• ,.fi;

CONG TY TAl CHiNHCO pHANXIMANG

CQNG Hol xA HQI cnu NGHiA VI¢T NAMDqe 19P - T1}'do - Hanh plnic

s6.-C)2'f!2017ICFC-BCHa N6i, ngay 2f thdng Of nam 2017

BAo cAo TiNH HiND QuAN TRJ CONGTY(Ky: Nam 6 thang 2017)

Kinh gUi.: - Uy ban ChUng khoan Nha mr6'e- Sir giao dieh ChUng khoan

Ten cong ty dai chung: Cong ty nil chinh C6 phan Ximang

Dia chi tru sa chinh: T§ng 17 toa nha Mipec, s6 229 Tay San, phirong Nga Tir Sa,D6ng Da, Ha N<)i

Dien thoai:

V6n di~u l~:

024.6270.2127

604.921.000.000 d6ng

Fax: 024.6270.2128

Email: infor@cfc.com.vn

I. Ho~ltdqng ciia D,i hqi dAng e8 dongTrong 6 thang dku nam 2017, Cong ty tai chinh c6 phan xi mang CCFC)da t6 chirc Dai

hQi d6ng c6 dong thirong men 2017 vao ngay 26/04/2017. Dai hQi da n.~Attri thong qua toan

van nghi quy~tDai h<)id6ng c6 dong s6 490/2017INQ-DHCE) ngay 26/04/2017.

STT Sa ngh] quyit Ngay Nqi dung

1 490/2017INQ- 26/04/2017 • Thong qua bao cao cua HDQT, cua BKS v~ k~t quaDHCD hoat d<)ngnfun 2016 va dinh hu6ng ho?t d<)ngnfun

2017.

• Thong qua phuong an pharr ph6i 19inht$l, trich l~pcac quy nfun 2016.

• Thong qua cac chi tieu k~ ho?ch kinh doanh 2017.

• Thong qua danh sach cac Cong ty Kiem tom duQ'ch;rachon kiem toan Bao cao Tai chinh va h~ th6ng

1

2

kiem so at nQi bQ nam 2017 cua Cong ty;

• Thong qua to trinh vS viec sua d6i DiSu I~ CFC.

• Thong qua co du HQi d6ng quan tri cho thoi gian

con lai cua Nhiem Icy 2013-2018.

• Thong qua viec mi~n nhiem chirc vu thanh vien HQi

d6ng quan tri voi ong D6 Duy Hung, ba Nguysn ThiKim Thanh, ba Pham Thuy Duong, ba Pham ThiThanh. B6 nhiem chirc vu Thanh vien HQi d6ng

Quan tri voi ong D6 Duy Hung va H6 Minh Tam.-• Thong qua bao cao thu lao thanh vien HQi d6ng quan

tri, Ban Ki~rn soat nam 2016 va k~hoach thu lao

nam2017.

II. Hoat dQng ella HQi dBng quan tr]

1. Cdc eu{ieh(JpH{ii aiJngqulin tri (HlJQT)

Trong 6 thang d~u nam 2017, HDQT da t6 chirc 5 Icy hop (hop ngay 06/0112017,

23/02/2017,04/04/2017,20104/2017,26/04/2017) va ra nghi quyet 241k.

Ngay bAtS6

Tyl~dAulkhong eon

bu6itham Ly do

STT Thanh vien HI>QT Chirc vu la thanh vien dl}' khfmg thamHDQT

hQphQp dl}'

HDQT(%)

1 (Ong) D6 Duy Hung Chu tieh Mi€n nhiem ngay3/3 100%

20104/2017

2 (Ong) Nguy€n Duc Phuong Chu tieh BAub6 sungIII 100%

26/04/2017

3 (Ong) Le Nam Khanh Uy vien 22/05/2012 415 80%B~n eong me

dQtxu~t

4 (Ba) Nguy€n Thi Thanh Ha Uy vien 22/0512012 SIS 100%

(Ba) Nguy€n Thi Kim Thanh Uy vienMi€n nhi~m ngay

4/4 100%5 26/04/2017

6 (Ba) Ph?-mThi Thanh Uy vien Mi€n nhi~m ngay4/4 100%

26104/2017

7 (Ba) Pham Thuy Duong Uy vien Mi~n nhiem ngay4/4 100%

26/04/2017

8 (Ong) Nguysn Chi Hi~u Uy vien ·25104/2016 515 100%

9 (Ong) H6 Minh Tam Uy vien BAyb6 sungIII 100%

ngay 26/04/2017

2. Hoq; ttpng gidm sat cua Hpi aang quiin tri dBi vdi Ban Giam aJc

Hoat dQng giam sat cua lIDQT d6i voi Ban Giam d6c luon duoc thirc hi~n theo dung quy

ch~ t6 clnrc va heat dQng cua lIDQT va quy ch~ t6 chirc va hoat dQng cua Ban DiSu hanh, chu

yeu thong qua cac cuoc hop dinh Icy va xin y ki~n bang van ban. Qua d6 T6ng Giam d6c

thirong xuyen bao cao kip thoi vS moi hoat dQng kinh doanh cua CFC, trien khai thirc hien

dung cac Nghi quyet cua lIDQT.

3. Hoat ttpng cua cdc tiiu ban thupc Hpi dang quiin tri

HQi dAng Xu Iy nli ro, Uy ban Quftn Iy rill ro va Uy ban Nhan S\l dii trinh lIDQT thong

qua vi~c hoan thi~n ca du t6 chilc, d6ng thCrida th\lC hi~n cae cUQchQp d~ th\lc hi~n cac

cong mc chuyen mon, tu vc1ncho lIDQT, th~ hi~n nhu sau:i'

STT Van banNgay bien

NQidungban

1 393/2017/CFC-BB 03104/2017 Bien ban hQp HQi d6ng Xu Iy nli ro Quy 112017

2 392/2017/CFC-BC 03104/2017 Bao cao trich I~p d\l phong nli ro Quy II20!7

3 846/2017/CFC-BB 07/07/2017 Bien ban hQp HQi d6ng xu ly rui ro Quy lI12017

4 835/2017/CFC-BC 0510712017 Bao cao trich I~p d\l phong Quy II12017

'flAPJ

4. Ngh; quyitiQuyit d;nh cua Hpi dang quiin tF;

S8 Nghi quy~tSTT Ngay NQidung

IQuy~t djnh

Nghi,

CUQc hQp HQi d6ng1 16/20 171NQ- 06/01/2017 quyet quan tq ngay

HDQT 06/0112017- Phien thuOng ky

2 65/2017INQ- 17/01/2017 Nghi quy~t vS vi~c dp tin d\lI1gngful h<;llld6i v6i Cong

HDQT ty TNHH Hoang Ha San

179/20 171NQ- 23102/2017 Nghi,

cUQc hQp HQi dAng tri3 quyet quan ngay

HDQT 23/02/2017 - Phien b~t thuOng

4 180/20171NQ- 23102/2017 Nghi quyet cUQc hQP HQi d6ng quan tri ngay

3

4

!GHHl,

S6 Ngh] quy~tSTT Ngay NQi dung

IQuy~t djnhOOQT 23/02/2017- Phien bat thirong

5 181/2017/NQ- 23102/2017 Nghi quyet v~ viec phe duyet nhan su du kien b6 nhiem

OOQT clnrc vu T6ng Giani d6c

6 308/2017/NQ- 15103/2017 Nghi quyet phe duyet dan til nhiem cua thanh vienOOQT OOQT

7 309/2017/NQ- 15103/2017 Nghi quyet phe duyet dan til nhiem cua thanh vienOOQT OOQT

8 350/20 17/NQ- 24103/2017 Nghi quyet v~ viec x~p luang can bQ nhan vien ChiOOQT nhanh thanh ph6 H6 Chi Minh

9 360/20 17/NQ- 29103/2017 Nghi quyet phe duyet danh sach nhan sv du kien b&ub6

OOQT sung 01 thanh vien HDQT cho thoi gian con lai cua

nhiem Icy 2013-2018

10 361/2017/NQ- 29103/2017 Nghi quyet phe duyet dan til nhiem cua thanh vien

OOQT OOQT

11 362/2017/NQ- 29103/2017 Nghi quyet phe duyet dan til nhiem cua thanh vien OOQT

OOQT

Nhi,

CUQc hQp HQi d6ng tri12 406/2017 /NQ- 04104/2017 g. quyet quan ngay

HDQT 03/412017- Phien thirong Icy

13 491/2017/NQ- 26104/2017 Nghi quy~t v~ viec b&uChu tich OOQT cho thoi gian con

BOOCD lai Clla nhi~m Icy 2013-2018

14 527/2017/NQ- 10105/2017 Nghi quy~t v~ vi~c c~p h~ muc tin d1,lllgngiin h~ nam

OOQT 2017 d6i v&iCong ty C6 pMu ChUngkhocinBan Vi~t

15 531/2017/NQ- 10105/2017 Nghi quy~t v~ vi~c dp h~ muc tin d1,lllgngiin h~ nam

OOQT 2017 d6i v&iCong ty TNIll-I NgQcMuOi

16 58112017/NQ- 17/05/2017 Nghi quy~t b6 nhi~m Giarn d6c Tai chinh

OOQT

17 580/2017/NQ- 17105/2017 Nghi quy~t b6 nhi~m Giarn d6c Chi nhcinh thanh ph6 H6

HDQT Chi Minh

18 589/2017/NQ- 17105/2017 Nghi quy~t vS vi~c c~p h~ muc giao dich v6n lien ngan

HBQT hang d6i v&i Cong ty TNIll-I MTV Ngan hang Vi~t Nam

,'I'

cpI.

::

sa Ngh] quy~tSTT Ngay NQidung

/Quy~t djnhThinh VUQ11g

19 590/2017INQ- 17105/2017 Nghi quySt b6 nhiem KS toan tnronglIDQT

20 598/2017INQ- 18105/2017 Nghi quyet vS viec dAunr h~ thong cong nghe thong tinlIDQT mang tai chinh tieu dung tai CFC

21 613/20 17INQ- 23/05/2017 Nghi quyet vS viec ban hanh Quy chS vS co c~u, t6 clnrc,lIDQT clnrc nang, nhiem vu cua cac Phong/Trung tam/Chi nhanh

trongCFC

22 637/2017INQ- 31105/2017 Nghi quyet vS viec b6 nhiem va giao nhiem vu d6i voi caclIDQT nhan su thuoc thfun quyen cua HDQT

23 754/2017INQ- 19106/2017 Nghi quy~t vS viec c§p han rmrc tin dung ngan han namlIDQT 2017 d6i voi Cong ty CP Xay dung va San xu§.t v~t lieu

xs, dung (BMJC)

24 757/2017INQ- 20106/2017 Nghi quyet vS viec lira chon dan vi kiem toan Bao coo taiHDQT chinh va h~ thong ki~m soat nQibQnam 2017

III. HOliltdQngella Ban ki~m soat

1. Thong tin v€ thimh vien Ban Kidm soat (BKS)

Ngay bit sa bu6i Lydo

STT Thanh vien BKS Chuev\Id§ulkhong eon

hQpTy I~

khong~, Ia thanh vien (%)

BKSHDQT tham dl!

1 Nguyen Van f)~ Tru6ng Ban 14/04/2011 415 80%B~cong

mc

2 NguySn Quang Bao Thanh vien 25/04/2015 315 60% B~congtac

3 Tr~n H6ng Giang Thanh vien 25/04/2015 215 40% B~ncongmc

2. HOljtdpng giam sat eiia BKS d6i vO'iHJ)QT, Ban giam d6e di;u himh va e8 dong.

HO/;ltdQng giam sat cua BKS d6i vai T6ng Giam d6e Iuon dUQ'eth\Ic hi~n thea dung quyehS t6 ehue va hO/;ltdQng eua BKS va quy eh~ t6 ehue va hO/;ltdQng eua Ban DiSu hanh.

5

6

Y

3. S,!,ph8i h(.JJJhOf!too.nggiiia BKS aJi vOihoot oo.ngcua HDQT, Ban Gidm abc iliJuhimh va cdc can bp quiin Ij khdc:

Trong 6 thang diu nam 2017, BKS chi 140 ban Ki~m toan nQi bQ dll thuc hien 07 cuoc

Ki~m toan, 04 cuoc kiem tra tinh hinh thirc hien kien nghi cua Ki~m toan vien dang thoi ciing

tham gia xu ly va thu h6i no x§.u,gop phk nang cao ch§.throng hoat dQng cua CFC.

-A

4. Hoat oo.ngkhtic cua BKS.

Ban Ki~m soat va Ban kiem toan nQi bQ CFC da phat hanh 6 ban tin bin nguyet v~ van

ban phap luat,

IV. f)ao tao v~quan tr] cong ty

-/ CFC ph6i hop cung Basico t6 chirc cac khoa hoc phap luat: Thanh phk tham gia: Can bQ

quan ly va can bQnhan vien (CBNV) CFC.

v. Thay dAidanh sach v~ ngtrOi co lien quan cua cong ty d~i chung theo quydinh t~i khmin 34 f)i~u 6 Lu,t ChUngkhoan

1. Danh sach v~ nguai co lien quan cua cong ty: ong D6 Duy Hung, ba Phl;l.mThi

Thanh, ba Ph~m Thliy Duong, ba Nguy~n Thi Kim Thanh cling nguai co lien quan

khong con 1a ngum co lien quan cua CFC illngay 26/04/2017. Dng Nguy~n Duc

Phuong, ong He, Minh Tam cling nguai co lien' quan tro thanh nguai co lien quan

cua CFC illngay 26/04/2017 (Chi ti~t 0 Ph\ll\lc 1)

2. Giao dich gifra cong ty v6i. ngum co lien quan Clla cong ty; ho~c gifra oong ty v6i. c6dong 1611,ngum n<)ib<),ngum co lien quan Clla ngum n<)ib<):Kh6ng phat sinh.

3. Giao dich gifra nguai n<)ib<)cong ty niem y~t, nguai co lien quan cua nguai nQi bQ

vai cong ty con, cong ty do cong ty niem y~t n~m quySn kiSm smit: Khong phat

sinh.

4. Giao dich gifra cong ty vai cac d6i tuQ'llgkhac.

4.1 Giao dtch giua cong ty v6'i cong ty ma thanh vien HDQT, thanh vien BKS,Giam d6c (T6ng Giam d6c) diJu hanh dfl va dang ia thanh vien sang iq.phoijc

thanh vien HDQT, Giam d6c (T6ng Giam d6c) diJu hanh trong thai gian ba (03)niim tra iqi day: Khong phat sinh.

4.2 Giao dtch giua cong ty v6'i cong ty ma nguai co lien quan cua thanh vienHDQT, thanh vien BKS, Giam d6c (T6ng Giam d6c) di&uhimh ia thimh vienHDQT, Giam d6c (T6ng Giam d6c) diJu hanh: Khong phat sinh

7

4.3 Cdc giao dicn khac cua cong ty (niu co) co thd mang lai loi ich vdt chdt hoacphi vdt chat d6i WYithanh. vien HfJQT, thanh vien BKS, Gidm d6c (Tong'Gidmd6c) diJu hanh: Khongphdt sinh.

VI. Giao djch c6 phi~u ciia ngu'Oi nQi bQ va ngu'Oi lien quan ciia ngu'Oi nQi bQ:

1. Danh sach nguoi nQibQva ngiroi co lien quan cua ngiroi nQi bQ:

(Theo phu luc I dinh kern).

2. Giao dich cua nguoi nQi bQva nguoi co lien quan d6i voi c6 phieu cua cong ty niem ySt:

(Theophu luc II dinh kern).

Tran treng bao cao!

Noi nh~n:Nhu k/g;Luu VT; PKT- TH

...D

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PHV i.uc I: DANH SA.eH vE NGUOI NOI BO VA NGUOI co LIEN QUAN eVA eONG TY

TK Liengiao

Chirc V\l t~i S6Ngaycip Noi cap h~ S6c8

phi~u sirGhi

Ten djch CMNDIDK CMNDIDK Dia chi vo;STT cong ty CMND/DKKD chu

clnmg KD KD thanh huukho3n vien

NGUYENDUC Chii tich 78B Ngach 96, ngo TV1. 011934262 24/02/2011 HitNQi Do, D\li La, Dang Tam, 2.250.850

PHUONG HDQTHai Bit Trung, Hit NQi

1.1 Nguy~n Duc Chung 001049001190 13/07/2015 HitN<)i198Nguyen Trai, Nam

B6 0Til Liem, Hit N<)i

1.2 Pham Thi Ngoc Uyen 010369312 09/04/2003 HitN<)i198Nguyen Trai, Nam

My 0Til Liem, Hit N<)i

78B Ngach 96, ngo Tg

1.3 Nguy~n Anh Linh 001180003277 24/09/2014 HitN<)i Do, Dl;liLa, D6ng Tam, Vq 0

Hai Bit Trung, Hit N<)i

78B Ngach 96, ngo Tg

1.4 Nguyen Phuong Minh Con nho chua co CMT Do, Dl;liLa, D6ng Tam, Con 0

Hai Bit Trung, Hit N<)i

78B Ngach 96, ngo Tu

1.5 Nguyen Phuong Nhi Con nho chua co CMT Do, Dl;liLa, D6ng Tam, Con 0

Hai Bit Trung, Hit N<)i

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Chuc V\It~.i S6or cap

GhiTeD djch CMNDIDK CMNDIDK Dja chi vOi phi~u sO-

STT cong ty CMND/DKKD chuchung KD KD thanh huukhoan VieD

Nguyen D{l'C cAu 012056628198 Nguyen Trai, Nam Em

1.6 05/09/2013 HaNQi 0Til Liem, Ha NQi trai

Hoang Cam Chau198 Nguyen Trai,Nam Em

1.7 012056628 0911112014 HaNQi 0Til Liem, Ha NQi dau

83 Nguyen Luang Bang,Em

1.8 Nguyen Duc Thanh 001084004957 20/1112014 HaNQi Nam Dfmg, D6ng Da, Ha 0trai

NQi

83 Nguyen Luang Bang,Em

1.9 Trinh Bao Ngoc 012438734 1211012011 HaNQi Nam D5ng, D6ng Da, Ha 0dau

NQi

TAng GiamChung elf Estella 1903-

2. HOMINHTAM dBe, Thanh 022978156 12/04/2010 TP.HCM 4B, Xa IQHa NQi, P.An 0

vien HDQT PhD, Qu~n 2,TP.HCM

H6 Thieu Hung 020251163 01/03/2010 TP.HCM27/3 r.e True, F7, Qudn

Ba2.1Binh Thanh, TP .HCM

Pham Kim Y~n 022076981 21110/2003 TP.HCM27/3 Le Tnrc, F7, Quan

My2.2 Binh Thanh, TP.HCM

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Ten djch CMNDIDK CMND/DK Dia chi vOiSTT cong ty CMND/DKKD chu

clnrng KD KD thanh hunkhoan vien

Nguyen Thi ThanhChung cir Estella 1903-

2.3 026047513 03/08/2015 TP.HCM 4B, Xa lQHa NQi, P.An VqHoa

Phu, Quan 2, TP.HCM

Chung cu Estella 1903-

2.4 H6 Thanh Vi Con nho chua co CMT 4B, Xa lQHa NQi, P.An Con

Phu, Quan 2, TP.HCM

Chung cir Estella 1903-

2.5 H6 Thanh Mai Con nho chua co CMT 4B, Xa lQHa NQi, P.An Con

Phu, Quan 2, TP.HCM

8/1A Nguyen TrungAnh

2.6 H6 Minh Tri 022768247 12/03/2013 TP.HCM True, Q.Binh Th~nh,trai

TP.HCM

Nguy~n Le Phuong8/1A Nguyen Trung

Chi2.7 022654109 10/06/2008 TP.HCM Tnrc, Q.Binh Thanh,

Thuy dduTP.HCM

Thanh vien Cong an012,BTl, T(j 20Khu

3 LENAMKHANH 030940888 14/11/2006 nha i1Th] trAn cau 0 0%HDQT Hii Phong

Di~n , Til' Liem, Ha NQi

3.l Le Dinh Hfru BamAt B6

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3.2 Nguy~n Thi Hao BamAt M~

012, BTl, T6 20 Khu

3.3 Nguyen Thi Anh 013225911 8/8/2009 HaNQi nha a Thi trdn cAu Di~n , Vq

Til Liem, Ha NQi

012, BTl, T6 20 Khu

3.4 Le Thi Thu Thuy 013345747 15/10/2011 HaNQi nha a Thi trdn cAu Di~n , Con

Til Liem, Ha NQi

3.5 te Thi Y~n 180566901 5111/2012 Nghe AnXa Kim Lien, Huyen

ChiNam Dim, Nghe An

t.e H6ng SonTT Chuc Scm, Chuong Em

3.6 017193222 8/6/2010 HaNQiMy, HaNQi trai

Phuong Lam Ha, Ki8n Em3.7 i.e Thi Kim Oanh 031737709 18/112009 Hai Phong

An, Hai Phong gai

Phuong Du Hang, Le Em3.8 r.e Thi Lan 031761796 3/8/2009 Hai Phong

Chan, Hai Phong gai

Xa Kim Lien, Huyen Em3.9 Le Dinh Hoan 182127165 17/3/1995 Nghe An

Nam Dan, Nghe An trai

TT Chuc Son, Chirong Em3.10 Nguyen Thi Binh 111044547 28/5/2011 HaNQi

My, HaNQi dau

11

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3.11 182178266 7/311996 Nghe AnNam Dan, NgM An dau

Duong Xuan Ti~nPhuong Lam Ha, Kien Em

3.12 031217729 7/9/1999 HaiPhong AAn, Hai Phong re

Tr~n NgQc CongPhuong Du Hang, r.e Em

3.13 031902288 21/7/2011 Hai PhongChan, Hai Phong r8

P902 Nha A2 Ngo 229

NGUYENTHI Thanh vien Cong an Ph6 VQng - Phuong4 011339655 4/1/2000 0 0%

THANHHA HDQT TPHit NQi D6ng Tam - Hai Bit

Trung - Hit Ni}i

4.1 Nguyen Duc Tir Da mdt Bo

4.2 Phan Th] Thanh Lang 010456198 5/6/2006 HaNQiPhong 116-E5, Phuong

MyMai, D6ng Da, Ha NQi

P902 Nha A2 Ngo 229

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4.3 011341988 10/8/2006 HaNQiD6ng Tam - Hai Ba g

Tnrng - Ha NQi

Nguyen Xuan Tai 0123731420 11/8/2004 HaNQiP902 Nha A2 Ngo 229

Con4.4 Ph6 Vong - Phuong

12

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D6ng Tam - Hai Ba

Tnrng - Ha NQi

Nguyen Tu~n HiliPhong 116-E5, Phuong Anh

4.5 011666452 4/7/2011 HaNQiMai, DAng Da, Ha NQi trai

4.6 Nguy~n Hang Nga 012064640 20/9/1997 HaNQiPhong 116-E5, Phuong ChiMai, DAng Da, Ha NQi dau

Nguy~n Tuan PhongPhong 116-E5, Phuong Em

4.7 011783149 18/612009 HaNQiMai, DAng Da, Ha NQi trai

Phan Thi Y~nPhong 116-E5, Phuong Em

4.8 013004704 18/9/2007 HaNQiMai, DAng Da, Ha NQi dau

Nguyen Thi ThanhPhong 1712-0TC 1Bac

Em4.9 011807860 6/5/2008 HaNQi Linh Dam, D~i Kim,

ThuyHoang Mai, Ha NQi

gai

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4.10 Hoang H6ng Ngoc 011466576 18/6/2007 HaNQi Linh Dam, D~i Kim, AreHoang Mai, Ha NQi

NGUYEN CHi Thanh vien Ta 5, Cum 1, Nh~t Tan,5

HIEU012452318 05/06/2010 HaNQi

Tfly HB, Ha NQi0 0%

HDQT

5.1 Nguy~n Chi Thanh 011249773 21105/2011 HaNQi 12IN2 Ngd 1,Nguyen Bo 0

13

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5.2 Phan Thj Vt 012511046 11105/2006 HaNQi Hoang Ton, Xuan La, My 0

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0

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PHl} Ll}C II: GIAO DICH CO PHIEU CUA CO DONG NQI BQ VA NGUm LIEN QUAN

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STT HQten Clnrc V\I tai congty/ Quan h~/giim

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2 HO MINH TAM T6ng Giam doc/Thimh vien HDQT - 0%

3 LENAMKHANH Thanh vien HDQT - 0%

4 NGUYEN THI THANH HA Thanh vien HDQT - 0%

5 NGUYEN CHI HIEU Thanh vien HDQT - 0%

6 NGUYEN VAN De Tru6ngBKS - 0%

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8 TRAN HONG GIANG Thanh vien BKS - 0%

9 BUI NGUYEN QUYNH Ph6 Tong Giam doc - 0%

10 HOANGHVNG Ke toan tnrong - 0%

21