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Maybank Kim Eng

Maybank Kim Eng Securities Limited 4A F1-15+16, Vincom Center Dong Khoi 72 Le Thanh Ton Street, Ben Nghe Ward, Dist.1, Ho Chi Minh City, Vietnam Telephone +84 8 44 555 888 www.maybank-kimeng.com.vn

CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG

BAO CAO TEllioNG NIEN

NAM 2016

Maybank Kim

Eng Secu

rities Limited

Maybank Kim Eng

Maybank Kim Eng Securities Limited 4A Fl-15+16, Vincom Center Dong Khoi 72 Le Thanh Ton Street, Ben Nghe Ward, Dist. I, Ho Chi Minh City, Vietnam Telephone +84 8 44 555 888 www.maybank-kimeng.com.vn

ML.JC LVC

NO DUNG Trang

I. THONG TIN CHUNG 01

II. TiNH HINH HOAT DONG NAM 2016 10

III. DANH GIA CUA BAN GIAM DOC 21

IV. QUAN TRI CONG TY 27

V. BAO CAO TAI CHINH DA DU'QC KIEM TOAN 27

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BAO CAO THVONG NIEN

Cong Ty TNHH MOt Thanh Vien Chung Khoan Maybank Kim Eng

Nam bao cao: 2016

I. THONG TIN CHUNG

1. Thong tin khai gnat

Ten giao dich: Cong ty Trach nhiem huu han MOt thanh vien Ching khoan Maybank Kim Eng.

Ten viet tat: MBKE.

Giay phdp thanh lap va hoat deng so 117/GP-UBCK do Uy ban Ching khoan Nha nu& cap ngay 03 thang 01 nam 2014, Giay phep dieu chinh Giay phep thanh lap va hoat dOng so 05/GPDC-UBCK do Uy ban Chung khoan Nha nuac cap ngay 05 thang 05 nam 2014, Gidy phep dieu chinh Gidy pile") thanh lap va boat dOng so 05/GPDC-UBCK do Uy ban Ching khoan Nha nuac cap ngay 15 thang 01 nam 2015, Giay phep dieu chinh Giay phep thanh lap va hopt (rang so 39/GPDC-UBCK do Uy ban Chang khoan Nha nubs cap ngay 08 thang 09 nam 2015.

Van dieu le: 829.110.000.000 VND (tam tram hai muoi chin ty, mot tram muoi trieu dOng).

Van dau to cua chit so hiru tai thori diem 31/12/2016: 926.550.519.769 VND (chin tram hai muoi sau ty, nam tram nam muoi trieu, nam tram muoi chin nghin, bay tram sau muoi chin dOng).

chinh : tang 4A-15+16, Vincom Center DOng Khoi, so 72 Le Thanh Ton, Phuerng Ben Nghe, Quan 1, Thanh pha HO Chi Minh.

So dien thoqi: +84 8 44 555 888 +84 8 38 271 020

So Fax: +84 8 38 271 030

Website: www.maybank-kimeng.com.vn

2. Qua trinh hinh thanh va phat trien

Tap doan Maybank Kim Eng

Maybank Kim Eng la tap doan bao gam cac cong ty hoat dOng trong linh vuc chirng khoan va ngan hang dL to trai rang tren toan cAu vbi cac van phong tai Malaysia, Singapore, HOng Kong, Thai Lan, Indonesia, Philippines, An DO, Viet Nam, A Rap Xe Ut, Anh va M. Maybank Kim Eng da hien dien tai Chau A trong suat hcm ban thap kST va la nha cung cap dich vu hang dL ve Tai Chinh Doanh Nghiep, Thi Truerng Ng, Thi Tnremg Van, Cong Cu Phai Sinh, Moi Gibi Chirng

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thugng nien nam 2016 (tiep theo)

Khoan Cho Khach Hang Ca Nhan Va Khach Hang Dinh Che va Nghien Cfru Phan Tich.

Maybank Kim Eng dugc sa huu hoan toan bai Maybank, mot trong nhttng tap doan ngan hang hang au Chau A vai mpg krai tai 20 quOc gia, phyc vu hcm 22 trieu khach hang tren than cau; dirng thin 4 khu vac Dong Nam A xet ve qui mo tong tai san. Maybank lien tiep nam trong danh sach 20 ngan hang manh nhat The giai theo danh gia cita Bloomberg Markets nam 2013 & 2014,

Maybank Kim Eng Viet Nam

Cong ty TNHH MTV Chung khoan Maybank Kim Eng (MBKE hoac Cong ty) tien than la Cong ty Co phan Chung khoan Kim Eng Viet Nam (KEVS) dugc thanh lap theo Giay phep s6 71/UBCK-GP ngay 14 thang 12 nam 2007 cila Uy Ban Chirng khoan Nha Nu& (UBCK) va chinh thirc di vao hoat dOng thang 4 nam 2008.

Sau khi tap doan tai chinh Malaysia Maybank Group mua lai toan 1)0 c6 phan cua Kim Eng Holdings Limited - hien nay la Maybank Kim Eng Holdings Limited, tap doan tai chinh Malaysia Maybank Group kiem soat 49% c6 phan tai KEVS thong qua Maybank Kim Eng Holdings Limited, Cong ty dugc ai ten thanh Cong ty Co phan Chirng khoan Maybank Kim Eng theo Giay phep dieu chinh s6 105/GPDC-UBCK ngay 10 thang 8 nam 2012.

Ngay 3 thang 1 nam 2014, MBKE di chinh fink dugc UBCKNN chap thuan hinh tittle so him Ging ty TNHH MTV Chun khoan Maybank Kim Eng theo Giay phep thanh lap va hot Ong so 117/GP-UBCK, trer thanh cong ty chirng khoan 100% von nugc ngodi dau tien tai Viet Nam

Trong sttht holt 9 nam qua, MBKE da xay dgng dugc sir hien dien manh me tai thi trugng Viet Nam, voi try sa tai TP HCM, 5 chi nhanh va gAn 200 nhan vien.

Cu6i nam 2014, MBKE da tien hanh tang von tit 300 tS, len gan 830 ty d6ng (15 trieu USD len 40 trieu USD) va dy kien nang len 1.100 ty (50 trieu USD). MBKE luon duy tri dinh huang phat trien thtrang hieu tai Viet Nam; tiep tic dau tu manh trong yang nam nam tai cho viec phat then ha fang cong nghe thong tin (CNTT), tang cuerng dei ngit nghien ciru phan tich de 1th trg tot han ntua cho cac khach hang dinh the va ca nhan.

V6i sir hgp lgc dm Tap doan, Cong ty da lien tgc giai thieu tai khach hang Viet Nam nhfing san pham, dich vg da trien khai thanh cong tai cac thi tnrong khu vac. MBKE la ding ty chirng khoan dau tien dua ra thi tnreyng dich vi giao dich trgc tuyen tren nen tang IOS va Android, vgi ten g9i KE Mobile, img dung mang den cho nha dau tu kha nang giao dich ngay ca khi Bang di chuyen met each an toan, bao mat va truy cap thong tin theo thei gian thgc.

MBKE cung la cong ty chirng khoan dau tien tai Viet Nam cung cap dich vi "met cua duy nhat" giup nha dau tu truy cap cac nghien ciru va thong tin thi trueng tong

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thuang nien nam 2016 (tiep theo)

hop qua mot *rig dung di dOng vori ten pi "Market Insight — Thi truang thong minh" — tinh nang timg doat duoc nhieu giai thuang uy tin tai Singapore.

Nha khong ngirng doi moi, t6i uu hoa dich vu, tien ich cho khach hang, MBKE da nhan duoc six tin Mang va Ung 110 cua dong dao nha dau to trong va ngoai nuot the hien qua cac giai thuang &roc ding nhan sau:

• Giai thuang "Cong ty Mai gioi Khach hang ca nhan T6't nhat Viet Nam" (Best Retail Broker) do Alpha Dong Nam A (Alpha Southeast Asia) binh chon to 2011 den 2016.

• Giai thuang ROng Vang (Golden Dragon Awards) lien tuc tit 2011 den 2015 do Thai Bao Kinh Te Viet Nam thgc hi'en.

• Top 100 san pham, dich vu TIN&DUNG 2009, 2010, 2012 - 2016 do nguai tieu dung Viet Nam binh ch9n voi su to chirc dm Thai Bao Kinh Te Viet Nam.

• Giai thuorng Best Mobile Trading Platform 2015 do Tap chi Global Banking and Finance Review binh chon.

• Giai thuang "Cong ty Moi gioi Chung khoan tot nhat Viet Nam 2016" (The Asset's Triple A Country awards).

MBKE tu hao da that six tao dung duoc niem tin not nha dau tu ding nhu tat ca cac d6i tac trong va ngoai nuOc - yeu to nen tang quan tr9ng cho six phat tri6n mph me va ben \Tang trong Wong lai.

3. Nganh nghe va dia ban kinh doanh

MBKE &roc phep hog dOng kinh doanh chirng khoan bao gom cac nghiep vu sau:

Moi gioi chirng khoan.

Tu doanh chimg khoan.

Tu van dau tu chUng khodn.

Bao lanh phat hanh chimg khodn.

Ngoai ra, Cong ty c6 the cung cap cac dich vu khac c6 lien quan den chirng khoan nhu kru14, nghien dru, to van tai chinh, ngan hang dau tu.

Hien tai, ben canh HOi so tai TPHCM, MBKE c6 5 chi nhanh teen toan qu'6c:

- Chi nhanh Cho' Urn

Khu vixc D7 (Tang 1), Cao eic Tan Da, so 86 Tan Da, Phuang 11, Quan 5, TP. HCM

Tel: (08) 62 610 778- Fax: (08) 62 610 968

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CONG TY TNHH MOT THANH VIEN CHUG KHOAN MAYBANK KIM ENG Bao cao thueng nien nam 2016 (tiep theo)

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- Chi nhanh Phu Nht4n Se 456 Phan Xich Long, Phueng 2, Quan Phil Nhuan, TP. HCM

Tel: (08) 62 927 029 - Fax: (08) 62 927 019.

- Chi nhanh DOng Nai Se 139 Ha Huy Giap, Khu pile 4, Phixemg Quyet Thang, TP. Bien flea, Deng Nai

Tel: (061) 39 40 490 - Fax: (061) 39 40 499

Tel: (064) 35 77 677 - Fax: (064) 35 77 666

- Chi nhanh An Giang

fang 3, Tea nha NguyL Hue, se 9/9 TrAn Hung D4o, phuemg my Xuyen, TP. Long Xuyen, An Giang

Tel: (076) 39 22 229 - Fax: (076) 39 22 899

- Chi nhanh HA Ni

Tang 3, Tea nha 14 - 16 Ham Long, Phue:mg Phan Chu Trinh, Quan Hoan Kiem, Ha Nei

Tel: (04) 39 44 05 06 - Fax: (04) 39 44 05 08

4. Thong tin ve me) hinh quan tri, bO may quail 157

MBKE la Cong ty trach nhiem him h4n met thanh vien 100% yen se hail nuac ngoai, co quan c6 tha'm quyen cao nhat la Hei deng thanh vien do Chu so httu be nhiem.

Su de to chirc Cong ty nhu sau:

4

CHU SO' HUU

H91 HONG THANH VI EN

BAN KIEM SOAT

TONG GIAMobc U5 KM( HO! DONG THANH VIEN

HONG KIEMTOAN NOI BO

BO PHAN TIP VAN DOANH NGHI ,CP & NGAN HANG OAU TLY

BO PHAN MOI Glarl KHACH HANG CA

NHAN

---7711.1111111111111r-130 PH N NNN KHACH HANG DINH

CHE

PHONG HANN CHINH DOI NGOAI

• PHONG NHAN

St/ PHONG NGHIEN CU'U

KlidCH HANG I

CA NHAN KHACH HANG

DINH CHE

PHONG QUAN TIN DUNG Et QUAN

TRI RUI RO PHONG PHAP CHE PHONG NGHIEP VU PHONG KIEM SOAT NOI

BO PRONG CONG NGHE

THONG TIN PHONG TAI CHINN Kt

TOAN

PHONG PHAT -MIEN SAN PRAM

PHONG CRAM SOC KHACH HANG

SCi DO TO CHeC CONG TY

5

pa7aut7 sagunoas 5u3 uoppegifeld

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BO may pan VT ram chi tiet duai day:

4.1 HO gong Thanh vien

Cac thanh vien Hoi d6ng thanh vien trong nam va vao ngay lap bao cao nay nhu sau:

Ho ten Chitc vy

Ngay ba nhiem/tit nhiem

Ong Ronnie Royston

Chit tich

B6 nhiem ngay 31 thang 03 nam 2014

Ong Ong Cheow Kheng

Pho Chu tich

Tir nhiem ngdy 29 thang 07 nam 2016

Ba Ami Moris

Thanh vien

Bo nhiem ngdy 13 thang 01 nam 2014

Ong Jeffrey Goh Cho Kiat Thanh vien

B6 nhiem ngay 13 thang 01 nam 2014

Ong Goh Keat Jin

Thanh vien

Tix nhiem ngay 15 thang 08 nam 2016

Ong Alexander Panasko

Thanh vien

Bo nhiem ngdy 15 thang 08 nam 2016

Can Cu theo Quy& dinh so 05/2016/QDCSH ngdy 30 thang 12 nam 2016, cac thanh vien throng nhiem duoc tai bo nhiem cho nhiem ky thir hai (2017-2019).

4.2 Ban Tong Gidm doc va Ke town trico'ng

Cac thanh vien Ban T6ng Giam d6c va Ke toan Truang trong nam va vao ngay lap bao cao nay nhu sau:

Ho ten Chirc vu

Ngay ba nhiem/Tie nhiem

Ong Kim Thien Quang T6ng Giam d6c

136 nhiem ngay 12 thang 8 nam 2015

Ong Nguy8n Van Manh Pho T6ng Giam d6c 136 nhiem ngay 1 thang 9 nam 2010

Ba Trail Thi Thu Hang Giam d6c Tai chinh B6' nhiem ngay 1 thang 6 nam 2015

Ba Tran Thi Ngoc Huang Ke toan truang

136 nhiem ngay 10 thang 3 nam 2014

4.3 Ban Kiam sodt

Cac thanh vien Ban Kim soat trong nam va vao ngay lap bao cao nay nhu sau:

H9 ten

Chic vy Ngay ba nhiem

Ong Mohamad Yasin bin Tru(Mg ban 136 nhiem ngay 28 thang 02 nam 2014 Abdul lah

Ba Nguy6n Tuy'et Van Thanh vien Bo nhiem ngdy 13 thang 01 liana 2014

Ba Quach Thanh Bao Tran Thanh vien BO' nhiem ngay 03 thang 08 nam 2015

Can cu theo Quyet dinh so 05/2016/QDCSH ngdy 30 thang 12 nam 2016, cac thanh vien throng nhiem duoc tai bo nhiem cho nhiem kji thir hai (2017-2019).

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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuang nien nam 2016 (ti6p theo)

5. Dinh hufing phat trim

5.1 Mitc lieu chung

Cung cap cac dich vu chuyen nghiep tao ra gia tri cho khach hang cila Cong ty not rieng va dm Tap Doan not chung. Huang loi ich h9p 1ST va hop phap tix viec cung cap dich vu chuyen nghiep cho khach hang. TiL Ten vi tri din dau trong tat ca cac hog dOng kinh doanh. Quan tri dOn bay tai chinh hgp 1ST dat hieu qua cao trong hog dOng kinh doanh. Xay dung ngu6n loc thong minh va hieu qua tren toan cau.

5.2 Moc lieu WI chat, hrvc phdt trim

Ki'en dinh voi dinh twang khong tham gia vao hog dOng to doanh d6ng tiled xay dung va phat trien mph mang tu van tai chinh va ngan hang dau tu. Tap trung nang cao chat h.rong to van dau to cua doi ngu phan tich va moi gioi chimg khodn, phoc vu tat nhat nhu cau cua cac nha dau tu qu6c te, khang dinh vai tro khong th6 tach red cua MBKE trong moc tieu troy thanh cira nga ASEAN cila tap doan. Phat trim manh ding nghe thong tin a dap Ong nhu cau dau tu dm the N cac nha dau tix Hoan thien he theing va ch6 quail tri rui ro ding nhu cac cong cu nghien cfru phan tich nham dam bao so phat trier' ben \Tang truac nhirng bin dOng va rui ro tiLi An ten thi trung chimg khodn. Mo rOng va da dang hoa chin hroc khach hang va c6 1(6 hoach tip thi khach hang hieu qua.

6. Cfic rui ro kinh doanh trong linh vwc chfing khofin cfia MBKE

Rui ro trong linh vgc kinh doanh chimg khoan da ding, tao ra boi nhiL thanh t6 khac nhau. CO nhtmg rid ro den tit ben ngoai Cong ty nhu rui ro thi tnrang va rui ro thanh khoan cua thi truang. Cting c6 nhang rui ro den tit ben trong Cong ty nhu rui ro tin dung, rui ro van hanh, rui ro tuan thu, rui ro thanh toan.

Nghiep vu quan 1ST rui ro la nghiep vu khong the thiL cho toan b6 hog dOng kinh doanh cua Cong ty. Cong ty da xay dung he th6ng ki6m soat nham dam bao so can bang O. mire hop 1ST giira chi phi rui ro phat sinh va chi phi quan 1ST rui ro. Ban Tong Giam doc lien toc theo dai quy trinh quan 1ST rui ro cua Cong ty a dam bao so can bang hop 1ST giaa rui ro va kiem soat rui ro.

Ban T6ng Giam dOc xem xet va thong nhat ap dung cac chinh sach quan 1ST cho nhang rui ro not tren nhu sau:

6.1 Riii ro thi Throng

Rui ro thi truemg la rui ro ma gia tri hop 1ST dm cac lung tin trong tuang lai cua mot cong cu tai chinh se bin dOng theo nhting thay d6i cna gia thi truang. Gia thi truang có ban loci rui ro: rui ro lai suit, rui ro tin te, rui ro gia hang hoa va rui ro va gia khac, chang han nhu rid ro ye gia co phan. Cong cu tai chinh bi anh huang

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CONG TY TNHH MOT THANH VIEN CHLING KHOAN MAYBANK KIM ENG Bao cao thuemg nien nam 2016 (tiep theo)

ro thi truing bao gem cac khoan vay va ng, tien giri, cac khoan au to tai chinh ngan hp va ddu tu sin sang a ban.

Day la rui ro phat sinh tix sit bien deng mph cita kinh to vi mo (14m phat, ty gia, ng xdu, lai suit...), chinh sach thue, chinh sach kinh t6... Rui ro thi tru6ng khong the lo4i b6 dtrac va Cong ty da xay dung dei ngu chuyen vien phan tich du bao thi tnremg a de ra cac phuang an du pheng hieu qua. Han nira MBKE khong chit truing thuc hien nghiep vu tu doanh nen khong co rui ro den tit* cac khoan Tau tu.

Rui ro lai suit

Rui ro lai suit la rui ro ma gia tri h9p ly cua cac lueng tien trong tuang lai ctia met cong cu tai chinh se 'Dien deng theo nhang thay d6i cita lai suit thi truemg. Rui ro thi twang do thay d6i lai suit cua C6ng ty chit yeu lien quan den tien va cac khoan tien gui ngan hp dm Cong ty. Day la cac khoan ddu tu ngan hp, va khong dugc Cong ty nam giu nham M1,1C dich thu lgi tir sit tang len trong gia tri.

Cong ty quan 15T rui ro lai suit bang cach phan tich tinh hinh cph tranh tren thi tnxemg de co &rot cac lai suit c6 lgi cho nwc dich cua Cong ty va van nam trong gigi han quan lY rui ro cua minh.

Rui ro ngoeti to

Rui ro ngo4i to la rid ro ma gia tri h9p 1y hoac cac lueng tien trong tucmg lai cua met cong CAA tai chinh bien deng do thay doi ty gia ngo4i to hei doai. Cong ty chit rui ro do sit thay del cua ty gia hei doai lien quan true tiep den cac hot deng kinh doanh cua Cong ty (khi doanh thu va chi phi &me thgc hien bang don vi tien to khac vii deng tien ke toan h4ch toan cita C6ng ty).

Rui ro do sit thay doi ty gia hei doai cita Cong ty la khong ding

Rui ro ve gia co phi"ju

Cac co phieu da niem yet va chua niem yet do Cong ty nam giix bi anh huang bgi cac rui ro thi truemg phat sinh tir tinh khong chic chin ve gia tri ttrcmg lai cua ce phieu dau tit.

Rui ro do sit thay d6i ve gia ce phieu cua Cong ty la khong ding ke vi Cong ty khong c6 ho4t deng tu doanh. Cac co phieu teen cac khoan ddu to tren Bang can de)i ke toan chi la gia tri cua cac ce phieu 10 le ten tai tir triton day.

6.2 Rai ro thanh khoiin act thi triton

Day la rui ro chung cho m9i cong ty chirng khoan. Khi thanh khoan cua thi tru6ng giam m4nh va dot nget thi rui ro cho cac ding ty chirng khoan (CTCK) la rat 16n vOi nghiep vu tu doanh, cho vay ky guy.

Quan diem xuyen suet cita Tdp doan la chi cung cap cac dich vu lien quan den kinh doanh chirng khoan cho nha ddu tu va khong tu doanh. Vi vay MBKE khong gap rui ro vgi nghiep vu to doanh khi thanh khoan cua thi trugng giam. Tuy nhien

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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thugng nien nam 2016 (tiep theo)

thanh khoan cua thi tnremg giam silt cling lam anh htrang den doanh thu va cac hog dOng kinh doanh khac cua cong ty.

6.3 Rai ro tin dung

Rui ro tin dung la rui ro ma mot ben tham gia trong mot cong cu tai chinh hoac hop d6ng khach hang khong thgc hien cac nghia vu cua minh, clan den ton that ve tai chinh. Cong ty c6 rui ro tin dung tir cac hog dOng kinh doanh cua minh (chu yeti d6i vai cac khoan phai thu tir nghiep vu giao dick ky guy) va tir hog dOng tai chinh cda minh, bao g6m tien giri ngan hang va cac cong cu tai chinh khac.

Nhieu cong ty chimg khoan da bi thua 18 rat lan vi khach hang khong can kha nang chi tra cho nhimg khoan vay de giao dich k3"1 quy. Tai MBKE chang toi thirc rat r6 ve rid ro nay tir ngay dau cung cap dich vu giao dich ky quy cho khach hang va chung toi da cai dat he th6ng quan 1ST giao dich k3'1 quy lam theo doi tong du ng, cling nhu cac ty le ky quy theo th6i gian thuc.

6.4 Rai ro van hanh

Day la rui ro c6 mat trong qua trinh hog dOng, van hanh cua moi dog ty chimg khodn. Rui ro nay c6 ngu6n g6c tir thao tac cua d6i ngii nhan vien moi gioi, d6i ngu nhan vien khi nghiep vu h8 trg, tir he th6ng cong nghe thong tin. M6t vai vi du dien hinh la nhan vien moi giOi dat sai lenh, gia mao chit ky khach hang rift tien, nhan vien nghiep vu hach toan sai s6 tien, s6 tai khoan. Cong ty MBKE da co san he th6ng theo dOi va kiem soat cac rui ro van hanh rat chat the bang cac hinh thirc nhu kiem tra cheo trtrac khi duyet lenh, tach bach tai khoan tien giri cua nha dau to kh6i tai khoan tien giri cua cong ty.

6.5 Rai ro tuan thu

Rui ro nay tinh den khia canh phap ly va nhang van ban phap lust dugc ban hanh cho thi trugng chUng khoan (TTCK). Cac C6ng ty chimg khoan (CTCK) can tuan thu nghiem ngat tranh do vO. he th6ng. Hanh vi mot s6 CTCK bat chap quy dinh chtra cho phep ma van cho ra deri nhang san pham dich vu nhu cho vay giao dich ky quy truac day da gay ra ton that nang Ile la bai hoc 16n can ghi nh6.

Tap doan Maybank de cao tinh tuan thu phap lust nuac so/ tai va cac quy dinh cua Tap doan, cua Cong ty. Cong ty MBKE ding da xay dung va phat trien cac b6 phan Quan tri rui ro, Kiem soat not b6, Phap the va Kiem toan nOi b6 de kiem soat chat the rui ro tuan

6.6 Rfii ro thanh khoiin

Rui ro thanh khoan la rui ro C6ng ty gap kh6 khan khi thut hien cac nghia vu tai chinh do thieu von. Rui ro thanh khoan cua Cong ty chit yeu phat sinh tir viec cac tai san tai chinh va ng phai tra tai chinh c6 cac thai diem dao han lech nhau.

Cong ty giam sat rui ro thanh khoan thong qua viec duy tri mot lugng tien va cac khoan tircmg duang tien va cac khoan vay ngan hang of mirc ma Ban T6ng Giam

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thirang nien nam 2016 (tiep theo)

d6c cho la du a dap ling cho cac hot ciOng cua Using ty va de giam thi'L anh huang cua nhitng bien dOng ve lung tien.

II. TINH HiNH HOAT BONG TRONG NAM 2016

1. Khai gnat kinh to vi mO va hot Ong dm Cong ty nam 2016

1.1 Kinh t'J vimoi

Kinh to vi me 2016 tier. tic on dinh, tang truemg GDP d4t 6,21% thAp han mic tieu chu yeu la do thai tit kh8ng thuan lgi da anh huang den khu vi..rc ming lam nghiep va thily san. CPI tier, Ale dugc kiern soat tot, hoan thanh mic tieu da de ra la dual 5%. FDI clang ky va giai ngan dal mitc cao ky 1ic trong khi do Can can thucmg mai clgt thang du 2,6 ty USD la nhfing yeu to quan trong giiip Viet Nam duy tri can can thanh toan. Nam 2017 dugc city bao tier) tic on dinh, tang truang GDP &re tang khoang tir 6,5% - 6,7%, mic tieu lam phat Chinh Phu de ra dual 4%.

Kinh to tip tip xu hwe'ng tang truging On dinh

Theo T6ng cic Th6ng ke, tong san phArn trong nu& (GDP) nam 2016 uac tinh tang 6,21% so vai nam 2015, thacp bon mic tieu tang twang da de ra (6,7%). Trong de, Q1/2016 tang 5,48%; Q2/2016 tang 5,78%; Q3/2016 tang 6,56%; Q4/2016 tang 6,68%. Thai tiet khong thuan lgi la nguyen nhan khu vt,rc nong, lam nghiep va thity san, chiem 16,3% tong GDP, tang tnrong cham nhat ke tir nam 2011 tra lai day voi mac tang chi 1,36%. Khu vise cong nghiep va xay chiem 32,7% Ca cran GDP, tang 7,57% so voi ding kSr thiap hcm mire tang 9,64% cua nam tritely. Khu vtrc dich vi, chiem 40,9% ca cAu GDP, tang 6,98% so voi ding kST. Qu6c hei da thong qua muc tieu tang twang 6,7% cho nam 2017.

ChAng tai cho rang tinh hinh vi mo nam 2017 se tier) tic xu huang on dinh, tang truang GDP se duy tri khoang 6,3%-6,5%. Chinh sach tien to nal long van la cong

yeu kich thich tang twang kinh ye. Ngoai ra, gia dau dirge du bao duy tri binh quan khoang 57,5 USD/thong d6i vai WTI va 59 USD/thimg d6i vai Brent trong Q2/17, ran lugt tang khoang 27,6% va 36,5% so voi binh quan 2015 cling se la yeu t6 thuan Igi giup dg.t 1111,1C tieu tang tntang kinh te.

1 Trich tir Bao cao chin luvc 2017 dm PhOng Nghien ciru Maybank Kim Eng

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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thtramg nien nam 2016 (tiep theo)

Tra'ng truong GDP (oleo) than Win kE ho4ch do khu wit n•5ng nghiep bi anh hiring bol UV:4 tiet

9

8

e .6s,‘ e e e „> e). eeee 4- Nguon: GSO, MEN tong hap

Lam phat dugc kiem soat tot

Lam phat tiep tic dugc kiem soat tot trong nam 2016. Chi so gia tieu dung (CPI) thang 12/2016 tang 4,74% so voi thang 12/2015, van clued Imre tieu da de ra (<5%). Trong dO, gia ca cac nh6m hang do nha ntrac quan VT tang manh nhAt la thuOc va dich vi y to va gido dic vai mix tang lan luvt la 55,7% va 77,3%. Lam phat nam 2016 tang chi' yeu do gia ca cac nh6m hang dugc nha nu& quan VT tang mph. Cv the, lam phat ca ban (loai trir ltrang thgc-thgc pham; nang lugng va mat hang do NN quan ly bao gam dich vi y to va dich v1,1 gido dvic) chi tang 1,84% so vai ding kST.

Mpc tieu lam phat cho ca nam 2017 dugc de ra la clued 4%. Chung toi cho rang invc tieu nay tucmg d6i thach thirc trong bOi canh gia dau va cac loai hang hoa khac dang c6 xu huamg hOi phijc. Mac du 4y, dieu nay khong c6 nghia rang mic tieu teen la khong kha thi khi nam 2017 se it chiu dp hrc tir nhom cac mat hang do nha nu& quan VT (y te, gido dvc) nhu trong 2016.

Lam phat tiep tuc dttdc kigin soat tot 6%

5%

4%

3%

2%

1%

0%

-1% .4s tt .4s er ntct .014t NO tr) u, in u, .1) st) u) ter CO r.0 cp cr or) (0 c0 cd

g4.41$1015IA-Cr_450ckittcto.611164143lttlIA IYgur n: GSO, MBKE big hap

•••

11

Maybank Kim

Eng Securities Limited

CONG TY TNHH MOT THANH VIEN CHING KHOAN MAYBANK KIM ENG Bao cao thu6mg nien nam 2016 (ti'ep theo)

FDI cao ky lty

Nam 2016 la nam tuang d6i thanh dog 6 khia cAnh thu but d6ng von dau tu trtrc tiep nu& ngoai vao Viet Nam. V6n FDI 'Tang ky cap mai va tang them, dat 20,9 ty USD, giam 8% so vai ding ky nam truac. Dang chu Y, Han Qu6c la nuac có von dL to 16m nhat (hon 5,5 ty USD) vai nhUng du an lon dugc cap phep dau tu cilia Samsung R&D (300 trieu USD), LG display Hai Ph6ng (1,5 tY USD), LG Innotek Hai Mang (550 trieu USD), Seul Semiconductor Vina (300 trieu USD).

Tuy viay, von FDI giai ngan trong nam nay trerc tinh dAt 15,8 ty USD, tang 9% so vai nam 2015. Day la mdc FDI cao nhat tir truOc den nay.

FDI cao loc

30,000

25,000

20,000

15,000

10,000

5,000

20%

15%

10%

5%

0%

-5%

-10%

2010 2011 2012 2013 2014 2015 2016

mom

FDI Bang giai ngan -Tang trtpdeng FDI giai ngan (cOt phai)

Aiguiren: G50, MEtikE tong hop

Can can thuong mai dan dAt bai khu vtrc kinh to cc') von dAu to nuov ngoai.

Thuong mai qu6c t6 dat thAng du 2,6 ty USD. Theo do, kim ng4ch hang hoa xuAt khdu uac tinh ca. nam 2016 d4t 175,9 tY USD, tang 8,6% so vai nam truac , cao hon mdc tang nam 2015 la 7,9%. Trong dO, khu vtrc có von d'au tu nuac ngoai (ke ca dau the)) tip tpc clan &At xudt khau, dat 125,9 tY USD, tang 10,2% so vai nam 2015. Khu vuc kinh to trong ntrac dat 50,0 tY USD, tang 4,8% so vai nam tnxOc.

Tinh chung nam 2016, kim noch hang hod nhap khAu -"rare tinh dat 173,3 ty USD, tang 4,6% so vai nam truac. Cang nhu xuat khau, khu vtrc có von dau tu nugc ngoai clan &At hoAt dOng nhap khdu vai kim ngAch dat 102,2 ty, USD, tang 5,1%. Trong khi do, khu vtrc kinh to trong nugc dat 71,1 tY USD, tang 4%.

Muc tieu xudt khdu nam 2017 se tang 6%-7%.

CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuemg nien nam 2016 (tiep theo)

Maybank Kim

Eng Securities Limited

Can can thu'cfn9 moi th4n9 dtr 2,6 4 USD l

1 4.0

2.0

0.0

-2.0

-4.0

-6.0

-8.0

-10.0

-12.0

alio 0.0

2012 2013 2014 2016

Nguon: GSO, filSkE tarng hpp

1.2 Thi trwang chirng khocin Viet Nam nam 20162

2016: MOt dam thu4n kri cho kenh dAu tn. CK

2016 tiep tuc la mot nam tucmg doi thanh cong cua kenh dau tu chimg khoan neu so sanh vgi cac kenh dau to not dia khac ma NDT ca nhan co the tham gia. Cu the lay chi s6 thi trugng la VN-Index lam dai dien thi mirc tang trong ca nam 2016 xap xi 15%, can luu y mire tang nay chua "tinh them" phan c6 tirc bang lien mat dugc cac cong ty niem yet chi tra (khong thirc hien dieu chinh tren VN-Index) va do do ty suet sinh lgi trung binh cua thi trugng se 6 mirc 18-20%.

Ngay ca khi dimg con s6 15% de so sanh, six hieu qua hon clang la dieu de nhan they. CS kenh tien giri ngan hang mire sinh lgi trung binh khoang 6,5%; Ngoai to (cg the la Ong USD) du co doi chut bien Ong lan hcm vao cu6i nam nhung tinh trgn vcn ca nam 2016 chi ghi nhan mirc nhich tang 1,5% (dira tren bien dOng ty gia USD/VND tai Vietcombank). Vo i kenh dau tu vao yang, con s6 sinh lgi co an tugng hon khoang 10% nhung ding can hiu y ve rui ro chenh lech gitta gia mua vao Ira ban ra d6i vai viec kinh doanh yang vat chat tai Viet Nam. 6 kenh dau tu not dia cu6i ding la bat dOng san, c6 sir phan hoa rat manh khi tinh hinh nhin chung kha am dam tai phan khoc can h0 cao cap (gia them chi da giam nhe trong 2016), tucmg doi on dinh tai phan kluic can h0 trung cap va c6 sir tang gia dang ke tai phan khuc dat nen 6 mot s6 khu vgc, du vay theo tinh toan cua chUng toi mite sinh lgi trung binh cua kenh dau tu bat Ong san trong nam vao khoang 6%.

2 Trich to Bao cao chitin lmjc 2017 dm Phong Nghien cuu Maybank Kim Eng

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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bac cao thuong nien nam 2016 (tiep theo)

Voi birc tranh vira neu, co the thay du viec dau to chirng khoan thuc to chua bao gi6 la a dang, day van la kenh dal tu "sang nhdt" vOi cac nha dau tu ea nhan tai Viet Nam.

Nhtrng "do kho" da tang

Nhu da luu ST, VN-Index tang xdp xi 15% trong nam 2016 va day la met ket qua kha tat neu so vai nhirng gi chi s6 nay thuc hien truov do trong nam 2014 (+7,7%) va 2015 (+6,1%). Neu chi don thuan nhin vao chi s6 lam thu6c do tham chieu, TTCK 2016 la nhfing giai dieu vui hem dang ke.

Dau vay, dieu Wang chirng nhu "nghich 1ST" lai xay ra khi thuc to mire de kh6c liet danh cho nha dau tu da tang len dang ke trong nam nay. Da khong con nhting "phan thtremg dai tra" cho s6 dong ma thay vao do chi CO nhang phan thuemg 16n danh cho met phan nh6 hem cac co phieu tren san. De phan hoa da tang rat manh trong nam 2016 khi du chi s6 tang mph 15%, van e6 den 324 ma giam so vai 331 ma tang. Tuang quan nay trong nam 2015 la 258 ma giam va 334 ma tang.

2016 ding la nam ghi nhan nhieu "cau chuyen khong vui" lien quan den cac ri ro lie mat dao due cua doanh nghiep va khien kh6ng it nha dau tu chiu thua to nang ne tai cac c6 phieu nay bat Ice diem s6 thi tnreing van tang kha.

Vai mire de phan hoa cao va hang boat cac "clang rui ro" med xudt hien, chin thang trong nam 2016 that su chi c6 a met b'Y phan nh6 the c6 phieu cua nhUng cong ty CO nen tang co ban rat \rang chac di kern vai trien v9ng kinh doanh sang lang trong tiled gian t6i.

QuST cu6i ding cua nam 2016 la met "not tram" trong ban nhac vui cua nam 2016 khi trai voi ket qua tang manh tru6c do, VN-Index da thoai lui tr6 lai 3,2% trong quST nay. Dau vay chUng toi cho rang day la "khoang lang" rat can thiet a thi truemg co the tim den cac vfing diem cao hon trong nam 2017.

1.3 Hoyt dOng kinh doanh cent MBKE

Hoi nhOp vi muc tieu phat trien ben O.-mg

Viet Nam a va van luon to thi truemg quan trong trong chin luoc tr6 thanh ngan hang dau to hang dau khu vue cua Maybank Kim Eng. Su quan tam va h8 try chi dao sat sao cua Tap doan el:mg vai viec lien Ale tang von trong thori gian qua (tir 300 ty len 829 ty) lchang dinh niem tin va cam ket clan tu lau dai cua Maybank Kim Eng tai thi truemg Viet Nam. Maybank Kim Eng se tiep tic day manh phat trien thuong hieu cua minh tai Viet Nam va se tiep Arc dau tu manh trong yang nam nam tad cho viec phat then ha tang CNTT, tang ctrong dei nga nghien cfru phan tich de h8 try tot hurl nita cho the khach hang ca nhan va to chine, lam cau not cho the doanh nghiep Viet Nam tiep can v6i cac co hei tai ASEAN ding nhu ket not cac nha dau tu nu6c ngoai muan dau to vao Viet Nam.

Kien dinh vai 'nue tieu phat then tau dai va ben yang cua Tap doan tai Viet Nam, nam 2016 ghi nhan su hei nhdp sau sac cua MBKE vao he th6ng mang ltrai toan

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cap thuang nien nam 2016 (ti"6p theo)

cau cua Maybank bang viec dua vao ap citing hang loat nhang chinh sach nhan str, quart tri rui ro va quan tri tai chinh ding vai toan Tap doan.

Cong dong Kinh to ASEAN chinh tilde &roc hinh thanh vao cuai nam 2015 them mat 1L nua khang dinh Viet Nam la diem den lY Wang d6 dau tu. Dieu nay khong chi dung vai cac doanh nghiep, cac quy dau tu, nha dau to to chirc ma ca d6i vai rat nhieu nha dau to ca nhan, dac biet la cac nha dau tu Thai Lan. CUng vai hang loat cac dg an dau tu lon cua cac doanh nghiep Thai thi cac chuyen vieng tharn, khao sat dm cac nha dau tu ca nhan Thai tai thi truang chfing khoan Viet Nam da gia tang rat nhieu trong nhi-mg nam gan day.

Don dau xu htrang nay, Maybank Kim Eng da tien phong thanh lap ba phan chuyen trach phpc vg khach hang nuac ngodi la nhang ca nhan, to chirc c6 co the hoat (tang, ra guy& dinh linh hoat theo thi truang. Ngoai viec thuang xuyen t6 chirc cac chuyen di tharn thgc to doanh nghiep cho cac nh6m khach hoac ca nhan nha dau tu quan tam, Maybank Kim Eng da chi" (tang len Ice hoach tiep can nha dau tu Thai Lan bang viec chu clang giai thieu, dua cac DNNY gap gOr cac nha dau tu Thai Lan ngay tai Bangkok. H6i thao "Ca h6i dau tu tai thi truamg chimg khoan Viet Nam" ngay 3 thang 11 nam 2016 tai thii do Bangkok, Thai Lan la mat vi du.

Tai car cau cue theo kip xu the phat trien cua Cong Ng14 SO

Chung ta dang sang trong ky nguyen ky thu4t sa. Su ket hop cua cac thik bi thong minh, ling citing va phuong tien truyen thong xa hai dal lam thay dai cach chung ta sang va lam viec rat nhieu. Tai co cau de xay dtmg mo hinh kinh doanh theo kip sir phat trien cua cong nghe s6 la xu huong chti dap cua rat nhieu doanh nghiep, dac biet la khai cac to chirc tai chinh, ngan hang. So h6a se la clang lye quan trong tien trinh hien thgc h6a tam nhin 2020 dm Maybank Kim Eng a tor thanh cira ngO not ASEAN vai phan con lai cila the giori - "Gateway of ASEAN" .

La thanh vien cua Maybank Kim Eng, Maybank Kim Eng Viet Nam cling can san sang vai nhang chien 'trot mai Oa tren n6'n tang va sire manh cua cong nghe sa de theo kip tien trinh chuyen d6i caa tap doan. TruOrc day, de tien gAn vai khach hang teen toan quac, ngay sau khi chinh thirc di vao hoat dOng tir thang 4/2008, Maybank Kim Eng da rat rao trien khai chin luoc phat trien mang luai bang viec lien tuc ma rang su hien dien tai cac trung tam kinh to tai chinh cua ca nuac va Da Nang, \Tang Tau la mat trong nhang dia diem duoc ch9n a dat chi nhanh. Vai sg 118 tro tir H6i sa, trong suat nhcing nam qua, hai chi nhanh Wing Tau va Da Nang da the hien rat tat hinh anh chuyen nghiep cua Maybank Kim Eng. Thong qua cac hoat dOng hai thao, dao tao, cac chi nhanh khong chi gulp ding ca niem tin dm cac nha dau tu dia phuang trong bai canh am clan cua TTCK, ma da thgc str dap ling nhu cau cua cac nha &Au tu noi day ve mat san chai mai chuyen nghiep horn, giup clang van dm h9 float Ong va sinh 16i.

Vai mpc tieu tap trung nguan ltrc tai cac thanh pha lon va ma rang tien ich cua cong nghe sa tai cac dia phuang kha.c, thang 8/2016, theo Quyet dinh cua Hai

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CONG TY TNHH MOT THANH VIEN CHtiNG KHOAN MAYBANK KIM ENG Bao cao thuemg nien nam 2016 (tiep theo)

Wang Thanh Vien, hai chi nhanh Viing Tau va Da Nang chinh thirc dirng hog dang, hoan thanh sir menh lich sir dm minh.

Bong gop vi sty phut trien kinh to (laic gia noi Maybank Kim Eng hi?n dien

Maybank Kim Eng la mat trong 15 cong ty chimg khoan vinh du dugc nhan danh hieu Cong ty chimg khoan tieu bieu giai doan 2015-2016 cila Sa Giao Dich Chimg Khoan Ha Nai. Danh hieu nay de vinh danh cac cong ty chimg khoan thanh vien theo cac tieu chi chinh bao gam tieu chi ve an toan tai chinh, Are thi phAn mai gioi, ve mirc (la phi hgp va tham gia vao cac chtrang trinh do Se( GDCK Ha Nia to chirc cua cac cong ty cht'rng khoan va tieu chi ve tuan thu nghia vu thanh vien.

Trtrac do, ngay 14/11/2016, Tap doan Maybank Kim Eng va Uy Ban Chang Khoan Nha Nuac (UBCK) da 141 ket gia han Them thuan khung ve hop tac va ho trg ki thug vai thai han ba nam, theo do, Maybank Kim Eng va UBCK se tier:, tic hgp tac vi su phut trien ctia thi tnremg chimg khoan Viet Nam, nang cao vi the dm thi truang chimg khoan Viet Nam tit thi truemg can bien len thanh thi truang moi not MSCI. Thoa thuan nay bao gam viec chia se th6ng tin va kinh nghiem ve cac thong le va chuan muc tat nhat trong linh vtrc kiem soat va quan tri rui ro, quan tri cong ty va tuan chuan mgc toan va thong bao cao tai chinh, thu hut dau o9 c tu gian tier) vao thi truemg chirng khoan Viet Nam, phut trier' thi truemg chirng

TEACH mr)*

khoan phai sinh va phut trier' cac san pham mai cho thi twang chimg khodn. CH

Viec tai kST Them. thuan khung ve hgp tac danh dau mat btrac tiep moi trong quan Ce P

he hgp tac hai ben gift tap doan Maybank Kim Eng va UBCKNN Viet Nam, the hien su tin twang va danh gia rat cao cua lanh duo UBCKNN d6i voi nang luc cUng nhu cam ket manh me dm tap doan Maybank Kim Eng dOng gop cho su plat then lau dai va ben yang cua thi tnremg chimg khoan Viet Nam.

Phut bieu tai buai Le kST ket, Dato' John Chong — Tang Giant dac tap doan Maybank Kim Eng da mat lan nth khang dinh Viet Nam khong chi la mat thi twang quan trong dai vai tap doan Maybank Kim Eng ma con la thi truang hap clan doi voi cac nha dau to toan cau dang tim kiem cor hai 6 ASEAN. Maybank Kim Eng da tao dugc su gun 13,6 va dau to sau rang tai thi truang Viet Nam va ye lau dai, tap doan se tier) tic dau tu de phut trien manh me han nua mang ngan hang dau tu, dong gop cho su phut trien thi truang van, ma rang hoat clang tu van de tang mew han nita su hien dien cua Maybank Kim Eng tai thi truang Viet Nam.

Maybank K

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CONG TY TNHH MOT THANH VIEN CHO'NG KHOAN MAYBANK KIM ENG Bao cao thugng nien nam 2016 (tier, theo)

2. TO chav va nhan suy

2.1 Danh sach Ban dieu hanh vet ty le so him

Ban dieu hanh cua ding ty MBKE (theo danh sach 4.2, phan I) khong nam gift co phan cua Cong ty.

2.2 Nhang thay cfOi trong Ban diet., hanh

Khong c6.

2.3 So hieing can b0 nhan vien

Se lugng nhan vien cua MBKE tinh tgi cuei nam 2016 la 173 ngued (2015: 210 ngugi). Ngoai cac chinh sach cua cong ty d6i ved ngued lao Ong theo luat dinh, Cong ty con mua bao hiem sirc khoe cho moi nhan vien va met ngtrad than cua h9.

3. Tinh hinh clOu fir va thtrc hien cac dir an

Hang nam, MBKE lien tpc trien khai cac dp an nhu hien dpi h6a he thong quan tri rui ro, dp an phat trien Png dung giao dich trpc tuyen cho cac thiet bi Apple nhu Ipad, Iphone, ding nhu dm Android nhu Samsung Galaxy, cfau to nang cap he thong may m6c thuec phan cimg, dau tu nang cap phan mem cho cac he thong.

Dac biet, nam 2015-2016 Cong ty da dau to xay dung he thong SAP cho he thong thong tin ke toan va he thong DR Site vgi tong yen dau tu hon 400.000 USD. He tilting thong tin ice toan mei nay khong chi phpc vu cho viec hpch toan k'e toan va bao cao tai chinh Ice toan theo quy dinh cua pita') luat ke toan tai Viet Nam, ma con tich hop voi he thong quail tri tai chinh ke toan toan Tap doan, cap nhat cac thay d6i ctia chuan mpc k'e toan quec te.

He thong DR Site la N thong giao dich du phong, cho phep cac he thong chinh phpc vi giao dich dugc hoat deng lien tic ngay ca khi hei sey bi sp co nhu thien tai, hoa hopn, lu lit

0 NI iT

.A

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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thugng nien nam 2016 (tiep theo)

4. Tinh hinh tai chinh

4.1 Tinh hinh tai chinh :

Chi tieu Nam nay Nam truire Bien do:ng

(%)

I. DOANH THU HOAT DONG

- Lai tit cac tai san tai chinh ghi nhan thong qua lai/18 (FVTPL)

5.993.747.636 10.810.390.402 -44,6%

- Lai tir the khoan cho vay va phai thu 93.115.031.356 82.302.309.904 13,1%

- Doanh thu moi giai chang khoan 62.626.584.525 66.217.075.398 -5,4%

- Doanh thu tir van 808.500.000 407.454.545 98,4%

- Doanh thu Itru IcY chang khoan 2.816.060.868 2.636.794.583 6,8%

- Thu nhap hoat d(ing khac 5.296.244.494 10.724.497.701 -50,6%

C(ing doanh thu hoat do, ng 170.656.168.879 173.098.522.533 -1,4%

II. CHI PHI HOAT DONG 79.541.958.777 72.249.682.310 10,1%

III. DOANH THU HOAT DONG TAI CHINH

2.442.798.359 2.802.923.706 -12,8%

IV. CHI PHI TAI CHINH 42.070.504 11.688.668 259,9%

VI. CHI PHI QUAN LY CONG TY CHUNG KHOAN

64.115.474.118 65.469.106.946 -2,1%

VII. KET QUA HOAT BONG 29.399.463.839 38.170.968.315 -23,0%

VIII. THU NHAP KHAC VA CHI PHI KHAC

250.628.384 (202.325.071) -223,9%

IX. TONG Lc(' NHUAN la TOAN TRIJI3C THUE

29.650.092.223 37.968.643.244 -21,9%

X. CHI PHI THUE TNDN 6.240.799.283 8.769.804.168 -28,8%

XI. LVI NHU4iN ICE TOAN SAU THUE TNDN

23.409.292.940 29.198.839.076 -19,8%

Lgi nhu4n sau thu nam 2016 giam 19,8% so vai ket qua nam 2015. Trong

do, doanh thu boat d'Ong kinh doanh giam 2,4 ty hoac 1,4% tir hoat &Ong moi

gigi do tinh hinh kinh doanh khong thuan lgi trong nam qua. Chi phi hoat

deng tang 7,3 ty hoac 10,1% tir viec phat sinh du phong 18 suy giam cac

khoan cho vay va trong nam 2016 Cong ty ap citing cac chinh sach tang

luong, dieu chinh chinh sach hoa hemg moi giai cang nhtr tang maw cac chi

phi phitc lgi khac cho can b0 cong nhan vien.

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CONG TY TNHH MOT THANH VIEN CHUG KHOAN MAYBANK KIM ENG Bao cao thuemg nien nam 2016 (tiep theo)

Ngodi ra, cac khoan dau to vao he th6ng, phAn mem (SAP, DR Site) bat d'au dua vao sir dung nam 2016 ciing da lam tang chi phi lchAu hao so voi nam truo.c.

4.2 Cdc chi den tai chink chic yeu :

Cic chi tieu Nam 2016 Yam 2015

1. Chi tieu 14' kha Tieing thanh toan

0 He se) thanh toan ngan han:

Tai san luu d(mg/Ng ngan Ilan 1.548% 1.065%

0 He s6 thanh toan nhanh:

(TSLD - Hang tan kho)/Na ngan han 1.548% 1.065%

2. Chi tieu ve ca cliu von

0 He se) Ng/Tong tai san 6,24% 9,04%

0 He se. Ng/Von chic so him 2,53% 3,23%

3. Chi tieu ve ;fang hfc hoat clOng

II Yong quay hang ton kho: - -

Gia von hang ban/Hang ton kho binh quan

0 Doanh thu thuAn/Temg tai san , 17,52% 15%

4. Chi tieu ve kha nank sinh leri

0 He s6 Lgi nhulan sau thue/Doanh thu thuAn 13,52% 16,60%

II He se) Lgi nhulan sau thue/V6n chi' sit hiru binh quail

2,53% 3,23%

El He s6 Lgi nhu4n sau thue/T6ng tai san 2,37% 2,94%

El He s6 Lqi nhu4n tir hoat dOng kinh doanh/Doanh thu thuAn

16,98% 21,70%

5. Cu cAu ca ding, thay dii von din to ciia chit so. him

5.1 Tinh hinh thay ciaiv6n chit dela : khong c6 thay d6i vt;ndieu le.

5.2 Co' dm co clang tai ngay 31 thcing 12 nam 2016 ciEn ngay bdo cdo : Chit sit hat caa Cong ty la Maybank Kim Eng Holdings Limited.

6. BA° can tic ding lien quan den mei truteng va xi hii dm ding ty

6.1 Tuan this pluip luat ve bdo ve moi &won

Se) fan bi xir phat vi ph4m do khong wan thillu4t phap va cac quy dinh ve moi twang : Khong.

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6.2 Chinh sach lien quan den ngtrai lao citing

a) SO luting lao dOng trung binh: 191 lao dOng/nam.

Thu nhap trung binh d6i vai nguai lao dOng: VND 26.272.992/thang.

b) Chinh sach lao dOng nham dam bao sirc khOe, an toan va phdc lai cita ngu6i lao d'Ong:

Ngodi cac chinh sach luting, thuang theo Luat lao dOng va quy dinh cua Cong ty, Cong ty con c6 cac chinh sach ph& lai cho nguai lao dOng nhtr: to chirc sinh nhat, teambuilding (hoat &Ong tap th6), kham sire kh6e dinh kj71 nam/1 lan, bao him sirc khoe va bao him lao dOng cho nhan vien va nguai than, ch6 do Om dau, thai san ....

c) Hog dOng dao tap ngu6i lao dOng :

S6 gi& dao tao trung binh cho tat ca nhan vien: 4,95 gi6/narn.

Nhan vien &roc tham gia cac khoa dao tao cung cap tir kin thirc, nghi4 vu cho d'L cac ky nang men.

6.3 Brio cdo lien quan den truth nhiern cioi vai cong citing dia plurang

"Ngay Hog dOng vi cong dOng — Global CR Day" cita Tap down Maybank nam nay da btrac sang nam thir bay va la inert phan cua chuang trinh tinh nguy'L, htrang nhan vien dia tap down tham gia trkrc tie) cac hog dOng dOng gap cho cong dOng 6 tat ca cac gate gia ma Maybank dang hiL diL. Day dugc coi la mot hog Ong cong dOng lan nhAt vai han 90 sang kin huang tai cong &Ong duac thgc hiL dong tiled teen toan cau trong ding mot ngay bed mot cong ty dia. Malaysia. Cac hog dOng rat da clang bao gom tir gulp tre em ngheo, me) coi, nguai khuyet tat, nguai gia neo don, cac ba me dan than cho tai cac hog dOng bao ve mai tru&ng nhu trong cay, lam sach b6 biL...

Huang irng "Ngay Hog dOng vi cong dOng — Global CR Day" dm tap down Maybank, Ngay 22 thang 08 nam 2016, ding vai han 18,000 nhan vien Maybank tren toan cAu, cac tinh nguyL vien ("TNV") cita Cong ty chirng khoan Maybank Kim Eng da thgc hiL hang log hog dOng y nghia hating tad cac em nh6 tai ap Phil. Binh, Phil RiLg, Binh Phuac. Nh6m TNV aim Maybank Kim Eng tai TP. HCM da ding nhau lam cac vi& sang sira lop hoc cho cac em bac tiL hoc tai Ap Phu Binh bao gom keo din vao tru6ng, dao ngOi chOng dot, lap them qug trAn, son lai ph6ng hoc, thay sira ban g1-16 hong, dat to truy'L nh6 nuOi dtrOng nim dam me doe sach cho cac em nh6 vai ten goi Thu vien "Em yeu doe sach". Man qua tai the do cac ban tre cua Maybank Kim Eng gill') cho san chai aim twang da dem Ten cho cac be dan tOc S'tieng nai day rat nhiL sir thich thit. Song song, nh6m da to chirc cho cac em rat nhiL hog dOng vui chai 13.6 ich, ly thit de cac em c6 mot tinh than sang khodi buoy vao nam hoc moi. 165 em trong do tuOi di hoc cua ap da dugc nhan qua la cap sach, va, hOp dgng but va dung cu hoc tap kem theo ca !nett cai den long xinh )(an d6 cac be \Tung vui don 16 Trung thu sap tai. 25 chic

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CONG TY TNHH MOT THANH VIEN CHONG KHOAN MAYBANK KIM ENG Bao cao thuang then nam 2016 (tier) theo)

ban h9c xinh xan dugc tang them cho cac em hoc sinh gioi c6 hoan canh kilo khan. Nhfing trg gifip thiet thuc va su tham gia nhiet thanh cua nh6m TNV Maybank Kim Eng da a 14i nhieu an tugng tot dep doi vai cac thay ea, cac em hgc sinh va ngtrai dan tai tai ap Phd Binh, Phu Rieng, Binh Phuac.

Ngoai ra ke tit 2015, Cong ty va ngtred lao deng ding da tham gia &rig g6p Quy phong, cheng thien tai thanh phe H6 Chi Minh vai mirc (long gop la hai phan van tren tong s6 yen san xuat — kinh doanh va met ngay luang ai vai ngtrai lao deng.

III.DANH GIA CUA BAN GIAM DOC

1. Nghiep vu moi gioi chuyen nghiep

T4i Viet Nam, MBKE kien guy& tach bach tien gui cua nha dau tu khoi tai khoan tien cua cong ty, khong phat then nghiep vu to doanh chUng khoan a dam bao rang lgi ich kinh doanh cua khach hang dugc dat len hang dau va khong co lgi ich nao dugc phep dat cao han lgi ich do.

Tinh den ngdy 31/12/2016, MBKE da c6 han 5 nghin tai khoan chUng khoan giao dich 1c7 guy, han 36 nghin tai khoan chirng khoan giao dich tien met, dat tang truang tuang ong la 9,09% so vai ding kj7nam 2015.

Han the nth, MBKE luen deng hanh vai cac Nha (tau tu ding nhu cac ca quan trong nganh trong chien lugc dau to va xay dung cac san pliant mai teen thi twang chimg khodn. Trong nam 2016, MBKE da to chirc han 90 buei hei thao va not chuyen chuyen de vai su tham gia clang ciao cita cac Nha dau to. Trong do, có cac su kien not bat thu but nhieu su cho y cua nha dau tu trong va ngoai ntrac:

Ngay 03 thang 11 nam 2016, MBKE da phi h9p ding MBKE Thai Lan -Co chirc "Hei thao Thi truang Viet Nam — Ca hei dau tu" vai su tham gia cua ong Nguyen Due Tai, Chu tich Hei Deng Quan Tri The Giai Di Deng, ong Tanveer Gill, Giam Dec phong Quan he Co Deng Cty CP Tap Doan Masan va su gop mat cua ong Niwes Hemvachiravarakorn, ngoai dugc menh danh la Warren Buffett dia Thai Lan a chia se nhang kinh nghiem thanh cong, nhan chimg thuc to trong viec dau to vao thi twang chirrig khoan Viet Nam. Hei thao da thu hut dugc su tham gia cita gan 300 nha dau tu va dai dien cac quy Thai Lan. Day la chuang trinh dau tien MBKE dem thi tnrang Viet Nam den gan ham vai cac nha dau tu trong khu vue, dal nen tang gop phan nang tam the doanh nghiep Viet Nam.

Ngdy 09 thang 12 nam 2016, MBKE to chirc Hoi thao "Thi tnrarng chUng khoan 2017: Ca hei KHONG danh cho tat ca". Hei thao thanh cong rue r'O'• vai su tham gia dm TS. Tran Du Lich, Nguyen Ph6 Twang Doan chuyen trach Dai bieu Quec Hei TP.HCM, ba Nguyen Thi Viet Ha, TJy vien HDQT Sa GD Chdrig Khoan TP.HCM, 'Ong Nguyen Due Tai, Chit tich Hei Deng Quan Tri The Giad Di Deng va ong Le Anh Tuan, Ph6 Tong Giam Dec Dau to & Kinh to Gia tnrang Dragon Capital. Cac khach men chia se nhung nh4n dinh, quan

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thu6ng nien nam 2016 (tiep theo)

diem ve thi trtromg chimg khoan 2017 tir nhang gee nhin khac nhau va rat sat vai thvc te. Chia se cod ma va than thien tir nhang bien &Ong the gigi, trien vong thi trtrang den chinh sach da cung cap nhieu thong tin cac ki hint Ich cho nha dAu to trong viec dau to nam 2017.

Khei mei gigi khach hang to chi:re c6 nhang tang Chat

vugt bac val. gap ba lAn se tai khoan mai dugc ma so vai nam twee. Chat lugng doi ngu mei gigi dugc tang cugng ro ret cung vai viec nang cao chat luting dich vv. Th6ng tin ve kinh to Viet Nam va thi tnrang chirng khoan Viet Nam dugc cung cap thuong xuyen va kip thoi cho khach hang thong qua cac ban tin hang ngay va cac phuang tien truyen thong khac nhau. 10 ban tin Bloomberg (trong do c6 3 tin Bloomberg First Word) \TA. 2 bai phong van a Bloomberg Radio val. Giam dee phat trier' khach hang dinh the la nhang 118 lire clang k'e cua Khei mei gigi khach hang to chirc trong nam 2016 trong viec thu hut sir quan tam cna nha dau tu nugc ngoai den vai thi truong chimg khoan Viet Nam.

Ngoai ra, thong qua "Invest ASEAN - Hei nghi Dau to ASEAN" la chuoi hei nghi quec to dugc Tap doan Maybank Kim Eng to chirc tai cac quec gia trong khu vac, chting VIM tang cugng ma reng mang lugi khach hang trong khu vac, phat trien dich vi va san pham phvc vi hieu qua cho khach hang hien CO va khach hang tiem nang.

2. Nghiep vu Nghien colt va Ttr van dAu tir

D6i vai be phan Nghien can khach hang ca nhan, trong nam 2016 cac chuyen vien phan tich da tiep tic thu6ng xuyen cap nhat tin tire, tong ket tinh hinh va nhan dinh xu huang giao dich deng thoi phan tich &rib gia kha nang sinh 16i cua cac ce phieu, dua ra nhieu khuyen nghi dAu tu chit-1h xac teen irng ding Market Insight -mot thiet ke d4c biet a cung cap cho cac nha dau tu, a mei cap de, thong qua KE Trade Mobile het sire tien lgi cua dien thoai thong minh. Sau hcm met nam tir buei ra mat, Market Insight da dirge rat nhieu cac nha &Au to quan tam img ding. Tong ket den cuei nam 2016, tS/ trong so luting lenh giao dich true tuyen gia tang ro ret da gian tiep the hien hieu qua dm ung dung nay.

Ngodi cac bao cao, cap nhat, khuyen nghi ve co hei cho timg co phieu, trong nam 2016, dei ngfi chuyen vien phan tich da hgp lire ding nhau dua ra nhang bao cao chitin lugc hang q4 cling nhu the bao cao chuyen a hang thang nhAm giiip nha day tu c6 cai nhin sat sao hon ve xu hating thi tnrong trong tang giai doan, sir kien cu the. Cac bao cao nay dugc dua ra dung thai diem, giftp nha dAu to hieu dugc xu lurang va tim ra ca hei, nhu bao cao ve FDI cao ky lvc (thang 2/2016), viec nai trAn sa hau cho nha &Au tu nuerc ngodi (thang 3/2016), bao cao ve sir kien Brexit (thang 6/2016) hay cac bao cao ve ETFs, ve thi tnxeng va loaf bai ve nganh Bang tren bao DTCK Da'c biet, hei than "TTCK 2017: Ca hei khong danh cho tat ca" dugc to chirc 9/12/2016 dugc MBKE to chirc theo hinh thirc dkSi thoai ding cac chuyen gia, doge cac nha d'au tu danh gia cao ve cac nei dung trao

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thuang nien nam 2016 (flap theo)

Chung toi huong tai nam 2017 voi tran day niem tin va nang luang se flap tuc nang cao chit lugng dich vu, ddy manh viec trao d6i th6ng tin kip thai, la cAu nai hiru hieu gitta nha diu tu va doanh nghiep khdp nai, qua do gop phAn thlac ddy phat trien thi trtrang chirng khoan lanh manh, ben vtmg.

3. Ciing nglq thong tin va giao dich trtyc tuyen

Tip theo nhung thanh cong trong viec d'au tu phat Ulan san phArn giao dich true tuyen cita cac nam tnrac, trong nam 2016 Maybank Kim Eng van kien tri muc tieu tang truang thi phAn ban le va tang truomg doanh thu qua kenh giao dich Internet, ngoai viec duy tri cac tinh nang tien ich da an dinh, ben canh do chAng toi con manh dan dAu tu them nhieu tinh nang va tien ich mai nhu: thay dai cong nghe bang gia tir cong nghe di Client — Server sang cong nghe Pushing chil clang; va cac tien ich khac lien quan den dot lenh bao gam: lenh xu Inrong (Trailing Orders), Sao ke chi fiat ng nang cao (Advanced Debt Info), Quan 1ST danh muc nang cao (Advanced Assets Management) ,...qua do se giup nha d'au to giao dich hieu qua hon, them vao do chung toi ding da ddu tu xay dung N thong giao dich tich lily diem thuang (Loyalty Reward System) a Ichuyen khich khach hang giao dich nhieu han, gAn gill cham soc khach hang tot hon qua cac chuang trinh khuyen mai di"Si qua ho4c bac tharn trUng thuang giam phi.....

Mat so tinh nang tien ich da dua vao sir dung vao mai 2016, va du kien se ap dung he thong Loyalty Reward System dAu quST 2/2017, voi tang mire d'au tu la 60.000 USD.

Vai cam ket cung cap dich vu tai chinh chit lugng cao cho nha d'au tu, ngay tir khi mai di vao hoat dOng, MBKE d4c biet chit tang dau tu vao ha tang cong nghe, lien Ale dua vao thin nghiem cac san phdm va dich vu da thanh cong tai cac thi twang khu vgc a phuc AT nha dAu tu Viet Nam. Ha tang cong nghe hien dai theo chudn muc dm Maybank Kim Eng da cho phop cong ty dua mo hinh quan 15, kinh doanh ma, hien dai, dem lai su chit Tang tuyet diSi, song song voi su tien dung "mai lUc, mai nai" va hieu qua tai da cho nha dAu tu nha ap dung bang gia thong minh, dot lenh online, Ung tien online... voi cac san phdm true tuyen KE Trade, KE Trade Lite, KE Mobile.

Tinh bao mat va TO an town dm cac san phdm giao dich truc tuyen dm MBKE cling la dieu dugc cac nha dAu tu Viet Nam d4c biet tin tuang va danh gia cao. Doanh thu qua kenh giao dich true tuyen lien Ale tang 20% m8i nam.

4. Tai chinh doanh nghi0 viron Vri Ngfin hang dAu tn.

Dich vu Ngan hang du to (Investment Banking) la mot trong nhang dich vu c6 the manh dm Tdp doan Maybank hien nay. Vai sire manh ve tai chinh va su chuyen nghiep, Tdp doan Maybank la mot trong nhung to chirc dung dAu ve dich vu ngan hang dAu tu trong khu vgc ASEAN.

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thuang nien nam 2016 (tiep theo)

Ben canh dO, chung toi cling khong ngirng dao tao nang cao nghiep vu chuyen mon cua cac chuyen vier' phan tich. Hang nam chung toi au danh ngan sach de dua cac chuyen vien tham gia cac kit& huan luyen 6 nuoc ngoai a tiep can va h9c hoi kink nghiem vai chuyen vien khac trong tap down an tir cac thi tnrang phat trien han nhu HongKong, Singapore ...Thang 4/2016, chfing toi da dua 7 chuyen vien cua minh tham gia boat dOng nay dm Tap doan.

Ngoai ra, MBKE can hgp tac \Tod cac co quan bao dai nhu FBNC, VTV, VIR, a dua cac nhan dinh chuyen mon cua minh an cong demg nha au tu. MBKE cling van duy tri viec to eh& cac chai dao tat) ve cac kien thirc tir ca ban den nang cao danh cho cac nha au to quan tam. Cac kien thirc dao tao g6m ca phan tich ca ban lan phan tich ky thuat va ky nang quail ly danh mic au tu, gitzp cac nha au tu to tin han trong qua trinh ra quyat dinh khi tham gia thi truing.

D6i vai khach hang ca nhan ntrac ngodi, da se; la khach hang tir Thai Lan, BO phan Nghien cuu khach hang ca nhan van thuang xuyen 116 trg khach hang thong qua cac bu6i trao d6i th6ng tin va cac chuyen tham doanh nghiep. Thang 11/2016, b6 phan nghien ciru ket hgp vai Corporate Sale team chirc hOi thao a Bangkok, Thai Lan thu hitt han 300 nha dau tu Thai Lan tham gia. Trong hOi thao nay có sir tham gia chia se cua doanh nghiep nhu MWG va. MSN.

Cling voi ph6ng phan tich khach hang ca nhan, phong phan tich khach hang to chirc tiep tuc la cau not giaa cac quy au tu ntrac ngoai voi thi truing Viet Nam, thong thuang voi quan diem dau tu dai han han. Tuy vay nam dugc nhu cat' can d6i hop li giaa dau to gia tri dai han va ap luc hieu qua au tu trong ngari han (VI du nam tai chinh) 130 phan phan tich khach hang to chirc tiep tic dua ra nhang khuyen nghi phi" hgp vai quan diem au tu, dieu le guy v.v. dm cac nhom d6i tixgng khach hang khac nhau. Trong nam 2016 danh muc co phieu khuyen nghi tir au nam (bao g6m 1 s6 ma tieu Neu nhu VNM, PNJ, NT2, DHG, HPG) trung binh da tang 25,9% so vai 14,8% cua VN-Index (Nam 2015 c6 phieu khuyen nghi cua ai ngu phan tich MKEV tang truing trung binh 13,3%, nam 2014 tang 20,5% so vai 6,1% va. 8,1% tang truing cua VN-Index) . Rieng trong nira sau cua nam 2016, chung toi tiep tic khuyen nghi nha dau tu tap trung mot s6 nganh dugc huang lgi tir Ian song FDI, dau to ca ban cling nhu su phuc h6i tich ctrc han cua cau tieu thi trong nuac hay cac ma co phieu có tST tr9ng bon trong VN-Index va dinh gia con phu hgp nhu VNM, MWG, CTD, HPG, CII.

Ngoai cac khach hang truyen th6ng tai thi truing khu vtrc ninx Singapore, Hongkong, Malaysia, Vuang qu6c Anh va My, trong nam 2016 vai str mo ring dm van ph6ng Maybank Kim Eng tai London chung toi da tang cueing day manh giai thieu TTCK Viet Nam tai cac quy dAu tu tai Bac Au va trong khi EU luc Cac guy au tu tai day quan ly ‘mOt khi ltrang tai san rat lan nhung cling có chuan muc va yeu cau khat khe ve )(el) hang qu6c gia, quan ly thi truing tai chinh. Vi vay au tu cua h9 tai thi truing Viet Nam con han the nhung sir quan tam ngay cang bon \Tad nhung no ltrc nang hang dm. UBCK cling nhu viec len san cua mot boat cac doanh nghiep

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CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cao thuamg nien nam 2016 (tiep theo)

Quy mo cac dich vu ngan hang dau tu cua MBKE nam 2016 con khiem ton do dang trong lien trinh chuyen doi theo huang chuyen nghiep va tu van c6 dinh huOng vao cac doanh nghiep co quy mo vita va ton, teen co sa ke thira cac the manh dm Tap doan Maybank.

\Ted dinh hu6mg do, MBKE dang tap trung phat trien cac dich vu tu Van phat hanh chirng khoan de huy dOng von (co phieu, trai phieu,...), sap nhap doanh nghiep, tim doi tac chien lugc nuac ngoai,... cho cac doanh nghiep tai Viet Nam. Ben canh do, MBKE ding cung cap cac dich vu khac lien quan den tai chinh doanh nghiep de dap img nhu cau da clang cua doanh nghiep.

Vai tinh hinh kinh to vi ma dm Viet Nam dang din On dinh va tiep tvc dugc kSi vong tang truang kha cao trong nam 2017, MBKE kST vong mang ngan hang diu tu se dat dugc ket qua tot han trong nam 2017 va cac nam sip tai.

5. Ke hoach kinh doanh nam 2017

Chi tieu Ke ho#ch nam 2017

Thwc to nam 2016

Bien dOng

I. DOANH THU

- Lai tir cac tai san tai chinh ghi nhan 2.800.352.383 5.993.747.636 -53,3%

- Lai tir cac khoan cho vay va phai thu 128.417.443.805 93.115.031.356 37,9%

- Doanh thu moi gigi chirng khoan 81.026.506.609 62.626.584.525 29,4%

- Doanh thu tu yin 9.404.091.594 808.500.000 1063,2%

- Doanh thu luukST chimg khoan 5.355.998.847 2.816.060.868 90,2%

- Thu nhap hog dOng khac 32.735.107.627 7.989.671.237 309,7%

COng doanh thu 259.739.500.865 173.349.595.622 49,8%

II. TONG CHI PHI 178.444.078.290 143.699.503.399 24,2%

III. TONG LOI NHUAN KE TOAN 81.295.422.575 29.650.092.223 174,2%

Cac chi tieu ke hoach tai chinh cho thdy nam 2017 MBKE guy& tam cao de khing dinh vi the tai thi trung chirng khoan Viet Nam.

KhOi Moi Giai van tiep tpc tvc phat huy vai tre tien phong vai cam ket dua ra nhUng san phdm va giai phap sang tao khong ngirng nhim dap img nhu cdu cfra khach hang, lien tvc cai tien ding nghe de c6 dugc nhang phucmg thirc giao dich tien tien nhdt, va nang cao chit lucmg cua dOi ngti moi giai chimg khoan dem den sir hai long tOi da cho khach hang khi giao dich tai Maybank Kim Eng. Tang truang thi phin moi giai va du ngkST quy d ra teen nen tang phat trien ben yang va quan tri rid ro tot luon la dinh huamg lau dai cua Cong ty va Tap doan tai Viet Nam.

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CONG TY TNHH MOT THANH VIEN CHO'NG KHOAN MAYBANK KIM ENG Bao cao thugng nien nam 2016 (tiep theo)

Nam 2017 cling la nam Kh6i Ngan hang dAu tu va Tit van doanh nghiep se co nhang dieu chinh trong hoat Ong, dap irng vori nhu cau cua thi truamg va ke thira cac the manh cua Tap doan.

6. Giai phap va chtro'ng trinh hanh dOng nam 2017

De c6 the dat duce cac intic tieu neu tren, Ban T6ng Giam d6c MBKE da de ra the giai phap va chucmg trinh hanh dOng, nhAn manh vao cac trong tam sau day:

a) D'Au tu vao ngu6n nhan lire luon la chitin lugc uu tien hang dAu: • Kien toan b0 may nhan sir, khong ngimg phat trien nhan tai va lien tuc

dao tao, cap nhat kien thirc de cling c6 va xay dung mot lire lugng nhan sir chAt luting cao cho Cong ty ding nhu phat trien dugc d6i ngu ke thira nong cot.

• Chit trong xay dung dao dire nghe nghiep dtra tren nguyen fac luon dAt 10 ich cua cong Tong, cua khach hang, cua C6ng ty len ten lgi ich ca nhan.

• Bao dam tat ca ngu6n nhan lire a tat ca cac b0 phan (kinh doanh va 118 trg) dap img kip thoi va dAy du yeu cAu dm hog d6ng kinh doanh.

b) Phat trien nghiep vu va san phAm: • Da dang hoa cac san phAm, tich cuc tham gia vao cac san phAm mai tren

thi truang nham dap img nhu cAu cua nha dAu tu, huang den viec cung cap cac san phAm, dich vu pha hap nhAt cho khach hang.

• Duy tri viec ling dung cac giai phap cong nghe hien dai nham cai lien, hoan thien cac tinh nang cling nhu cac cong cu giao dich true tuyen vai muc tieu mang lai sir tien lai, nhanh chong, an toan va bao mat cao cho nha dAu tu.

• Phat trien nang lire nghien ciru de c6 the cung cap cac dich vu tu van tai chinh chuyen sau va chAt luting cao cho nha dAu tu.

c) Chien lilac khach hang: • Phan loai va xac dinh cac nhom khach hang a thi6t ke cac san phAm,

dich vu phu h9p cho timg doi tugng. • Phat trien va hoan thien dich vu cham soc khach hang nham duy tri va

phat trien cac m6i quan he vai khach hang. d) Ke hoach tier, thi:

• Quang ba hog dOng cua Cong ty tren cac phuong tien thong tin dai chung.

• Timg btrac phat trien kenh tier, thi ky thu4t s6, thong qua cac cong cu, phuang tien truyen thong true tuyen, cac trang W.° tat chinh, chimg khoan uy tin nham ding c6 va phat trier' hinh anh ding nhu thuong hieu Cong ty.

co' TRACH NHIthl KA)

c, • CONG TY

MQT THANH VIEN * CHUNG KHOAN

O MAYBANK KIM ENG

THIEN QUANG

Maybank K

im Eng S

ecurities Lim

ited

CONG TY TNHH MOT THANH VIEN CHUNG KHOAN MAYBANK KIM ENG Bao cap thuong nien nam 2016 (t* theo)

IV. QUAN TRI CONG TY

1. HO don thanh vien (HDTV)

STT Thanh vien HDTV Chtic vu SO ball h9p tham dy

Ts, le

1. Ong Ronnie Royston Fernandiz Chu tich 7/7 100%

2. Ong Ong Cheow Kheng Pho Chi' tich 5/5 100%

3. Ba Ami Moris Thanh vien 7/7 100%

4. Ong Jeffrey Goh Cho Kiat Thanh vien 7/7 100%

5. Ong Goh Keat Jin Thanh vien 5/5 100%

6. Ong Alexander Panasko Thanh vien 2/2 100%

Hog d6ng giam sat cilia HDTV dloi voi T6ng Giam d6c: Ngoai cac cu6c h9p c6 dinh hang q4, Ban T6ng Giam d6c ding thuOng xuyen cap nhat va bao cao tinh hinh hog d6ng kinh doanh cua C6ng ty day du, kip thOi a HDTV ra quye't dinh dieu hanh, chi dao.

2. Ban Kiem soat

Hog d6ng dm Ban Ki6m. soat: Hang qu)", Ban kieA m soat deu to chuc cac cu6c h9p dinh kST, thvc hien xir ly cac van de hieu qua va kip thOi bao cao cho Chu so hiru. Thanh phan tham du luon day du cac thanh vien Ban ki6m soat va cac b6 phan Ulm tip lien quan dirge yeu cau.

V. BAO CAO TAI CHINH

kin cua Kim toan vien d6c lap duoc trinh bay trong Bao cao tai chinh da throe kie'm toan tai ngdy 31 thang 12 nam 2016 bai Cong ty TNHH Ernst & Young Viet Nam. (http://maybank-kimeng.corn.vn/kimengportal/financial-statements.do).

TP.HCM, ngay 14 thang 3 /lam 2017

Xac nhan dia dai dien theo phap luat cna Cong ty

..N 1 7 Giam dOclk

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