareholder

8 Gino dich co KhOng co Stock transaction: None Stt No. Ngtriri th c hien giao dick Name of trading person Quan he vei co dong noi bo The relationship with internal.shareholder s6 co phieu so' him dau Quantity of stock own at the beginning, ty. period, S6 ci) phieu Ty le Quantity of Ratio stock SO co phieu sa hiru kjr Quantity of stock own at the end Of period S'() c0 phieu Ty le Quantity of Ratio stock 14 do tang, giam (mua, ban, chuyen thuirng...) Reason of stock raising, reducing (buy, sell, transfer, reward,...) -r- Clic giao dich khtic: (Cdc glib Bich ciia co dong ntii bti/ dong ltin vir ngutii lien quail v chinh COng ty). KhOng co Other transactions (Transaction b, internal shareholder/ large shareholder and related people with SRBS): None V. Cac van de can luu y khic (Bd. () cao 6 thing cuo'i näm 2014) Others (Second 6 months report/ Year 2014): None HO HOI BONG QUitN RMAN CONG CO PHAN "3 CHING KHOA SA1GONBANK %. BERJAYA /4, 1-7:P NGUYEM HOAI NAM