BQ TAI CHINH CONG HOA )(At HQ! CHU NGHIA VIET NAMDCw. lap - Tu' do - Hanh phuc

S6: 52/2012/TT-BTC Ha Ndi, ngay 5 thong 4 /tam 2012

THONG TU'Hun•ng din ve viec cong hi') tilting tin tren thi trtrelig chirng klioAn

Can cit. Lua.t Chting khoan so 70/2006/QH11 ngay 29 thong 06 neim 2006;

Can cit. Lu("It Chting khocin stra dai, bd sung so 62/2010/QH12 ngay 24 thong

11 neim 2010;Can ca. LOt Doanh nghiep ngay 29 tilting 11 nam 2005;

Can cz:r Nghi dinh so 118/2008/ND-CP ngay 27 thong 11 'tam 2008 ciza

Chinh phi quy dinh chic Jiang, nhiem vu, quyen han va co. cyiti to chtiv cz:za Bd Tai

chinh,Bd Tai chinh 'twang don ve cong ba thong tin tren thi trtrang chtrng khoan

nhtr sau.

Chu'o'ng IQUY DINH CHUNG

Ditu 1. Dtti tt •ong cong bo thOng tin

D6i tam!, cong 1)6 thOng tin bao g6m: cong ty ddi chimg, to chdc phat hanh(ngodi trir tru•gng hop phat hanh trai phieu dtrgc Chinh ph6 bao lanh), cong tychirng khoan, cong ty quan 1)"/ quy, S • giao dich chang khoan (SGDCK), Trung tarnLim 14 chang khodn (TTLKCK) va ngurgi co lien quan.

Dieu 2. Gini thich thu'at

Ngoai cac thuat ngir da dtro.c quy dinh tai Luat Chang khoan va cacdinh dia Chinh phu, cac tix trong ThOm2, to nay duvc hieu nhu sau:

COng ty ddi chiing la cOng ty co phan theo quy dinh t1i khoan 1 Dieu 25Ludt Chimg khoan.

COng ty dui chimg quy mO lOrn la ding ty ddi chtang co v6n .dieu thurc ggptir 120 tydOng tra len dtrgc xac dinh tdi , Bão coo tai chinh ndm gan nhat co kiemman hoac theo ket qua phat hanh gan nhat va co so luting co dOng khOng thap horn300 co dOng tinh tai the•i diem chOt danh sdch CO dOng tai TTLKCK vao ngay 31thong 12 hang n5m theo danh sdch cOa UST ban Chimg khoan Nha ntrO•c (UBCKNN)cOng bO.

3. Co &Ong not ho IA thanh vién HOi deThg quan tri, Ban kiem soot, T6ngGidm d6c/Giam d6c, PhO T6ng giam d6c/PhO Gidm cl6c, Giam citic Tai chinh, K.6

toan truang, TruOng phOng tai chinh ke toan cua cong ty dai chimg.

4. ,Nhd &Au tu. not 13,6 cita quy dai chUng dang dOng (bao gOm quydOng, quydau tu. bat &Ong san) ld nhd dau tu giix cdc chirc danh sang rap vien, thanh vien Bandai dien q4 dau to chi.mg khoan, thanh vien 1-16i ,dOng quan tri, Ban kiem soar (neuco), Ban dial hanh cong ty quan 1y quy, ngui diéu hAnh quy dau tu dai chtang.

5. TO chirc kiem toan dugc chh thu4n Id doanh nghiep kiem toan dugc Uyban Chirng khoan MIA nubs chap thtfan kiem toan theo dieu kien do BO Tai chinhquy dinh.

co6. SO co phieu dang luu hAnh co quyen bieu guy& cong ty dai ch6ngso O phial co quyen bieu quyet cua cOng ty da phat hánh trir di so co phial quycua cOng ty.

7. TO chirc niem yet, dang ky giao dich la to chirc co chimg khoan niem yet,dang 14 giao dich tren SGDCK.

Dieu 3. Yen cillu thkre hien cong bei thiing tin

Viec cong 17,6 the-1g tin phi &Ay du, chinh xac vd kip thOi theo quy dinhcua phdp

Viec cOng b6 thOng tin phai do nguOi dai dien theo phap luat cua cOng tyhoac ngugi dugc 4 quyén cOng bO thong tin thus hien. Ngue.i dai dien theolu'at ctla cOng ty phai chiu trash nhiem ve tinh chinh xac, , kip th6i va day du vethOng tin do ngtrexi dugc uji quyen cong be thOng tin cong bO.

Truong hgp thkrc hien cong bo thOng tin thOng qua ngu6i dugc 4 quyencOng bO thOng tin, cOng ty dai chimg, to chirc phat hdnh, cOng ty chirng khoan,cOng ty quan ly quy phai clang kj/ mot (01) ngugi dugc 4 quyen thtrc hien cong be)thOng tin theo Phu ltic I kern theo ThOng tu nay. TarOng hop thay dOi ngu6i dugc 4quyén cOng bO thOng tin phai thOng bao bang van ban cho UBCKNN, SGDCK it nhatnarn (05) ngdy lam viec truck khi co str thay dOi.

TruOng hgp co bat 14 thOng tin ndo lam anh huOng den gia chdngkhoan thingtr6i dai dien theo phdp lujt cua cong ty hoac ngtrOi dugc 4 quyen cOng bO thOng tinphdi xac nh"an hoac dinh chinh thOng tin do ,trong thOi han hai muai bOn (24) gig, kekhi nhan dugc thOng tin d6 hoac theo yeu cat cua UBCKNN, SGDCK.

3. Viec cong b6 thOng tin phai dugc thus hien clOs ng thed v6i viec baocdoUBCKNN, SGDCK ye not dung thOng tin cong bO, cu the nhu sau:

3.1. COng ty dai chUng, to chirc phat hdnh, cong ty chUng khodn, cong tyguar' 1/ quy khi thus hien cOng bO thOng tin phai dOng thOi bao cdo UBCKNN;

3.2. SGDCK, TTLKCK khi thtrc hien cong b6 thOng tin phai d6ng thOi baocao UBCKNN dOi veri nhang thOng tin phat sink tir SGDCK, TTLKCK;

3.3. T6 chirc niem yet, dang ky giao dich, cOng ty chirng khoan thanh vien,cOng ty quan ly quy co quan 1/ quy dai chUng dang dOng \id cong ty &du tu chUngkhoan dai chimg khi thus hien cOng bO thOn p, tin phdi dOng thOi bdo cdo UBCKNN,SGDCK;

3.4. COng ty cyan 1/ quy co trash nhiem cOng bo thOng tin ve hoat dOng ct:ta

quy dai chUng, cong ty dau to chirng khoan dai chUng do minh quan lY theo quydinh cua phap luAt co lien quan. TruOng hop cong ty quan lY quy Id cong ty daichUng thi phai thtrc hien trach nhiem cong 1)6 thOng tin ap citing cho cOng ty daichdng.

NgAy cong 13.6 thong tin IA ngdy thOng tin xuAt hien tren phuang tien cOng1)6 thOng tin; ngdy bao cao ve viec cOng bO thOng tin Id ngdy girl fax, giri chi lieudien tit. (qua email hoac qua he thOng cong nghe thOng tin tiep nhAn bao cao), ngdyUBCKNN, SGDCK nhan dugc thOng tin cong 1)6 bang van ban.

NgOn , ner thuc hien cong 17,6 thOng tin trén tru6ng chirng khoan VietNam 'Alai IA tiéng Viet. Tru6ng hop phap luAt quy dinh cong bO thOng tin bO sungbang ngOn ngt`r khac, ngOn ngir tilde hien cong 1)6 thOng tin bao gom tieng Viet vangOn ngft khac theo quy dinh.

Truang hop co sir thay dOi not dung thOng tin da cong bO, cac (Mi tuongcong 13,6 thOng tin theo quy dinh tai DiOu 1 ThOng to nay phai dOng thári bao caoco van ban giai trinh cho UBCKNN, SGDCK (truOng hop Id to dint niém yet,Bang kY giao dich).

Cac dOi Wong cOng 13,6 thOng tin thdc hien bao quan, luu gift thOng tin dabao cao, cong 13,6 theo quy dinh cua phap luAt.

Dieu 4. Pbt ••ng tien va hinh fink cong hO tilling tin

Viec cong 1)6 thOng tin dugc thuc hien qua cac phuang tier' cOng 1306' thOng tinsau:

I. I .Bao cao thuang nién, trang thOng tin (Website) va cac An phamkhac cda , chirc thuc dOi tuvng cOng bO thOng tin;

1.2. Cac phuang tien cong 13,6 thOng tin cita UBCKNN bao he thOngtip nhAn bao cao cOng be) thOng tin, cong thOng tin dien tit va cac an phdm khaccda UBCKNN;

1.3. Cac phuang tien cong 1:16 thOng tin cim SGDCK bao gOm: he the-1g tipnhAn bao cao va cong 136 thOng tin, trang thOng tin dien td cda SGDCK, bang hienthi dien rd. tai SGDCK;

1.4. Phuang tien cOng 13,6 thOng tin dm TTLKCK: trang thOng tin dien tit cuaTTLKCK;

1.5. Phuang tien thOng tin dai chUng khac theo quy dinh cUa phap luAt.

Cac tai lieu, bao cao gdi cho UBCKNN, SGDCK &roc the hien duai hinhfink van ban va hinh thdc dir lieu dien tit co sir citing chit ky so theo huOng dAn cUaUBCKNN, SGDCK.

Truang, hop UBCKNN, SGDCK trie'n khai he thOng tip nhAn bao caocong 'DO thOng tin thOng qua cOng true tuyen, hinh thirc cOng bO thOng tin dm cacdOi tuong cOng b15 thOng tin quy dinh tai Dial 1 ThOng to nay throe thuc hien theohtrárng dan cda UBCKNN, SGDCK.

3. COng ty dai chang phai l'Ap trang thOng tin dien td trong vOng sau (06)thang ke tit ngdy trO thanh cong ty dai chUng; cOng ty chirng khoan, cOng ty quan

3

quy phdi lap trang thOng tin dien ttr trong vOng sau (06) thing ke tir ngdy dugc capphep va chinh th •c hoat d6ng, to chdc phat hanh trai phiedra cong chUng phdi laptrang thOng tin dien tir truck khi thuc hien chdo ban trai phial ra cOng chUng. TrangthOng tin dien tir phai co chuyen muc riéng ye quan he co dOng (nhd ddu tu), trongdo phai cOng 1)6 Dieu le cong ty, Quy the qudn tri ,n6i 17,6 (néu co), Bán cdo bach(neu co) cdc thOng tin phai cong b6 dinh 14, bdt thuang va theo yeu cdu quydinh tai ThOng tu nay. Cac dOi tugng cong bO thOng tin phdi thOng bdo veriUBCKNN, SGDCK va cong khai ye dia chi trang th6ng tin dien tir va moi thay dOilien quan den dia chi nay trong thai han ba (03) ngay ldm viec ke tir ngdy hodn tatviec lap trang thOng tin dien hoac ngdy thay dOi ve dia chi trang th6ng tin diennay.

Bles t, 5. -Lyn hoiin cong 136 thOng tin

Truing hgp viec cOng 17,6 thOng tin khOng the thuc hien dung thai han vinhdng 1)% do bat khi khdng (thien tai, hOa hoan, chitin tranh ya nhang twang hgpkhdc dugc UBCKNN chap thuan cho tam hoan cOng b6 th6ng tin), cdc dOi tugngcong 13.6 thOng tin phdi bdo cdo UBCKNN, SGDCK ngay khi xdy ra thien tai, h6ahoan, chitin tranh hoac truck thai han cong b6 th6ng tin dOi nhimg truang hopkhdc ma dOi tugng cong bO thOng tin de nghi UBCKNN chap thuan cho tam hodncong b6 ya phdi thuc hien cong b6 th6ng tin ngay sau khi sir kien bat khi khdngdugc khac phuc.

Viec tam hodn cOng b6 thOng tin dugc UBCKNN chdp thuan bang vanbdn phdi dugc cOng b6 tren phu •ng tien cong b6 th6ng tin cila dOi tugng cOng bOthOng tin va UBCKNN, SGDCK, trong do neu ro ly do dia viec tam hoan cOng b"OthOng tin.

Di'éu 6. Xii • ly vi N't cOng 136 thOng tin

TO chirc, ca nhAn co hAnh vi vi pham quy dinh cua phap luat ve cOngthOng tin thi tby theo tinh chat, mdc d6 vi pham ma bi xir 1)/ 14 luat, xd Oat vipham hánh chinh hoac bi truy cfru tranh nhiem hinh six; neu gdy thiet hai thi phaibOi thuang theo quy dinh cUa phap luat.

Ch tro-ng IICONG BO THONG TIN CUA CONG TY DAI CHUNG

Mkic 1QUY DINH CHUNG

Dieu 7. Cong 134 thiing tin dinh 1{7

1. Bao cdo tai chinh nam

COng ty dai chUng phai cOng b6 thOng tin ve Bdo cdo tai chinh nam da dugckiem toan cham nhat ld muai (10) ngdy, ke tir ngdy to chdc kiém toan d6c lap 14bdo cdo kiem town. Thai han cOng 116 thOng tin Bao cdo tai chinh nam khOng quachin muai (90) ngdy, ke tir ngdy ket thlic nam tai chinh. N6i dung cu the nhir sau:

4

1.1. Bao cao tai chinh nam cua cong ty dai chCing bao Bang can dOi ketoan; Bao cao IC& qua hoat &Ong kinh doanh; Bao cao ltru chuyen tien te; Banthuy& minh Bao cao tai chinh theo quy dinh cua phap luat ve ke toan.

Ban thuy6t minh Bao cao tai chinh phai trinh bay day d6 cac not dung theo quydinh caa phap luat ve ke toan. Trueng hop trong Ban thuyet minh Bdo cao tai chinh cochi dan den Phu luc, Phu luc phai dtroc cOng bo ding Ban thuye't minh Bdo cao taichinh. Thuyet minh Bao cao tai chinh phdi trinh hay cu the cac not dung ye giao dichvari cac ben lien quan theo quy dinh cOa‘ Chuan mtrc ke toan Viet Nam. Tnreng hopBao cao tai chinh nam lap theo dan vi tien to trong k6 toan la ngoai to thi cong ty daich(ing phai cOng 1)6' dOng thOri Bao cao tai chinh nam bang dOng ngoaito va Bao caotai chinh nam quy ,dOi ra d"Ong Viet Nam. Bao cao chinh nam quy dOi ra dOng VietNam phai c6 kién xac nhan ,c6a to chirc kiém toan kiém toan Bao cao tai chinhnam bang ngoai to &roc quy dOi ye ty gia quy dOi va tinh chinh xac cua viec quy dOi;

1.2. Trueng hop cong ty dai chlang IA cong ty me cira s mOt chirc khac thinot dung cong bO thOng tin ve Bao cao chinh nam bao gOm Bao cao tai chinhnam cita cOng ty me va Bao cao tai chinh nam hop nhat. Trtreyng hop cOng ty daichimg Id don vi ke toan cap ten co cac don vi ké toan truc thuOc thi Bao cao taichinh nam bao gOm Bao cao tai chinh nam ctia cOng ty dai chUng va Bdo caochinh nam tong hop theo quy dinh cua phap luat ke toan;

1.3. COng ty dai chtMg phdi cong bo day dtt not dung thOng tin ve Bao cao taichinh nam da &roc kiem toan tren trang thOng tin dien tir caa cong ty dai chimg va tenphtrong tien cong bO thOng tin dia UBCKNN, SGDCK (truOng hop IA to chirc niemyet, clang Ic)'T giao dich), dOmg thOi clang tai kién kiem town ve Bdo cao tai chinh namten mot (01) so bao co pham vi phat hanh trong toan quOc kern theo dia chi trangthOng tin dien tir clang tai toan cao tai chinh nam, Bao cao kiem toan vA/hoacdia chi cung cap Bdo cao tai chinh nam va bao cao kiém town de nha Tau to tham khao,

1.4. Bao cao tai chinh nam va Bao cao kiem toan ve Bao cao tai chinh nam phai&roc Itru tru'bang van ban va du . lieu dien tir it nhat mtrOi (10) nam tiep theo tai trusOr chinh dia cOng ty de nha dau to tham khao.

Bao cao thuOng nien

COng ty dai chimg phai lap Bao cao thtreng nien theo Phu luc 11 kern theoThOng to nay va cong b6 thOng tin ye Bao cao thLreing nien ,cham nhat Id hai inuoi(20) ngay sau khi cOng bO Bao cao tai chinh nam &roc kiem toan. Viec cong b6thOng tin phai &roc thtrc hien tren cac an pharn, trang thOng tin dien tir cna cong tydai chimg, phtrong tien cOng bO thOng tin dm UBCKNN, SGDCK (trueng hop la tochirc niem yet, 'Tang k)"/ giao dich) va luu trir bang van ban va dir lieu dien tir it nhatintrári (10) nam tiep theo tai tru so. chinh dia cOng ty de nha dau to tham khao.ThOng tin tai, chinh trong Bao cao thtrOng nien phai phO hop vai Bao cao tai chinhnam &roc kiem toan.

Bao cao tinh hinh guan tri cOng ty

vety dai chimg phai thirc hien cOng thOng tin theo quy dinh ctia phap

luat ve guan tri cong ty ap dung cho cac cOng ty dai chimg, cu the nhu. sau:

3.1. Dinh IcS/ sau (06) thang va Warn cOng ty dai chimg phai cong be) thOng tin

5

ve tinh hinh qudn tri cong ty theo Phu luc III kern theo ThOng to nay, dOng thai baocao UBCKNN, SGDCK (truang hop IA to chirc niem yet, däng kY giao dich). Thaihan bao cao va cong ho the-1g tin Bao cao ,tinh hinh gudn tri cong ty sat' (06) thongva nam cham nhat Id ba muai (30) ngdy, ke tir ngdy ket thik ky bao cao;

3.2. COng ty dai chimg thgc hien cong bo thOng tin theo quy dinh tai diem3.1 Dieu nay tren trang thOng tin dien tir cua cOng ty dai chung va tren phuang tiencong 11)6 thOng tin ciia UBCKNN, SGDCK (truang hgp IA to chirc niem yet, clang1(./ giao dich).

Hop Dai hOi d'Ong co dOng

4.1. COng ty dai chi:mg phai cOng bo the-1g tin dinh kSi ve Nghi quyet Dai hOi&rig co dOng thuang nien;

4.2. COng ty dai chiing phai cong be; todn bo tai lieu hop Dai hOi dOng co&rig thuang nien/bdt thuang, bao thong bao mai hop, mau chi dinh dai dientheo uy quyen du. hop, chuang trinh hop, phial bleu quyet, cac tai lieu thao luanlam ca thOng qua guyet dinh va du aid() nghi quyet dOi voi tirng van de trongchuang trinh hop tren trang thOng tin dien tir &Ong thai vai viec giri thOng baoviec mai hop va huong dan truy cap trang thOng tin dien tir ve viec hop va tai lieuhop Dai hOi &Ong co &Ong cho cac co &mg truac khi khai mac hop Dai hOi Eng codOng cham nhat la muai lam (15) ngdy.

COng bo thOng tin ve viec chdo ban chirng khoan va tien do sir dung vonthu duoc tir dat chdo ban

COng ty dai chgng thirc hien chão ban chimg khoan phdi tuan tini quy dinhye cOng bo thong tin theo quy dinh phap luat ye chAo ban chirng khodn.

Trueyng hop congs ty dai chimg chAo ban chirng khoan ra cOng chUng huydOng von cho dkr an dau tu, dinh kY sau (06) thang, ké tir ngdy ket thitc dgt chdoban, cOng ty dai chUng phdi bao cao UBCKNN va phdi cong 13,6 thOng tin tren cacan pham, trang thOng tin dien tir cua cOng ty dai chi:mg va tren phuang tien congthOng tin dm UBCKNN, SGDCK (truang hap Id to chirc niem yet, dang ky giaodich) ve tier' d'O , sir dung vOn thu dugc tir dot chdo ban. Truemg hop thay dOi mucdich sir dung On, cOng ty ‘dai chfing phdi cong bO thOng tin vés ly do va Quyetdinh/Nghi guyet ciia Hai &Ong quan tri/Dai hOi &rig co deing ye six thay dOi dotruac khi co sg thay de3i. COng ty dai chung thgc hien bao cao va cong be') thOng tinten cho den khi giai ngan het vOn huy dOng dugc tir dot chdo ban co phieu ra cOngchimg.

Dieu 8. Ofing bo thong tin bAt thuifng

1. COng ty dai chiing phai cOng bo thOng tin bat thuang trong thai han haimuai bOn (24) gia, ke tir khi xdy ra mot trong die sir kien sau day:

1.1. Tdi khodn cna cOng ty tai ngan hang bi phong tod hoac dugc phep hoatOng tra lai sau khi bi phong tod;

1.2. Tam ngirng nit pi-1On hoac town bey' hoat &Ong kinh doanh; bi thu hOiGilt)/ chimg nhan clang 1<.)", doanh nghiep hoac Gidy phep thanh lap va hoat &Onghoac Giay phep hoat Ong;

6

1.3. Nghi quyét/Quyet dinh cOa Dai h6i dOng cO , dOng (kern theo Bien bánhop Doi hOi dOng co dOng hoac Bien ban kiem phieu) ve viec thOng qua cdc quyetdinh dia Doi hOi dOng co dOng theo quy dinh tai Dieu 96 ciia Luat Doanh nghiep;

1.4. Quyet dinh dia Fl6i d6ng qudn tri ve viec mua loi co phieu cua cong tyminh hoac bdn I4i so co phieu da mua; ngdy thuc hien quyén mua co phieu dianguOi se; hiru trdi phieu , kern theo quyen mua co phieu hoac ngay thuc hien chuyendOi trdi phial chuyen dOi sang co phieu; quyet dinh chdo bdn chimg khodn ra nuOcngoai va cdc quyet dinh lien quan den viec , chdo bdn theo quy dinh tai khodn2 Dieu108 dia Luat Doanh nghiep; chién luoc, ke hooch phat trien trung hon va ice hoochkinh doanh hang nom cua cong ty;

1.5. Nghi quyet/Quyet dinh dia Doi h6i d6ng co dOng/H6i ,d6ng quan tri(kern Bien ban hop4i h6i d6ng co dOng ,hoac Bien ban kiem phieu) ve mirc cotirc, hinh thdc tra coO tirc, phat hanh co phieu thuOng; ve viec chia, tach, hop nhat,sap nhap doanh nghiep; tdch, g6p co phieu;

, 1.6. Bdo coo kiem town c6 kien ngo4i kien khOng chap nhan hoac ykien chOi dia to chirc, kiem town dOi Bdo coo tai chinh; cong bO cOng ty kiemtown da 14 hop dOng, kiem town Bdo coo tai chinh nom; thay dOi cOng ty kiém town(sau khi da ky hop dOng) hoac viec , tir chOi kiem town Bdo coo tai chinh ctla cOng tykiem town; ket qua diéu chinh hOi to Bdo coo tai chinh (neu co);

1.7. Khi co su thay d6i nhan six chu ch6t dia cOng ty (thanh vien H6i d6ngguar' tri, Ban kiem soot, Giam dec/PhO Gidm d6c hoac Tong Giam dOc/PhO tongGidm d6c, Giam doe -raj chinh, Ké todn truOng, TruOng phOng tai chinh ke toan);

, 1.8. CO quyet dinh kheri t6, ban an, quyet dinh dia TOa an d6i vóri thanh vienHoi dOng quan tri, Tong Gidm dOc, PhO tong Gidm dOc hoac Gidm dOc, PhO GidmdOc, Gidm doe Tai chinh, Ke todn truth-1g, TruOng phOng tai chinh ke todn, Thanhvien Ban kiem , sodt cong ty; co quyet dinh kheli tO, ban an, quyet dinh Toaan lien quan den hoot d6ng ,c6a cong ty; co ket luan cUa co quan thue ye viec cOngty vi phom phdp Mat ye thue;

1.9. Khi co thOng bdo cua Toa an thu 1)"/ don yeu cau ma thu tuc phd sandoanh nghiep;

1.10. Quyet dinh vay hoac phdt hanh trdi phieu co gia tri tix ba muoi phantram (30%) von ch6 so hiru trey len tinh tai Bdo coo tai chinh nom gan nhat da dugckiém town hoac Bdo coo tai chinh bdn nien gan nhat duoc soot xet; Quyet dinh phdthanh trdi phieu chuyen dOi;

1.11. COng ty nhan duoc thay d6i n6i dung lien quan den Giay , chUng nhandang doanh nghiep hoac Giay phep thanh lap va hoot dOng hoac Giay phep hootd6ng;

1.12. Khi co su thay d6i s6 co phieu co quyen bieu quyet dang km hanh do Oathanh them; mua, bdn co phieu quy tinh tai thOi diem chimg khoOn chinh thik duocdangky tai TTLKCK;

1.13. Khi xdy ra cdc sir kien co anh huOng len den hoot Ong san xuat, kinhdoanh ho4c tinh hinh quail tri cua cOng ty.

7

C6ng ty dai chi:mg phdi cong b6 thOng tin bat thuang trong thbi Ilan baymuoi hai, (72) giO khi co guy& dinh ye viec thanh ldp, mua, ban hoc gidi the congty con, dal to hoc khOng con dau tu vdo cong ty lien doanh, lien ket.

COng ty dai chiang phai cong b6 thOng tin ye cac su kien quy dinh tai khodn1 NTA khodn 2 Dieu nay tren cac an pham, trang thOng tin dien tir cua cong ty dai chi:mgyA tren cac phuang tien cong bO thOng tin dm UBCKNN, SGDCK (truing hop la tochirc niem yet, ding giao dich) N6i dung cong 1)6 thOng tin bat thuang phai neuro su kien xdy ra, nguyén nhan, ke hoach va cac giai phdp khac phuc (neu co).

co4. COng b6 thOng tin lien quan den ngAy ding cu6i ding thuc hien guyencho O dOng hien him

COng, ty dai chUng phai bdo cdo yd. n6p day du cac tai lieu can dr phap lylien quan den ngdy Bang ky cuOi ding du kién thus hien guyen choco dOng hienhiru cho TTLKCK, SGDCK (truing hgp la t6 chirc niem yet, ang ky giao dich) yabdo cdo UBCKNN chdm nhat la mirOi (10) ngdy lam y iec truck ngAy clang ky cu6iding du kien.

Dieu 9. Ging IA titling tin then yeu cau

COng ty dai chUng phdi cong 1)6 thOng tin trong thai han hai muai b6n(24) gia, ke tir khi nhdn dugc yéu cau cua UBCKNN, SGDCK (truing hap IA tochirc niem yet, clang kY giao dich) trong cac su kien sau day:

, 1.1. Khi xdy ra su kien dnh huang nghiém trong den lgi ich hop phdpnhd. dau tu;

1.2. CO thOng tin lien quan den cOng ty dai chUng anh huang Ian den giachirng khodn yd can phdi xdc nhdn thOng tin dO.

COng ty dai chUng phai cong b6 thOng tin theo yeu cau tren cac An pham,trang thOng tin dientd cua cong ty dai chUng, phuang tien thOng tin dai chi:mg ydphuang tien cong 1)6 thOng tin dm UBCKNN, SGDCK (truing hop Id to chirc niemyet, ding kY giao dich). N6i dung cong b6 thOng tin phai neu ro sU kien dugcUBCKNN, SGDCK yeu cau cOng bO; nguyen nhan ya dinh gia cua cOng ty ye tinhxdc thuc cua su kien do, giai phdp khdc phuc (n'éu co).

M c 2

CONG BO THONG TIN CUA TO CH tfC NIEM YET VACONG TY -DA1 CHUNG QUY MO LON

Dieu 10. Ging bti thiing tin dinh kj,

T6 chirc niem yet, cong ty dai chUng quy m6 to n thuc hien cOng b6 thOng tindinh kS/ theo quy dinh tai Dieu 7 ThOng to nay yd cac quy dinh sau day:

T6 chirc niem yet, cOng ty dai chUng quy in6 lan cOng b6 thOng tin ye Bdocdo tai chinh nAm da dugc kiem town boi to chirc kiem town dugc chap thudn.

T6 chirc niem yet, cong ty dai chUng quy mO phdi lap yd. cOng 1)6thOng tin ye Bdo cdo tai chinh ban nien (06 thing dau ndm tai chinh) da dugc sodt

8

xet bai to chirc kiem toan dugc chAp thuAn theo ChuAn mdc kiem town v" cong tacsoat xet Bao cao tai chinh trong thai han ndm (05) ngdy lam viec, ke ngay tochirc kiem toan dugc chap thudn ky bao cao soat )(et. Thai han cong bO thOng tinBao cao tai chinh ban nien da dugc soat xet khOng qua bOn muoi lam (45) ngdy, ke

,td ngay ket thtic sau (06) thang dAu ndm tai chinh. Truang hgp to chin niem yet,cOng ty dai chUng quy mO 16n la cong ty me cita mot to chirc khac hodc la don vi ketoan cap tren co cac dart vi ke toan true thuOc thi thai han cong bO thOng tin ye Baocao tai chinh ban nien hop nhat hodc Bao cao tai chinh ban Men tong hap da dugcsoat xet va Bao cao tai chinh ban nien cua cong ty me hodc dan vi ke toan cap trenId sau muoi (60) ngay, ke tir ngdy két thfic sau (06) thang dau ndm tai chinh.

Bao cao tai chinh ban nien kern theo toan bO Baia cao cong tac soat xet Baocao tai chinh ban nien phai cong b6 den trang thOng tin dien tir cua to chirc niemyet, cong ty dai chUng quy mO va den phugng tien cOng be) thOng tin ctiaUBCKNN, SGDCK (twang hop ld to chirc niem yet, (rang ky giao dich) va phaidugc Itru bdng van bán va dir lieu dien tir it nhAt mtrai (10) näm tiép theo tai truso chinh cua cong ty de nha dau tu . tharn khdo.

T6 chirc kiem toan thdc hien soat xet Bao cao tai chinh ban nien phai IA tochirc kiem toan dugc chap thudn da dugc chon de kiém toan Bao cao tai chinh ndmcita to chirc niem yet, cong ty dai chi:mg quy rn6

3. TO chirc niem y6t, cong ty dai chi:mg quy inO cOng b6 thOng tin ve Baocao tai chinh quy trong thai han hai muai (20) ngdy, ke tix ngdy ket thilc q4. Twanghop tO, chdc niem yet, cong ty dai chUng quy lan Id cong ty me hoc dan vi ketoan cap tren co cac dan vi toan trdc thuOc thi phai cOng b6 thOng tin ve Bat) caotai chinh quy cua cOng ty me va Bao cao tai chinh hgp nhat hoc Bao cao tai chinhtOng hop trong thai han bOn muai lam (45) ngdy, ke tir ngdy k6t th6c quy. NOi dungcu the nhu sau:

3.1. Bao cao tai chinh quy cita to chirc niem y6t, cOng ty dai chUng quy m616n bao gOm cac bao cao theo quy dinh tai diem 1.1 khoan 1 Dieu 7 ThOng to nay;

3.2. Truang hop lgi nhudn sau thue thu nhdp doanh nghiep tai Bao cao ketqua hoat dOng kinh doanh gitla bao cao quy cUa ky cOng b6 so vai bao cao quyding kji närn truck co bién d6ng tir muai phAn tram (10%) tra len bode ket quakinh doanh trong quy bi 16, to chdc niem yet, cOng ty dai chUng quy mO Ian Oa'giai trinh r6 nguyen nhan trong Bao cao tai chinh quy dO. Truang hop to chirc niemyet, cOng ty dai chUng quy m6 lan la cOng ty me thi phai giai trinh r6 cac nguyennhan do trong ca Bao cao két„ qua kinh doanh cOng ty me va Bao cao ket qua kinhdoanh hgp nhat; twang hgp to chirc niem yet, cOng ty dai chfing quy m g' Ian Id danvi ke toan cap tren co cac dart vi ké toan trdc thuOc thi phdi giai trinh nguyen nhantrong ca Bao cao tai chinh cua to chirc niem yet, cOng ty dai chUng quy mOBao cao tai chinh tOng hgp;

3.3. T6 chirc niem y6t, cOng ty dai cht:ing quy 1116 lan phai cOng 116 day d6Bao cao tai chinh quy tren trang thOng tin dien ttr ctia cOng ty va tren phuang tiencOng bO thOng tin dia UBCKNN, SGDCK va phai dugc ltru trd bang van ban valieu dien tir it nhat mtrai (10) ndm tiep theo tai tru chinh cita cong ty de nhd dau totham khao.

9

4. Trugng hop Bdo cao tai chinh nam da &rot kiem toan va Bdo cao tai chinhban nien dtrot , soat xet co cac )"T kien ngoai trir/luu )"/ thi cong ty phdi cOngbO thOng tinye trinh dOi vgi cac y kien ngoai trieltru Y do.

Dieu 11. COng bo thOng tin kit thuimg

T6 chirc niem y6t, cOng ty dai chnng, quy mO lOn phdi thyc cong b6thOng tin bat thuVng trong thgi han hai muai bOn (24) gig theo quy dinh tai khoan 1Dieu 8 ThOng tu nay va khi xay ra mot trong cac su kin sau day:

1.1. COng ty bi ton that tai san co gia tri tir mu6i phan tram (10%) vonso' hiru trg len tinh tai Bao cao tai chinh nam gar" nhat d'd duvc kiem toan hoac Bdocao tai chinh ban nien gan nhat dtrgc soat xet;

1, .2. Quy6t dinh/Nghi guy6t Dai h6i d6rig co dOng/H6i d6rig gudn tri lienquan den van de tang, gidm vOn dieu gOp von co gia tri to magi phan tram(10%) tra len ,tOng tai san dia cOng ty vaotu'von to chirc khac; gOp von cocó gia tri tnammtrai phan tram (50%) tra len tong von dm cong ty nhan vOn g6p; thOng quahop dOng vay, cho , vay va. hop dOng khac co gid tri bng h lOn hon nam inuaiphan tram (50%) tong gia tri tai. san tinh tai Bao cao tai chinh nam gan nhat dagckiém toan hoac Bao cao tai chinh ban nien gan nhat duvc soat xet;

1.3. Nghi guyet/Quye' t dinh cua Dai h6i d6ng co clOng/H6i dOng gudn tri veviec mua, ban tai san co gid tri 16n hon magi lam phan tram (15%) tong tai san ct:iacong ty tinh tai Bdo cao tai chinh nam gan nhat duvc kiem town hodc Bao cao taichinh ban nien gan nhat duvc soat xet;

1.4. Nghi quyét/Quyet dinh dia Dai h6i ciOng co dOng/H6i dOng gudn trihoac van bdn cua co' quan nhd nugc co tham guy& (d6i vgi nhang twang hop candtrgc chap thuan dm co. quan co tham quyen) ye viec dOng m6 cOng ty tryc thugc,chi nhdrih, nha may, van pheng dai di0;

, 1.5. Khi chirng khoan niem y6t cOng ty (twang hop la to chirc niemyet) tang tran ho4c gidm san mugi (10) phien lien tie') tr6 len;

1.6. Khi co giai trinh lien quan d6'n cac s6 lieu tai chinh do cong ty phai cOngb6 thOng tin theo quy dinh cua phap luat khdc vgi s6 li6u tai chinh tai Bdo cao taichinh dugc ki6m toan.

T6 chirc niem y6t, cong ty dai chiing quy mO 16n phdi cOng b6 thOng tinbat thubng trong th6i han bay muoi hai (72) gi g theo quy dinh tai khodn 2 Dieu 28ThOng tu nay va ké tir khi duvc chap thuan hodc bi huy b6 niem yet tai SGDCKnugc ngoai.

3. T6 chire niem y6t, cOng ty dai chiing quy mO I6n phdi cOng b6 thOng tincac sy kin quy dinh tai khodn 1 va khodn 2 Dieu nay ten cac an pham, trang thOngtin din tit dia cOng ty va tren cac phacmg tien cOng IDO thOng tin cilia UBCKNN,SGDCK (trugng hop la t6 chirc niem yet). N6i dung cOng b6 thOng tin bat thugngphai neu r6 sy kien xdy ra, nguyen nhan, ke hoach va cac giai phdp khac phyc (neuco)

Dieu 12. COng b6 dicing tin theo yeu din

TO chirc niem yet, cOng ty dai chUng quy mO lOn phai cOng b6 thOng tin theo

10

yéu cau theo quy dinh tai Dieu 9 ThOng tu nay.

Dieu 13. TWA diem 1A't clan thtyc hien va chiim dirt y iec cong be thongtin ciia cong ty dai chung quy me leen

COng ty dai chUng bat dau thuc hien nghia vu cong b6 thOng tin cUa cOngty dai chimg quy rnO 16n theo quy dinh tai ThOng tu nay ke tii thai diem co tentrong danh sdch cong ty dai chang quy mO lérn do TTLKCK cong b6.

Sau mot (01) näm ke tir ngay khOng con la cong ty dai chUng quy rnO 16ntheo danh sdch do TTLKCK cong bO, cong ty dai chimg quy mO lérn se thuc hiennghia vu cong b6 thOng tin nhu quy dinh dOi v •i cong ty dai chUng hoac to chircniem yet theo quy dinh tai ThOng tu nay.

Dieu 14. COng be thong tin cult to chtk niem yet trai phieu doank nghiep

TO chirc niem yet trai phial doanh nghiep la cong ty dai chiing thuc hiencong b6 thOng tin theo quy dinh tai Dieu 10, Dieu 11 va, Dieu 12 ThOng tu nay.

T6 chirc niem yet trai phieu doanh nghiep la cOng ty co phan chu g daichimg, cong ty trdch nhiem hire han, doanh nghiep nhd nuac thuc hien cOng b6thOng tin nhu sau:

2.1. COng b6 thOng tin dinh 1(./ ve BA° cdo tai chinh nam va Bdo cão thu6ngnien theo quy dinh tai khoan 1, khoan 2 Dieu 7 N/A khodn 1 Dieu 10 ThOng tu nay;

2.2. COng b6 thOng tin bat thueng theo, quy dinh tai Dieu 11 ThOng tu nay(trong dO thay H6i dOng (pan thanh H6i dOng thanh vien dOi cong ty trdchnhiem hixu han);

2.3. COng b6 thOng tin theo yeu cau theo quy dinh tai Dieu 9 ThOng to nay.

Chu'o'ng 111

CONG BO THONG TIN CUA TO CHUG PHAT HANH TRAI PHIEUDOANH NGHIEP RA CONG CHUNG

Dieu 15. Theri gian cong be titling tin

T6 chirc phdt hanh trai phieu doanh nghiep ra cOng chi:mg cOng b6 thOng tintheo quy dinh tai ThOng tu nay trong khodng th6i gian tir khi phat hanh trai phial racong chiing den khi hoan tat thanh town trai

Dieu 16. Nei dung cong be thong tin ctia to chitc phlit hank trai phieu

COng 17,6 thOng tin dinh kS,/: T6 chirc phat hanh trai phieu doanh nghiep racOng chUng phai cOng b6 thOng tin dinh IKS/ ye Bdo cdo tai chinh ndm, Bdo cdo thuOngnien theo quy dinh tai khoan 1, khodn 2 Dieu 7 ThOng tu nay.

COng b6 thOng tin bat thueng: T6 chirc phát hanh trai phieu doanh nghiep racOng chtIng phai cong bO thOng tin bat thuOng theo quy dinh tai diem 1.1, diem 1.2khoan 1, khodn 2 Ira khodn 3 Dieu 8 ThOng tu nay.

3. Trugn hgp Oat hanh trai phieu chuyen d6i khOng bat bu6c, to chirc Oathanh phai giri thu thOng bão toi tirng trai chi va thuc hien cOng bO thOng tin ye th6i

11

gian, ty le, gia, dia , diem däng, kS chuyen d6i cham nhat mot (01) that-1g truce ngdychuyen dOi trai phieu tren cdc an pham, trang thOng tin dien tir cua to chirc phat hanhva ten cdc phuang tien cong bO thOng tin dm UBCKNN, SGDCK (truOng hop ld tochirc niem yet).

Dien 17. Cling b6‘ tilling tin ve viec chão ban trai phiê'u doanh nghiep racong chting N/A tien do sir dung vein thu duvc dcrt chão ban

T6 chirc phât hanh trai phieu ra cOng chUng phdi tuan , thii quy Binh vecong 1)6 thOng tin theo quy dinh phdp luat chdo ban trai phieu ra cong chimg.

Truang hop cong ty chao ban trai phieu ra cong chi:mg de huy dOng voncho du an dau tu, dinh ky salt (06) thing ke tir ngay ket thiic dot chdo ban, to chircpi-1dt hanh trai phial phai bac) cao UBCKNN, SGDCK (trugng hop la to chirc niemyet) lid cOng 1343 thOng tin tren cdc an pham, trang thOng tin dien tir cua cOng ty phathanh va tren cdc phtrang tien cong b6 thOng tin dm UBCKNN, SGDCK (truanghop la tO chirc niem yet) ye tien dO ,sir dung von thu dugc tilt dgt chão ban. Twanghop thay dOi muc dich sir dung vOn, tO chirc phat hanh trai phieu phdi cong 13,6thOng tin ye 1ST do va Nghi guyét/Quyet dinh cua FlOi dOng quan tri/Dai hOi clOng coclOng/HOi dOng thanh vien ve sir thay dOi trugc khi co su thay dOi do. TO chirc phathãnh trai phieu thuc hien bao cao va cong 13,6 th6ng tin tren cho den khi gidi nganhet von huy dOng duvc tilt dgt chdo ban trai phieu ra cOng

Chtrung IV

CONG BO THONG TIN CUA CONG TY CHUNG KHOAN,CONG TY QUAN LY QUV

Ditti 18. Cong WO titling tin dinh

I. COng ty quail ly (iji dai chang, cong ty , chirng khoan thuc hien cong 17,6thOng tin dinh kST theo quy dinh tai Dieu 7 hoc Dieu 10 ThOng tu nay.

COng ty guan 1ST quy khdc cOng 1)6 thOng tin dinh ky ve Bao cao tai chinhnam theo quy dinh tai khodn 1 Dieu 7 ThOng tu nay.

COng ty chung khoan phdi cOng 13,6 thOng tin dinh kST ve Bao cao ty 1" vonkhi dung dugc soat xet bai to elide kiem toan dugc chap thuan thing sau (06) vathing muai hai (12) ciing voi th gi diem cOng bO thOng tin Bac, cao tai chinh bannien va Bzio cao tai chinh nam.

Bao cao ve ty le von khi dung ciugc soat xet phdi dugc cOng 1)6 d'Ay du trentrang thOng tin dien tit cua cong ty chdrig khoan va tren phuong tien cong IDO thOng tincua UBCKNN, SGDCK va phai duce luu tril bang van, ban va du lieu dien tir it nhat!naafi (10) nam tiép theo tai tru chinh cOng ty de nha dau tu tham khdo.

Ditu 19. Cling lit) titling tin bat thultng

1. COng ty chirn khodn, cOng ty gudn 1ST quy phdi cOng 1)6 thOng tin batthugng trong thgi han hai muai bOn (24) gi g, ke tir khi xdy ra (holdc khi nhandugc van ban chap thuan cua UBCKNN ye sir kien) dOi vii mot trong cac sir kien

12

sau day:

, 1.1. CO quyet dinh khOi CO, ban an, quyet dinh Tim an d6i vári thânh vienI-10i &Ong quan tri, Tong Giam dOc, PhO Tong giam doc hoac Gidm dOc, PhO GiamdOc, Giam dOc Tai chinh, Ke toan truárng, TruOng phOng tai chinh ke toan, Thanhvien Ban kiem sodt cua cong ty; nguai diet' hanh qu -y &du tu el-tang khodn; co quyetdinh khi CO, ban an, quyét dinh dm Tod an lien quan den hoat dOng cua cong ty; coket luan dia co quan thué ye viec cOng ty vi pham phdp luat ye thue;

1.2. Tdi khodn cOa cong ty tai ngan hang bi phong tod hoac tai khodn duvcphep hoat dOng tra lai sau khi bi phong tod;

1.3. Tam ngimg kinh doanh; tam ngirng mot phan hoac town bO hoat dOng diacOng ty;

1.4. Quy'et dinh dia co quan co tham quyen dinh chi hoat dOng, thu hOi giayphep thanh lap \id hoat dOng;

1.5. Dai hoi dng co &Ong hoac Hoi dOng thanh vien hoac Chi] sa hiru congty thOng qua hop &rig sap nhap vai mot cOng ty khdc; Quyet dinh hop nhat, chia,tach, gOp von lien doanh, chuyen dOi, gidi the cong ty;

1.6. COng ty bi ton that tir muOi phan tram (10%) gia tri tai san tra len;

1.7. COng ty co slr thay dOi ye thanh vien 1-IOi dOng quan tri hoac FlOi dOngthat-1h vien, Chu tich, Giam dOc hoac Tong Giam dOc, , PhO Giam dOc hoac PhOTong giamdoc,, Giam tai ,chinh, Ke toan truang; quyet dinh b6 nhiem hay miennhi:em nguèri diéu hanh qu -y &du tu chang khodn;

, 1.8. COng ty co nhirng thay de)i quan trong trong hoat dOng kinh doanh, baogOm:

Thay dOi ngueri dirng dau chi nhanh, van phOng dai dien;

Lam vao tinh trang pha san; guy& dinh giai the dm co quan co tharnquyen;

Giao dich lam thay dOi quyén sa him co phan hoac von gOp chiem tlrmuOi phan tram (10%) tra len von diéu le da gOp;

Quye't dinh tang hoac giam von dieu Fe;

Quy6t dinh thay dOi ten cOng ty; thay dOi dia diem tru sa chinh, van phOngdai dien, chi nhanh, phOng giao dich;

Quy& dinh b"ei sum dua vac) dp dung, ngirng hoac rut bOt mot hoac motso loai hinh kinh doanh va dich vu chirng khoan;

Quye't dinh thanh lap hay dOng cira cOng ty con, chi nhdnh, van phOng daidien, phOng giao dich a trong nuOt hoac nuerc ngoai;

Giam dOc, Ph6 Giam dOc hoac TOng Giam dOc, Ph6 TOng giam dOc cOngty chirng khoan, nguei dieu hanh quy dai Chung, cOng ty dau to chang khoan bi thuhoi chirng chi hanh nghe chimg khoan.

2. COng ty chirng khodn, cOng ty quail ly quji phdi cOng bO thOng tin ye cdc

13

su kien quy dinh tai khoan 1 Dieu nay tren cac an pham, trang thOng tin dien tir diacong ty chirng khoan, ding ty quail 19 quy va tren phuang tien cong b .(5 thOng tin cUaUBCKNN, SGDCK (truang hop la cOng ty chirng khoan niem yet, cong ty qudn 19quy niem yet). COng ty chirng khoan, cOng ty quan 19 quy khi cong 1)6 thOng tin bAtthueyng phai neu rO" su kien xay ra, nguyen nhan, ke hoach va cac giai phdp khacphuc (neu co).

3. Ong ty quan 19 quy co trach nhiem cong be5 thong tin trong truang hopquy dau tu chang khoan, cOng ty dau tu chang khoan va danh muc dau tu chirngkhodn cua nha Tau tu uy thac do minh quan 19 Id co &Ong co &Ong not be) theoquy dinh tai Dieu 26 va Dieu 28 ThOng tir nay.

Dieu 20. Ciing bii thong tin then yen cAu

1. Cong ty chimg khodn, cOng ty quan 1y quy phai cong ,b6 thOng tin trongthiyi han hai muai bOn (24) gie., khi nhan dugc yeu cau cua UBCKNN,SGDCK (truang hop ld COI-1g ty chirng khoan niem yet, cong ty quan 19 quy niemyet) khi co thOng tin lien quan den cong ty anh hugng nghiêm trong den lgi ich hopphdp cua nha dau tu.

, 2. COng ty chirng khodn, cong ty quail 19 quy phai cong b'c') thOng tin theoyeti cau cua UBCKNN, SGDCK (truang hop la cOng ty chang khodn niem yet,cOng ty quan 19 quy niem yet) thOng qua cac an pham, trang thong tin diencong ty chirng khoan, cong ty quan 19 quy, qua phuang tien cong 1DO thOng tin daichUng va phuang tien cOng be) thOng tin dm UBCKNN, SGDCK (truang hop IAcong ty chirng khoan niem yet, cOng ty quAn 19 quy niem yet) : Ni0 dung cong be)'thOng tin phai neu r(-5 sir kien dugc UBCKNN, SGDCK yeu cat' cong bO; nguyennhan, mac d'cs) xac thixc dia sir kien do va giai phdp khdc phuc (neu co).

Dieu 21. Ging bo thOng tin lathe ciia cong ty airing kholin

COng ty chirng khoan phai cOng bo thOng tin tai tru so chinh, cac chi nhanhva tren trang thOng tin dien tir dia cOng ty ve , cac thay dOi quan den dia chi trusa chinh, chi nhanh, cac not dung lien quan den phuang thtrc giao dich, dat lenh, k9quy giao dich, thbi gian thanh town, phi giao dich, cac dich vu cung cap vá danhsach nhirng ngueri hanh nghe chirng khoan cua cOng ty. Khi thuc , hien giao dich k9quy, cOng ty chirng khodn thOng bao cac dieu kien cung cap dich vu k9 quybao gom yeu cat.' ve t9 le k9 quy, Lai sat vay, thai han vay, phuang thiirc thuc hienlenh goi ky quy be) sung.

Chtr•ng VCONG BO THONG TIN Vt QUY DAI CHUNG, CONG TY DAU TU'

CHUNG KHOAN DAI CHUNG

Dieu 22. COng bii thOng tin dinh kY ye quy dai cluing

1. Ong ty qudn 1y quy cOng thOng tin dinh k9 Bdo cao tai chinh narri‘cUaquy dai chtIng da dugc kiem toan ben cOng ty kiem toan dugc chap thuan ch .* nhat, lamuai (10) ngay, ke ngdy tochirc kiem town dugc chap thuan k9 ba g cdo kiem

14

toan. Thbi han cong b6 thOng tin Bao cao tai chinh nam cua quy dai chiang khOngqua chin muai (90) ngay, ke tir ngdy ket thiic Tidal tai chinh. N6i dung cu the nhusau:

1.1. N6i dung cOng b6 thOng tin ve Bao cao tai chinh nam cOa quy dai chiangtheo quy dinh dia phap luat hien hanh ve ché d6 ke toan Ai) dung cho QuS7 dau tuchirng khodn;

1.2. COng ty quail 1/ quy phdi cong b6 day du not dung thOng tin ve Bao cao taichinh nam da duck kiern toan cua quy dai chiing tren phuang tien cong bO thOng tincua UBCKNN, SGDCK (dOi quy &du tu chirng khoan clang dong, cOng ty dau tuchimg khoan dai chi:mg), dOng th6i clang tai y kien kiem toan ve Bao cao tai chinh namcua quy dai cht:ing tren mot (01) so bao co pham vi Oat hanh trong toan quOc kerntheo dia chi trang thOng tin dien to clang tai toan, b6 Bdo cao tai chinh nam quy dai

Bao cao kiem toan hoc dia chi cung cap Bao cao tai chinh nam dia quy daichiing va Bac, cao kiem toan de nha dau tu tham khao;

1.3. Bao cao tai chinh nam ct:ia quy dai cht:ing phdi ltru nil . bang van ban NthdiTCr lieu dien tir it nhat mini (10) nam tiep theo tai trki chinh dia cOng ty quan 17qu5", de nha dal to tham khao.

2. COng ty quan ly quy cOng b6 thOng tin dinh kS/ ve quy dai chung, cu the nhusau:

2.1. COng ty guar). 1 7 quy phdi cOng b6 bac, cao thay d6i gid tri tai san re-1gcua quy dai chung, cOng ty &du tu chirng khoan dai chimg dinh kSi theo quy dinhthanh lap va quan 1)% cac quy dau tu chirng khodn do B6 Tai. chinh ban hanh tren cacan pham, trang thOng tin dien tir dia cong ty quail lY quy va phuang tien cOng bOthOng tin cOa UBCKNN, SGDCK (dOi quy dau tu chimg khoan dang dOng, congty dau tu chimg khoan dai chng);

2.2. COng ty quail ly quy phdi cong b6 bao cao tinh hinh va ket qua hoatOng dau tu, bao cao tai san dia quy dai chimg, cOng ty dau tu chirng khodn daichimg dinh ky theo quy dinh ve thanh lap va guar' 1)% cac quy dal tu chirng khodndo 136 Tai chinh ban hanh tren cac an pham, trang thOng tin dien to cua cong ty quail1)% quy va phuang tien cOng b6 thOng tin dia UBCKNN, SGDCK (dOi voi quy dauchimg khoan clang dOng, cong ty dau tu chirng khoan dai chimg);

2.3. Th6i han cong b6 thOng tin theo quy dinh tai di6m 2.1 va 2.2 khodn nay nhusau:

Bdo cao tuan phdi cOng b6 thOng tin trong ngdy lam viec dau tien cua tuan tieptheo;

Bao cao thang phdi cOng b6 thOng tin trong thOi han nam (05) ngay lam viec,ke tir ngdy ket tht:ic that-1g;

Bao cao quy phai cOng 17,6 thOng tin trong thei han hai muai (20) ngay, ke tirngdy ket thiic q4;

Bao cao nam phai cOng b6 thOng tin trong thed han chin maul (90) ngdy,ngay ket th0c nam tai chinh.

15

Dieu 23. COng b6 titling tin bAt thtarng ye quy a4i

COng ty qudn 19 quy phai cong be thOng tin bat thu6ng trong th6i hdn haimtrai ben (24) gi6, ke tir khi xdy ra met trong cdc sir kien sau day dOi ycfri quy daichUng:

1.1. ThOng qua guy& dinh cua Ddi hei nha dAti tu;

1.2. Quyet dinh chao ban chi:mg chi quy;

1.3. Qtry dai chUng dugc cap GiAy chirng nhan clang k9 lap quy;

1.4. Quyet dinh thay dei yen dau tu;

1.5. Bi thu hei Giay chirng nhan chao ban chUng chi quy ra cong chi:mg;

1.6. Bi dinh chi, hut' be dot chdo ban chilmg chi quy;

1.7. Sira doi, be sung Dieu le, Bdn cdo bdch;

1.8. Thay dei Ch0 tich \id thdrih yien Ban dai dien, ngu6i dieu hanli;

1.9. Tdm ngUng giao Bich chimg chi quy; co phieu cua cong ty dAu hr chiang khodndai chUng;

1.10. Quyet dinh hop nhat, sap nhap, tdch, gidi the, thanh 19 tai san quy &Au tu,cong ty &du to chirng khodn dai chi:mg;

1.11. Dinh gia sai gia tri tai san rOng did quy dai chUng, cong ty dAu tu chirngkhodn dai chUng.

COng ty quan 19 quy phdi cong be thOng tin ye cdc sir kien quy dinh taikhoan 1 dieu nay tren cdc an pham, trang thOng tin dien tit cua cong ty qudn 19 quyva phuang tien cOng be thOng tin dm UBCKNN, SGDCK (trir ‘ trubrig hop quy daichUng quy ma). COng ty quail 19 guy khi cOng be thong tin bat thu6ng ye quy daichUng pladi nal re su kien xdy ra, nguyen nhan, ke hodch ya cdc giai phdp khacphkic (neu co).

s 3. COng be thOng tin ve ngay clang k9 cuei ding thkrc hien quyen cho nhadau to hien him: COng ty quail 19 qu9iyhdi bdo cdo va nep du cdc tai lieu can cuphap 19 lien quan den ngay däng k9 cuOi ding du kién thuc hien quyen cho nha dauto hien him cua quy dai chUng cho UBCKNN, SGDCK, TTLKCK it nhAt Id mired(10) ngay lam y iec trudc ngdy dang k9 cuei ding du kien de cong be th6ng tin.

Dieu 24. COng b6 thOng tin then yen cAu ye quS, (14i

1. COng ty quan 19 quy phdi cOng be thOng tin trong thei hdri hai muai ben (24)gi6, ke tix khi nhdn dugc yéu cau cua UBCKNN, SGDCK khi xdy ra met trong cdc sirkien sau day:

1.1. CO phan anh cOd ca nhan hoac to chirc den UBCKNN hoac SGDCK lienquan tOi y iec chao ban, gid chUng chi quy ddi chUng dang dOng, gid co phieu cUacOng ty dau to chirng khodn dai chUng;

1.2. Co thayei bat thuOng gid khei luong giao dich chirng chi quy daichUng dang dOng, coO phieu did cOng ty dau tu chang khodn dai chi:mg;

16

2. COng ty quan ly quy phdi cong b6 thOng tin ye quy dai chUng dang dOng,cong ty dau tu chimg khoan dai chi:mg theo yeu cau cua UBCKNN, SGDCK thOngqua cdc an pham, trang thOng tin dien tir cua cong ty quail ly quy, qua phuang tiencong b6 thOng tin dai chtang hoac phuang tien cong 1346 thOng tin cita SGDCK. NOidung cong bO thOng tin phi neu r g ski kien dugc UBCKNN, SGDCK yeu cau cong136 nguyen nhan, mdc dO xac thgc cita st ir kien do.

-Dieu 25. COng hO titling tin ye cong ty cau tu' khoan dal cluing

COng ty guar' ly guy thkrc hien cong 1)6 thong tind g i vii ,cOng ty dauchirng khodn dai chi:mg theo quy dinh tai Dieu 22, Dieu 23 \fa Dieu 24 Th6ng tonay.

among VICONG BO THONG TIN CUA CAC D6I THONG KHAC

Dieu 26. COng bo thong tin ye giao dick ciia co thing Ilfrn yit nIta (fan tu'so' hire 61'5% trik len chtimg chi quy ciia mot quS, dai chnng clang cong

1-6 chirc, ca phan, nhOm ngugi co lien quan nam giir tir nam phan tram(5%) tra len sO co phieu co quyen bieu quyét cua mot cOng ty dai chtIng, nha &du toser hiru tir 5% tr .& len chirng chi quy cita mot quy dai chung dang dOng hoac khikhOng con la co dOng lOrninha dau to sar hiru Ur 5% tr g len chang chi guy cna motguy/ dai chUng clang dOng phdi bão cao ve so y hiru cho cOng ty dai chtling/cOng tyquan ly quy, UBCKNN, SGDCK (truing hgp la to chirc niem yet, clang ky giaodich) theo Phu luc IV kern theo ThOng tu nay tron g., thgi han 07 ngdy, ke ttlr ngdytrg thanh/khOng con la co dOng lOn/nha dau to hiru to 5% trey len chdrig chi quydia mot quy dai chimg clang dOng.

T6 chtrc, ca nhan, nhOm ngugi co lien quan nam giCr tir nam phan tram(5%) tr& len so co phieu co quyen bieu quyét cita mot cOng ty dai cht:ing/nhá (tau toso hiru tit. 5% tar len cht:mg chi guy ctla mot quy dai chi:mg clang dOng co thay dOiye sO lagng co phieuichimg chi quy s6 hiru vugt qua cdc ngu gng mot phan tram(1%) so luting co phieu/chimg , chi guy (ke truing hgp cho hoac dugc cho, tanghoac dugc tang, thira ke, chuyen nhugng hoac nhan chuyennhuang quyen mua cophieu phat hanh them... hoac khOng thut hien giao dichco phieu/chang chi quy)phai thi,rc hien bao cdo trong theei Ilan bay (07) ngdy, ke tir ngdy co sir thay dOi trentheo Phu lkic V kern theo ThOng to nay cho cOng ty dai chiang, UBCKNN, SGDCK(truing hop la to chirc niem yet, clang ky giao dich).

co3. Thai diem bat dau/ket thus viec nam tit nam phan tram (5%)s6 lutingO phieu/chirng chi guy/ hoac th gi diem thay dOi ye sO luting co phieu/chimg chi

quy se( hiru vugt qua cac ngugng mot phan tram (1%) neu tai khodn 1 va khoan 2Dieu nay dugc tinh nhu sau:

, 3.1. Trugng hgp giao dich dugc thirc hien qua SGDCK: th gi diem dugc tinhke tir luc ket thitc chu kY thanh town giao dich;

3.2. Truing hop giao ,dich kheng dugc thcrc hien qua SGDCK: thai diemdugc tinh ke viec chuyén nhugng chimg khoan dugc hoar' tat tai TTLKCK;

17

3.3. Twang hop thirc hien quyen mua co phieu/chirng chi quy phdt hanhthem: thed diem &rot tinh ke tir 16c cong ty dai chtang hodn thanh dot chao ban.

Dieu 27. Ging bo thOng tin ve giao dich ciia co &Ong sang hip trong thOigian bi han the chuyen nhuling

CO dOng sang lAp n'am co phieu bi han the chuyen nhugng theo quydinh tai khodn 5 Dieu 84 Ludt Doanh nghiep phdi giri thOng bac! cho UBCKNN,SGDCK (twang hop la to chirc niem yet, dang ky giao dich), TTLKCK va cOng tydai chimg ve viec thirc hien giao dich chAm nhAt la ba (03) ngdy lam viec truck khithirc hien giao dich theo Phu luc VI kerntheo ThOng tu nay. Trong twang hopchuyén nhugng cho nguai khOng phdi Id coO , dOng sang lAp, nguai , thdc hien chuyénnhucmg phdi gdi bO sung Nghi quyet/Quyet dinh Dai hOi dOng co &mg chapthuAn viec chuyén nhugng tren.

Trong thai han ba (03) ngdy lam viec, ke tir ngay hoan tat giao dich, codOng sang 14 thirc hien giao dich phdi bao ea° cho UBCKNN, SGDCK (truanghop la to chic niem yet, dang ky giao dich) va cong ty dai ch6ng ve lc& qua thkrchien giao dich theo Phu lye VII kern theo ThOng tu nay. Neu giao dich khOng thdchien dugc hoac khOng thirc hien het khOi luting clang ky, co dOng sang lAp phai bac)ca.() lY do vai UBCKNN, SGDCK (twang hop cOng ty dai ch6ng la to chirc niemyet, (ang ky giao dich) va cong ty dai chtIng trong thai han ba (03) ngdy lam viec,ke tir ngdy ket tit& thai han dkr kién giao dich.

Dieu 28. COng bo thOng tin ve giao dich cUa co (Icing not bo) va nha dAuto not bo ciia quy dai chting clang (Icing, nguel (lavc iiy quyen cong 138 thOngtin va ngtrO • co lien quan

Co dOng not be va nha dAu tu not be dm quy dai chtIng dang dOng, nguaidugc ity quyen cOng bO thOng tin va nguai co lien quan cita cac dOi along nay khidkr kien giao dich co phiéu, quyen mua co phieu c6a to chirc niem yet, dang ky giaodich hoac chirng chi guy, quyen mua chdng chi guy cila guy dai ch6ng dang dOng,ke ca twang hop chuyén nhugng khOng thOng qua he thOng , giao dich tai SGDCK(cho hoac dugc cho, tang hoac dugc tang, thira ke, chuyen nhtrong hoac nhanchuyen nhtrong co phieu/chdng chi quy/quyen mua CO phieu/quyen mua chirng chiquy phat hanh them...) phdi bac, cat) UBCKNN, SGDCK va to chirc niem yet, dangky giao dich, cOng ty guar' lY quy trugc ngdy thkrc hien giao dich tOi thieu la ba (03)ngdy lam viec. Thai hart giao dich khOng qua ba muoi (30) ngay, ke tir ngdy dangky tilde hien giao dich va chi dugc bat dAu tien hanh phien giao dich &du tien sauhai muai bOn (24) gia ké tir khi co cOng bO thOng tin tir SGDCK. NOi dung bac) cdotheo quy dinh tai Plitt luc VIII va Phu luc IX kern theo ThOng tu nay.

Trong thai han ba (03) ngdy lam viec, ke tir ngdy hoan tat giao dich dadäng ky, nguai tilde hien giao dich phai bac, ea() cho UBCKNN, SGDCK va tochic niem yet, dang ky giao dich, cong ty quan ly guy ye ket qua thdc hien giaodich CO phieu/cht:rng chi quy/quyen mua coO phieu/guyen mua chdng chi quy theoPhu luc X va Phu luc XI kem theo ThOng tu nay.

, 3. Truang hop kitting thuc hien dugc giao dich hoac khOng thirc hien hetkhOi luting dang ky, trong thai han ba (03) ngdy, 1(6 to ngay 1c6t thilc thiYi han dtrkién giao dich, co &Ong not b() va nha dau to not bo cita quy dai chimg clang &rig,

18

nguiyi dugc ity quyen cong b6 thOng tin va ngu6i CO lien quan cua cdc d6i tugngnay phdi bac) cao UBCKNN, SGDCK ye 19 do khOng thuc hien dugc giao dich.

Co dOng not b6 va nhd dAu to not b6 cua quy dai chimg dang dOng, nguOidugc ity quyén cong bO thOng tin va ngubi co lien quan cua cdc dOi tugng nay phdithuc hien giao dich dung th6i gian giao dich nhu ., da dang k9 vOi UBCKNN,SGDCK va khOng dugc clang mua yd ban co phieu/quyen mua co phieu cita tochirc niem yet/clang 14 giao dich hoac chdng chi quy/quyen mua chirng chi quy cOaquy dai chi:mg dang dOng trong ding mot khodng th6i gian va chi dugc dänggiao dich tiep theo khi da bac) cao két thuc dgt giao dich tru gc do.

Trueng hop co dOng not b6 d6ng th •i IA co dOng lOn thi thuc hien nghiavu cong 1)6 thOng tin nhu quy dinh dOi vOi co dOng n6i b6.

Dieu 29. COng be thong tin ve giao dich chao mua cong khai

T6 chirc, ca nhan chdo mua cong khai yd cong ty dai chUng bi chdo mua phdithuc hien cong bO thOng tin theo quy dinh tai LuAt Chimg khoan va van ban huarngddn.

-Dieu 30. COng bo thong tin ve giao dich co phieu quj,

TruOng hop giao dich co phieu quy cua cong ty dai chUng phdi thuc hiencOng bO thOng tin theo quy dinh cua Luat Chimg khodn yd van ban hu6ng dart.

Chtro• g VII

CONG BO THONG TIN CUA TRUNG TAM LUt K)7CHEING KHOAN VIET NAM

Dieu 31. Nei dung cong be thong tin ciia TTLKCK Viet Nam

1. TTLKCK thuc hien cOng b6 thOng tin trong thai han hai multi b6n (24)gia, ke tir khi )(ay ra mot trong cdc sir kien sau:

1.1. ThOng tin v'e viec cap, thu h6i Giay chUng nhan ThAnh vier' Lin k9, Chinhanh Thanh vien Luu 14;

1.2. ThOng tin ye viec cap giay chang nhan clang k9 chUng khoan Ian dau vadieu chinh Giay chirng nhan dang ky chUng khoan;

1.3. ThOng tin ye viec huy clang 14 chi:mg khodn;

1.4. ThOng tin vé viec cap, hity, bac. Itru ma chirng khodn trong nuac ya machirng khoan dinh danh quOc to (via tat IA ma ISIN);

1.5. ThOng tin ve viec cap ma so giao dich cho nha &Au to nuac ngodi,

1.6. Th6ng tin ye viec thuc hien quyen cfla cdc chUng khodn da dang 14 taiTTLKCK;

1.7. ThOng tin vé viec chuyen quyén so hire cua co ciOng sang lAp dang trongth6i gian han the chuyen nhagng va cac truing hgp chuyen nhugng dac biet maUBCKNN co van ban chap thuan cho thuc hien ngoai he th6ng giao dich cUaSGDCK;

19

1.8. COng b6 thOng tin theo yeu cdu cua UBCKNN.

2. TTLKCK thuc hien cong b6 thOng tin cdc not dung quy dinh tai khodn 1Dieu nay tren trang thOng tin dien tir cua TTLKCK.

Cl•ong VIII

CONG BO THONG TIN CIA SO GIAO DICH CHUNG KHOAN

Dieu 32. ThOng tin ve giao dich chUng khoan tai SGDCK

ThOng tin trong gio giao dich

1.1. T6ng s6 loci chirng khodn dugc phép giao dich;

1.2. Gid dOng ci:ra ngdy horn truck, gid tham chieu, gid ,trdn, san,dra/dOng tirng phiéningay, thuc hien, gid du kien (trugng hop khOplenh dinh kji), mirc ya ky hieu bién dOng gia cua tirng loci chimg khodn;

1.3. Ba mirc ,gid chdo mua, chao bdn tot nhAt cUa co phieu, chimg chiddu tu kern theo khOi lugng d4t mua, ban tuang irng v gi cdc mirc gid do.

1.4. ThOng tin giao dich cua trai phieu phan theo kS/ han con lai, bao g6m:cdc IcS/ han giao dich, lgi sudt, khOi lugng va gid tri giao dich gdn nhdt, bién&Ong lgi suat cua giao dich gdn nhdt so vOi giao dich truck dO.

ThOng tin dinh kST trong ngdy giao dich

2.1. Tinh trang cdc loci chirng khodn;

2.2. TOng so loci chimg khodn dugc phep giao dich trong ngdy;

2.3. Chi s6 gia chimg khodn do SGDCK xdy dung va dugc UBCKNN chdpthudn; mirc va bien dOng chi so so vgi ngay giao dich truck do;

2.4. Mix do dao dOng gid co phieu trong ngdy giao dich;

2.5. SO lugng lenh, so lugng da't mud/ban, gia tri Wang irng vgi mCSi loci chimgkhodn;

2.6. TOng khOi lugng giao dich toan thi trugng (theo do:t khOp lenh; ngdy giaodich);

2.7. Gid, kh6i lugng va gia tri giao dich thkrc hien dia tirng loci chirngkhodn:

KhOp lenh (theo tirng dgt khap 1Cnh va ngdy giao dich dOi v gi khgp lenhdinh kSf va theo ngay giao dich dOi vai tru gng hop khap lenh lien tuc);

Thod thudn (neu co);

Giao dich chirng khodn cua nha &du tu na ge ngodi (neu co);

Giao dich mua, ban lai CO phieu cua t6 chirc niern yet, clang 14/ giao dich (neuco).

2.8. Ty 1" nam giir chirng khodn cua nha dAu to nu& ngodi va gi6i han condugc mua dOi voi tirng loci chimg khoan;

20

2.9. ThOng tin ve intrai (10) co phiL co kh6i luting giao dich lan nhAt vamuai (10) CO phieu bien Ong gia lan ilhdt so vari ngay giao dich gannhat;

2.10. ThOng tin giao dich cua muai (10) , c6 phiL co gia tri niem y"t nhdtva muai (10) co phiéu co gia thi truang nhat;

2.11. ThOng tin Ni. " trai phiLi giao dich bao g6m loci trai phiL, lai suat, thaigian dao han, gia thuc hiOn, igi suat hi@t hanh, lgi suat dao han;

2.12. SO luting co phiL dang luu hanh cita cac co phiL niem yet va thay d6iso vai ngay giao dich truck;

2.13. Cac thOng tin khac phai cong b6 theo yeu cAu ctla UBCKNN.

Di'eu 33. Tluing tin ve to (like niem yet, diing ky giao dick tai SGDCK;Hieing tin ve cong ty chi • ig klimin thanh vien; cong ty quail IS cluS, co quail IS,qu -S, dai cluing clang dOng/cOng ty cau to clui .ng khoim dai chting; qu5' daicluing Ong thing, cong ty dAti to cluing klimin dal cluing

7, , •..1. ThOng tin ve to chirc niem yet, dang 14 giao dich

1.1. ThOng tin chung ve hoat Ong niem )4t, clang ky giao dich:

ThOng tin ve niem y6t/dang ky giao dich l'An dAu;

ThOng tin v" huSi niem y6t/dang14 giao dich;

ThOng tin ve thay d6i niem y6t/dang14 giao dich;

ThOng tin ve niem y6t/dang ky giao dich lai;

ThOng tin v&' xir phat d6i t6 chirc niem ykdang ky giao dich;

Cac thOng tin khac ma SGDCK thdy can thi6t.

1.2. Cac thOng tin dinh ky, bdt thuang va theo yeu cat.' ma to chirc niem y6t,Tang 1<.( giao dich thkrc hien cong bO thOng tin thOng qua phuang tin cong bOthOng tin dm SGDCK.

2. ThOng tin v&s cong ty chirng khoan la thanh vien SGDCK

2.1. ThOng tin chung ve thanh vien:

ThOng tin ve Ic.6t nap thanh vien;

ThOng tin Ni"' xir phat thanh vien, dai din giao dich (n6u co);

ThOng tin v&' chdm dirt to each thanh vien;

ThOng till ve thi phAn mOi giai cita 10 thanh vien co thi phan lon nhdt theoqu)'7;

d) Cac thOng tin khac.

2.2. Cac thOng tin dinh 14, ‘bdt thuang va theo yeu cAu ma cong ty chungkhoan thanh vien thuc cong b n tin thOng qua phuang tien cong 17,6 thOngtin ctla SGDCK.

3. ThOng tin ve cong ty quan ly qu57" co quail ly qu'y dai chiing clangdang/cong ty clau to chirng khoan dai chiing

3.1. ThOng tin chung ye cong ty quail 1)2 quji:

21

ThOng tin ve so lugng cong ty quart 1Y qu9;

ThOng tin ve s6 lugng quy dAu tu chirng khodn/cOng ty dAu to chungkhoan ma cOng ty quail 1Y quy quan

ThOng tin ve xir phat d6i cong ty quart 1Y qu9;

Cac thOng tin khac.

3.2. Cac thOng tin dinh ky, bat thuOrng va theo yeu cAu ma cong ty quail IYqu9 thuc hien cOng bO thOng tin thOng qua phuang tien cOng bo thOng tin dmSGDCK.

4. ThOng tin ve quy dai chimg dang dOng

4.1. ThOng tin chung ve quy dai chung dang dOng:

. lhOng tin ve s6 lugng quy dai chtIng clang dOng;

Cac thOng tin khac.

4.2. Cac thOng tin dinh ky, bAt thuOng va theo yeu cAu ma quy dai chungthuc hien cOng bO thOng tin thong qua phuong tien cOng bO thOng tin cila SGDCK.

5. ThOng tin ve cOng ty dAu tu chimg khoan dai chfing

5.1. ThOng tin chung ve cong ty dAu tu chiing khodn dai

ThOng tin ve so luvng cong ty dAu tu ch(mg khoan dai chimg;

ThOng tin ve xir phat cOng ty dau to chUng khodn dai chimg;

c) Cac thOng tin khdc.

5.2. Cdc thOng tin dinh ky, bat thugng va theo yeu call ma ding ty &Au tochirng khodn dai chUng thtrc hien cOng bO thOng tin thOng qua phuong tien cong bOthOng tin dm SGDCK.

6. SGDCK cung cap thOng tin ve t6 chirc niem yet, ang ky giao dich, quydai chimg, cong ty dau to chirng khodn dai chung cho cac cong ty chUng khodnthanh vien.

Dieu 34. Titling tin gilim sat hokit dOng can thi tru ••ng chirng

1. ThOng tin giam sat hoat dOng cCia thi trueng chung khoim bao g6m:

1.1. ThOng tin ve tam ngimg giao dich ho*ac cho phep giao dich tra lai d6i verichimg khoan niem yet;

1.2. ThOng tin ve chung khodn bi cânh bdo/kiem soat ho'ac khOng con bi canhbdo/kiem sok;

1.3. ThOng tin ye giao dich cit'a co dOng lon, giao dich cua co dOng sang laptrong theri gian bi han the chuyen nhugng, giao dich cua co dOng not bO, ngu .6.i clugcuy quyen cOng bO thOng tin va nguei co lien quan, giao dich cha p mua cong khai, theoquy dinh tat Chuang VI ThOng tu nay; ThOng tin ye giao dich co phieu quy dm tochirc niem yet, dang ky giao dich;

, 1.4. ThOng tin ve viec vi pham quy dinh cOng b6 thong tin dm t6 chirc niemyet, clang ky giao dich, cOng ty chimg khoan thanh vién, cOng ty quan lY qu9, cOngty dau tu chung khodn dai chimg;

22

1.5. ThOng tin ve xix 1)"( vi pham cac quy dinh dia phap luat ve hoat ding thitru6ng chirngkhodn;

1.6. Cdc hung din, thong bdo cua UBCKNN, SGDCK ye quan 1y, giam satthi tru6ng theo quy dinh cua UBCKNN, SGDCK.

SGDCK phai cong b6 thOng tin theo quy dinh tai Dieu 32 va Dieu 33Thong tonay ngay sau khi xdy ra sir kin hoc sau khi nhan &roc , bac) cdo, thOngbac), ho sa cong b6 thOng tin day &I va hop le dm to chirc niem yet, dang k$7 giaodich, cong ty chirngkhodn thanh vien, cOng ty quan 1j/ quy, cong ty &du tu chirngkhodn dai chimg.

SGDCK dinh kS7 hang q4 phdi lap bdo ca.() tong hop ye , viec chip hanhcac quy dinh phap luat ye cong 1)6 thOng tin cila to chirc niem yet, clang kS/ giaodich, cong ty chirng khoan thanh vien, cong ty quan ly quy, cong ty dau tu chimgkhoan dai chtang, cac dOi Wong khdc giri UBCKNN.

Chuang IXTO CHeC THU'C HIEN

Dieu 35. TO chtic thk •c hien

ThOng tu nay co hieu ltrc thi hanh ngdy 01 Jiang 6 nam 2012 va thay theThOng to so 09/2010/TT-BTC ngay 15/1/2010 ciia BO Tai chinh ye cong b6 thOngtin tren thi trueyng chang khoan. Nhang quy dinh ye cong 136 thOng tin tai cac vanban khac do B6 Tai chinh ban hanh trai v6i quy dinh tai ThOng tu nay se bi hay b6va dp dung theo quy dinh cua ThOng to nay.

UBCKNN, SGDCK, TTLKCK, cac cOng ty dai chung, to chirc phat hanh(ngoai trix trueng hop phat hanh trai phieu duoc Chinh phtl bac) lanh), cong tychirng khodn, cong ty quart ly quy cac to chirc, ca nhan co lien quan chiu trachnhiem thvc hien ThOng to nay).

Nai nhan:Van pheng Chinh pha;Van phOng Trung trtmg va cac Ban cita Dang;

- Van phOng QuOc hOi;Van pheng Cita tich ntrac;Cac Bo, ca quan ngang BO, ca quan thuOc Chinh phis;

- HDND, UBND cac tinh, thanh phO true thuOc Trung uang;Van phang BCD pheng chOng tham nhtIng TW;Vien Kiem sat NDTC; Toa an NDTC;

- Kiem toan Nha ntrac;- Ca quan Trung uang cua cac doan tilt;- Cong bac); Website Chinh phU; Website BTC;- Cuc kiem tra van ban - Bq Ttr phdp;

Cac dan vi thuOc BO Tai chinh;- Lau: VT, UBCKNN.

an Xufin Ha

BO T R COIN G•P

TRU'UNG

23

Phu lye so IGIAY QUYÈN1THVC HWN CONG B6 THONG TIN

(Ban hanh kern theo Thong to so /2012/TT-BTC ngdy thang ... tram 2012 cnaBe Tai chInh huarng din ye viec COng ba thong tin tren thi truang chUng khodn)

Ten cong ty CONG HOA XA" . HOI CHU NGHIA VIET NAM1)6'c 14p — Tv do — Hanh phik

SES: , ngdy thang nam

CLAY 1.117 QUYEN THIIC HIEN CONG BO THONG TIN

Kinh

- UY ban ChOng khodn Nha nit&- So Giao dich chUng khoan

Ten giao dich cua to chirc, cong ty/ Ten cong ty quart ly quy: Ten quy dal to chirng khodn dai chUng (truang hop cong ty quart ly quy clang kyngtrai ducfc fly guyen cerm.)41DO thOng tin cho quy dai chnng)

Dia chi lien lac: Dien thoai : Fax: Email: Website:

(Ten nhan vien)Sau day chirng nhan: Ong (BA) S6 CMND (hoac so h6 chieu): Dia chi thvOngChirc vu tai to chirc, cong ty/cOng ty quail ly guy:

( Ten to chirc, cong ty/ Ten cong ty pan ly guy)LA ngtrOi duvc: uy quyen lAm " NgtrOi cong 1)6 thOng

( Ten to chirc, cong ty/ Ten guy dau to chirng khodn dai chnng)tin" cila

GiAy trY quyen nay co hieu lirc kc tir ngdy va cho d6n khi co thOng bat) huy bObang van ban ---( Ten to chirc, cong ty/ Ten cong ty quail lY quy)

Ngtrel (14i di0 theo phap lust(Ky, ghi ro Ito ten, eking dau)

Tai lieu dinh kern:4Sa y'eu ly lich ngtrai duac fry quyen cong bo thong tin

Danh sach ngtrai co lien quan vbi ngtrai dtrot Cry quyen cong bo thong tin.

24

Phu Ity so IIBAO CAO THU'ONG NIEN

(Ban hanh kern then ThOng to se /2012/TT-BTC ngay Mang ... nam 2012 ci:iaBo Tai chinh hung din ye yiec COng bO thOng tin tren thi trueng chnng khodn)

BAO CAO THU'ONG NIENTen COng ty dai chOng:

Nam bao eau..

I. Thing tin cluingI. Thong tin khai quat

Ten giao dich:Giay chirng nhan clang ky doanh nghiep s6:Von dieu la:VOn dau to cua chit sairDia chi:So din thoai:SO fax:Website:Ma co phieu (neu co):

2. Qua trinh hinh thanh va phat trinQua trinh hinhthanh va phat trien: (ngdy thimh lap, theri diem niem yet, thOi

gian ode mO'c six kien quan trong ke tir khi thanh lap den nay).Cdc sir kien khdc.

3. Nganh ngh' va dia ban kinh doanhNganh nghe kinh doanh: (Neu cac nganh ngh'a kinh doanh hoac san pham, dich

vu chinh chiam tran 10% tong doanh thu trong 02 nam gan nhat).tong ban kinh doanh: (Neu cac dia ,ban hoat kinh doanh chinh, chiem tran

10% tong doanh thu trong 02 nam gan nhat).4. ThOng tin 1)".ë mó hinh (pan tri, to chli •• kinh doanh va bO may quan

MO hinh quail tri.Ca cau bO may quart ly.Cac cOng ty con, cong ty lien ket: (Neu danh sach, dia chi, link vuc san xuat

kinh doanh chinh, von dieu le thirc gap, ty la sa hiru cita COng ty tai cac cOng ty con,cOng ty lien ket).

5. Dinh In •ang phat trinCac muc tieu chU yeti dm COng ty.Chian lugc phat trian trung va ddiCac muc tieu dOi mOi truOng, xa, hOi va cong dOng COng ty.

6. Cac rfti ro: (Neu cac ro CO the anli InrOng den hoat dOng san xuAt kinhdoanh hoac de)i vOi viec thtrc hien cac muc tieu cita ctia COng ty).

II. Tinli hint] host Ong trong nam1. Tinh hinh hoat cl Ong san xuat kinh doanh

Kat qua hoat dOng san xuât kinh doanh trong nam: Neu cac ket qua dat &ayetrong nam. Neu nhirng thay doi, Bien dOng 16n ve chitin lugc kinh doanh, doanh thu,lqi nhuan, chi phi, thi trtreng, san pham, nguOn cung cap...vvv.

25

Tinh hinh thuc hien so vai ke hoach: So sdnh ket qua dat dugc trong ndm so vaicac chi lieu ke hoach va cac chi tieu ndm lien ke. phan tich cu the nguyen nhan danden viec khOng dat/ dat/vugt cac chi tieu so vOi ke hoach va so vai ndm lien ke.

2. TO chac va nhan sir— Danh sach Ban dieu hinh: (Danh sach, tom tat IY lich va ty le so hiru co phan co

quyén bieu quyet va cac chUng khodn khdc do cong ty phdt hinh ciaa Tong Gidm dOc,cac Ph6 Tong gidm dOc, Ke toan trtrOng va cac can 130 quail ly khdc).

Nhirng thay dOi trong ban dieu (Liet ke cac thay dOi trong Ban dieutrong ndm).

— So lugng can bO, nhan vien. Torn tat chinh sach va thay dOi trong chinh sachdOi vai ngthYi lao &Ong.

3. Tinh hinh dau tie, tinh hinh thine hien cac du ans a) Cac khodn. dau 16.n: Neu cac khoan dau todugc thuc hien trong ndm (bao

gOin cac khoan dau to tai chinh va cac khoan dau to du an), tinh hinh thuc hien cac duan 16-n. DOi truang hop cong ty da chao ban chi:mg khodn de thuc hien cac du an,can au rO tién thuc hien cac du an nay va phan tich nguyen nhdn clan den viecdat/khOng dat tien do da cOng bO va cam két).

b) Cdc cong ty con, cong ty lien ket: (Mtn tat ye hoat dOng va tinh hinh tai chinhctia cac cong ty con, cOng ty lien ket).

4. Tinh hinh tai chinha) Tinh hinh tai chinh

Chi tièu Nam X-1 Nam X % tang giam

D di vai to chfec khOng phai la tochirc tin dung va to clilec tai chinh phingein hang:

TOng gid tri tai san

Doanh thu thuan

Lgi nhuan tin hoat Ong kinh doanh

Lai nhuan khdc

Lai nhuan truac flute

Lai nhuan sau thue

, co ,Ty l' lgi nhuan tra o tuc

* Ddi vai to chic tin dung va to clifectai chinh phi ngan hang:

TOng gid tri tai san

Doanh thu

Thue va cac khodn phai OpALai nhuan trtrO.c thue

Lai nhuan sau thue

Cdc chi tieu khdc: (tity theo ddc diem rieng cua nganh, cira cOng ty de lam 1'6ket qua hoat &Ong kinh doanh trong hai nam gan nhat).

26

b) Cóc chi tieu tai chinh chit veu

Cac chi tieu Mtn X - 1 Mtn X Ghi chi,

Chi tieu v'e kha näng thanh loan

He so thanh town ngan han:

TSLD/Ng ngan han

He so thanh town nhanh:

TSLD - Hang ton kho

Ng ngan Ilan

Chi tieu v ca cju van

+ He so No./Tong tai san

+ He so No/V6n chu sO. hilu

Chi tieu v näng 14rc hoot Ong

+ VOng quay hang ton kho:

Gia von hang ban

Hang ton kho binh quan

Doanh thu thuan/Teng tai sari

Chi lieu ve kha nang sink 161

+ He se; Lai nhuan sau thud/Doanhthu thuan

+ He so Loi nhu4n sau thue/Venchit sO. him

+ He se Lqi nhuan sau thud/Tongtai san

+ He so Loi nhuan lir boat dOngkinh doanh/Doanh thu thuan

Doi vOi to chirc tin dung \Id to chirc tai chinh phi n :

Chi tieu N5m X-1 Nam X Ghi chi,

1. Quy niO van

— Von dieu le

— TOng tai san có, ,:

— Ty re' an toan von

2. ICe'l qua hoot cl .ang kinh doanh

— Doanh so huy dOng den girl

27

— Doanh so cho vay

— Doanh so thu nog

— No qua han— Na khO dOi— He so sir citing yen— TS/ le no bao lanh qua

han/TOng so du bat) lanh— TS, le no qua han/TOng du no— TS/ le no khO dOi/Teng du ng

3. Kha nang thanh khodn

— Kha nang thanh toan ngay— Kha nang thanh toan chung

5. Co. cau co clOng, thay dOi von clau trr cz'ia chti so' hfrua) CO phAn: Neu tong so ce phan va loai co phan dang km hanh, so luting co phan

chuyen nhuong tg do va so luting ce phan bi han che chuyen ranrcmg theo quy dinhcita phdp luat, Dieu le cong ty hay cam két cna ngtr6i se him. Trueng hop cong ty cochin-1g khodn giao dich tai nuOc ngodi hay bac, trq viec phât hanh va niem yet chirngkhodn tai nudc ngoai, can neu re thi tru6ng giao dich, so luting chit-rig khodn &rocgiao dich hay duqc bat) dor va cac thong tin quan trong lien quan den quyen, nghiacita cOng ty lien quan den chirng khodniao dich hoac &roc bao tro tai nu& ngodi.

1)) Co cau co dOng: Neu co cau coO dOng phan theo cac tied chi ty le se hfru (codOng Ian, co dOng nhO); co dOng to chdc va co dOng ca nhan; co dOng trong nu& N/Aco dOng nu& ngoai, co dOng nha ntrec va cac CO dOng khac.

Tinh hinh thay dOi von dau to cua chn sa him: Neu cac dot tang vein ce phantrong nam bao gem cac dot chdo ban ra cong chung, chao ban rieng le, chuyen dei traiphieu, chuyen dei chirng quyen, phat hanh co phieu thueng, tra ce tdc bang cophieu...vvv thanh ce phan.

coiaodich ce phieu quy: Neu se luting ce phieu quy hien tai. het ke cac giao

dich 6 phieu quy da thuc hien trong nam bao gem th6i diem thirc hien giao dich, gidgiao dich N/A dOi Wong giao dich.

e) Cac chdng ,khodn khac: neu cac dot phat hanh chirng khoan khdc da thgc

trong nam. Neu so lung , dac diem cac loci chirng khodn khdc hien dang hanh N/Acac cam ket chua thgc hien caa cong ty v6i ca nhan, to chdc khac (bao gem can becOng nhan vien, nguai quan 1ST cua cong ty) lien quan den viec phat hanh chung khodn.

11, 1. Ban cal) va dank gia ciia Ban Clam diic (Ban Giam dec bao cdo va &nit giaye tinh hinh moi mat cua cong ty)Bac) cat) va danh gid clia Ban Giam dec tOi thieu phai bao gem cac not dung sau:

Danh gia ket qua hoat dOng san xuat kinh doanh

— Phan tich tang quan ve hoat Ong cna cOng ty so v6i ke hoach/dg tinh va cacket qua hoat deng san xuat kinh doanh tru6c day. Trudng hop ket qua san xuat kinhdoanh khOn2, dat ke hoach thi neu r6 nguyen nhan va trâch nhiem cila Ban Gam &ticdOi vei viec khOng hoan that-1h ke hoach san xuat kinh doanh (neu co).

— Nhang tien be cong ty da dat dugcTinh hinh tai chinh

a) Tinh hinh tai san

28

Phan tich tinh hinh tai san, bin &Ong tinh hinh tai san (phan tich, danh gid hiu quasir dung tai san, no phdi thu xau, tai san xau anh huOng den ket qua hoot d6ng kinhdoanh).

b) Tinh hinh no phdi traTinh hinh no hien tai, bién d6ng ve cac khodn no.Phan tich no phdi tra )(Au, anh huOng chenh lech cua ti le gia h6i dodi den ké't

qua hoat dOng san xuat kinh doanh cua cong ty, anh huOng chenh lech lai vay.Nhii.ng cal tien ye ca cau to chirc, chinh sach, quanljiKC hoach phai trien trong twang lai

5. Giai trinh caa Ban Glair ddc doi 1/61 y kien kiem toan (111.1 co)- (Tru .Ong hop )5kien kiem toan khOng phai la y kien chap thuan town phón).

IV. Danh giA cfia Hoi thing (pan tri vé ho0 (11;ing ciia COng ty

I. Danh gia caa Hai clOng quan tri ye cac mat how clOng clia (-Ong tyDanh gia cua 1-101 dOng quail tri ye hoat clOng caa Ban Gicirn clOc cOng tyCac Ice hoach, dinh hung cua 1101 dong quan tri

V. Quin tri cong ty (TO chirc chao ban trai phieu ra cong chUng hoac niem yettrai phiéu khOng phdi la cong ty dai chiing khOng bat bu6c phdi cong b6 cac thOng tintai Muc nay).,

1. HOi dong quan triThanh vien va co eau cua H6i d6ng quail tri: (danh sach thanh vien HOi d6ng

quan tri, tY, le sO. hiru co phan co quyén bieu quyet va cac chirng khodn khdc do cong typhât hinh. neu rO that-1h vien d6c lap, thanh vien khOng dieu hinh N/A cac thanh vienkhdc; sO luting chirc danh thanh vien h6i dOng quan tri do tirng thanh vien H6i dOngqudn tri cua cong ty nom giix tai cac cOng ty khdc).

Cdc tieu ban thu6c H6i dOng quan tri: (Liet ke cac tieu ban thu'6c HOi d6ngqudn tri va thanh via trong tong tieu ban).

c) Hoat d6ng cua H6i dOng quan tri: danh gia hoat d6ng cua I-I0i d6ng quail titneu cu the s6 luting cac cu6c hop H6i d6rig quan tri, not dung va ke't qua ciia cac cuOchop.

Hoat d6ng cua thanh vien H6i d6ng quart tri d6c lap khOng dieu hinh.Hoat dOng ctia cac lieu ban trong H6i dOng quan tri: (danh gid hoat d6ng ctia

cac tieu ban thu6c Hoi dOng quan tri, neu cu the sO luting cac cu6c hop ciia tirng tieuban, not dung va ket qua ciia cac cu6c hop).

f) Danh sach cac thanh vien H6i dOng quan tri co chirng chi ciao to ve quan tricong ty. Danh sach cac that-1h vien H6i dOng quan tri tham gia cac among trinhguar' tri cong ty trong nom.

2. Ban Kiem sootThanh vien va co cat.' dm Ban kiem soot: (danh sach thanh vien Ban kiem soot,

ty le sa hiru co phan c6 quyen bieu quyet va cac chirng khodn khdc do cong ty phathanh).

Hoat d6ng dm Ban kiém soat:, (danh gid hoat d6ng cila Ban kiem soot, neu cuthe sO luting cac cu6c hop dm Ban kiem soot, not dung lid ket qua cila cac cu6c hop).

3. Cac giao (Lich, this" lao va cac khocin 191 ich caa Hoi clOng (pan tri, Ban giamclOc va Ban kiem salt

a) Luorng, thuOrng, thu lao, cac khodn ltii ich: (Luang,thuang, thu lao, cac khoanloi ich khdc va chi phi , cho tirng thanh vien I I()i dOng quan tri, thanh vien Ban kiemsoot, Giam dOc hoac Tong Giam d6c. va cac can b6 quan ly. Gia tri cac khodn thu lao,loi ich N/A chi phi nay phai throc cOng b6 chi tiet cho tirng nguOi, ghi rO so tier cv th6.

29

Cdc khodn , lgi ich phi vat eh& hoac cdc khodn lgi ich chin the/khOng the luting hodbang tin can dugciet ke va gidiyinh day dil).

Giao dich co6 phieu cua co dOng not bO: (Th6ng tin ye cdc giao dich co phieuctia cdc , thanh \Tien H6i ding quan tri, thimh via Ban ki6m sodt, Gidm d6c (T6ngGidm Mc), Ke todn trugng, cdc can 13.0 qudn ly, Thu 14 cong ty, co dOng 1(m va nhangnguYi lien quan tgi cdc dOi tugng not tren).

Hgp dOng hoac giao dich vai co dOng (ThOng tin ye hop dOng, hoacgiao dich da dugc ky ket hoacda dugc tlwc hien trong nam v gi cong ty, cdc cong tycon, cdc cOng ty ma cOng ty nam quyen , kiem sodt thânh via HOi dOng qudn tri,thanh vien Ban kiem sodt, Giant dOc (Tong Gidm doe), cdc can bO qudn ly va nhirngngugi lien quan tOi cdc dOi tugng not trén).

d) Viec thirc hien cdc quy dinh ye qudn tri cong ty: (Neu rO nhilng not dung chuathy.c hien dugc thco quy dinh cua phi) luat ve qudn tri cong ty. Nguyen 'than, gidiphdp va ke hoach khac plwc/ke hoach tang cuemg hieu qud trong hoat dOng qudn tricOng ty).VI. Bão cao tai chink

12 kién kiem taanBelo cao tai chinh Avec kiSin town (Bao cao tai chinh nam da dugc kiem town

bao gOm: Bang can dOi ke todn; Bdo cao ket qua hoat dOng kinh doanh; BA° cao luuchuyen tien te; Bän thuyet minh Bdo cao tai chinh theo quy dinh ,ctia phdp luat ve ketown va kiem town. Trugng hop theo quy dinh dia phdp luat ke town va kiem town,cong ty phai lap Bdo cao tai chinh hop nhat hoac Bdo cao tai chinh tOng hop thi Bdocao tai chinh trinh bay trong Bdo cao thu gng nien la Bdo cao tai chinh hop nhat dOngth6i neu dia chi cong bO, cung cap bdo cao tai chinh ciia cOng ty me hoac Bao cao taichinh tOng hgp).

Xac nii4n ciia lien then phap It*

cita Cing ty

30

Phu Luc so IIIBAO CAO TINH HINH QUAN TRI CONG TY

(Ban hanh kern theo ThOng to so /2012/TT-BTC ngdy that-1g ... narn 2012 citaBO Tai chinh hung din ye yiec COng bO thOng tin tren thi tru*ng chirng khodn)

Ten cong ty CQNG HOA XA HQI CHU NGHIA VIET NAMDOc lap — Tu. do — Hanh pink

SO: ngay thang. nOm

BAO CAO TINH HINH QUAN TR! CONG TY(6 thang/nam)

Kinh - Uy ban Chirng khoan Nhd runk- Soy Giao dich Chang khoan

Ten cong ty ddi chUng:Dia chi, tru Dien thoai: Fax: Email:Von dieu le:Ma chirng khoan (neu co):

1. Hoat Ong ciia Hoi diing quail tri (Bao cao 6 thang/ndm):

1. Cac cuOc hop cita Hoi dOng quan tri:

Stt Thimh vien HDQT

Chile vy

SO hyp

Ty 1e

L4.7 do killing thamtham

dir

Ong/bd...

Hoat Ong giarn sat cna HDQT dOi v6i Giam dOc (Tong Giam dOc):Hoat dOng cua cac tieu ban thuOc HOi Ong quan tri:

Clic Nglii quyet/Quy& dinh end HCli d4ng quart tri (13do cao 6 thang/nAm):

Stt

So Nghi quyet/ Quyet dinh

NO),

NOi dung

Thay doi danh sach ve ngtriii co lien quan etia cong ty dal chting theo quydinh tai khoan 34 Dieu 6 Lunt Chtimg khoan (Bac) cao 6 thang/nOm):

STT Tén t6chil-c/canhan

Tilikhodngiaodich

chimgkhoan

(n&I co)

ChircN11 taicongty(neuco)

SOCMND/DKKD

NgAycap

CMND/DKKD

Noi capCMND/DKKD

Diachi

ThOidiO'm

bat Aula

ngirOico liénquan

Thaidi&rikhOngcon IAngtrOi

co liCsnquan

LYdo

31

IV. Giao dich cria co &mg not b( va ngu • ri lien quart Oho cao 6 thang/n"am):

Danh sach co &mg not b6 ya ngtrOi co lién quan

Stt Tén tochirc/ca

nhan

Thikhodri

giao dichchirrigkhoan

(nê'ti co)

Chircvu taicong

ty (lieuco)

SOCMND/DKKD

Ngdy capCMND/DKKD

Noi ca. ])CMND/DKKD

Diachi

SO cophiau

sO hintcuOiky

TS/ re

so. hiruCO

phiLcu6i kY

Ghichit

Giao dich co phi6u:

Stt Nguiri thkrchb:.'n giao

dich

Quan Wes vOi co&mg not bi)

A co

.L •So plueu s6

hitt' d'au ky

SO co Olen sci .him cuiii ky

Ly do tang, giam(mua, ban, chuven

..dm i'r, thung...)SO' COphiL

Ty i so cophio'll

Ty l'

3. Cdc giao dich khac: (cac giao dich cita co dOng not b6/ co &ling kin \fa ngtr6i liénquan yai chInh COng ty).

V. Cac van de can lull y khac (Bac) cdo 6 thang/nOm)

Chia tick HDQT(IC, ten ya d6ng &du)

32

Phu luc s6 IVBAO CAO VE so HUU CUA CO DONG LON

(Ban hanh kern theo ThOng to s6 /2012/TT-BTC ngdy thang nam 2012 cnaB6 Tai chinh htrOng dAn ye viec COng be thOng tin tren thi truOng chirng khoan)

Ten Ca nhan/t6 chirc CONG HOA X;4.. H9I CH .1:1 NGHIA VIET NAMDOc 1'0 — Ttr do — Hanh pik,

S6:

, ngay thang nam

BAO CAO VE SO litrU CUA CO DONG LON

Kinh - Uy ban Chirng khoan Nha rar6cSc Giao dich Chimg khodnCOng ty dai chnng/ COng ty quail lY quj'i dai chnng

1. Ca nhan/t6 chirc dAu tu:

Truerng hgp la nha dAu to ca nhan:Ho va ten:

- Qu6c tich: - Nam sinh:S6 CMND/H6 chieu ngay cap not cap Nghe nghiep:

- Dia chi lien lac:

Dien thoai: Fax. Email.

Tru6ng hop la nha dAu ttr to chirc:

- Ten t6 chirc:- Qu6c tich:

S6 GPDKDN:Nganh nghe kinh doanh chinh:Dia chi try chinh:Dien thoai •Fax. Email.

2. Ngtrei co lien quan (clang nam giu ding loci ce phieu/ chimg chi quji):- Flo va ten ca nhan/tO chirc co lien quan:- S6 CMND/H6 chieu... ngay cAp.../S6 chirng nhAn clang ky kinh doanh:

Chirc vg hien nay tai cling ty dai chnng/ c6ng ty quan ly qu -y (nett co):M6i quan he v6i ca nhan/t6 chirc dAu tu:

Ten co phieu/chirrig chi quji/ma chang khoan sa

S6 tai khoan giao dich co co phieu neu tai muc 3: Tai cOng ty chimg khoan:S6 lugng, ty le co phieu/chirng chi qu -y nam giir tar& khi thuc hien giao dich:S6 luting co phieu/chang chi qu -y da mua/ban:S6 lugng, ty le co phieu/cht:rng chi qu5inAm giu sau khi hien giao dich:Ngay giao dich lam thay dOi ty le sOy hiru va trcl thanh co dOng lén/khOng con la co

dOng 16.n:

S6 lugng, ty le co phieu/chimg chi quji" ngu6i co lien quan dang namS6 lugng, ty le co phieu/chimg chi qu'y ding nguOi co lien quan nam giu sau khi giao

dich:Ca nhan/tO chin! bac) cio

(KY, ghi r6 ho ten, dOng dAu — neu la to chirc)

33

Phu Iv s6 VBAO CAO VE THAY DOI SO H11 .11 CUA CO DONG LON

(Ban hanh kern theo ThOng to so .... /2012/TT-BTC ngAy thang nam 2012 dmBO Tai chinh hung dAn ye viec COng be tilting tin tren thi tru gng chirng khodn)Ten ca nhan/t6 chirc CONG HOA )(A. HOI CHU NGHTA VIET NAM

DOc lap — Tli do — Hanh phlic

S6: , ngAy thang nam

BAO CAO VE THAY DOI SO HIM CUA CO BONG LON

Kinh - Uy ban Chling khodn Nha nu:O.c- SO( Giao dich Chung khoan- COng ty dai chi:mg/ COng ty titian lY quy (Jai chling

1 Ca nhan/t6 chirc dAu tu:

Twang hop la nha dau to caHo va ten:Qu6c tich: - Nam sinh:

- S6 CMND/1-IO chiL ngdy cAp not cAp - Nghe nghiep:

Dia chi lien lac:Dien thoai: Fax• Email.

TruOng hop la nha dAu to to chirc:Ten to chirc:

- Qu c tich:S6 GPDKDN:Nganh nghe kinh doanh chinh:Dia chi tru sir chinh:Dien thoai •Fax Email.

2. Ngtrei co lien quan (dang nam giir cling co phieu/chtrng chi guy):Ho va ten ca nhan/t6 chirc co lien quan:

- S6 CMND/H6 ngdy cap.../So chUng nhan clang ky kinh doanh:- Chirc vu hien nay tai cong ty dai chling/cOng ty guan ly guy (n6u co):

1v16i quan he vai ca nhán/t6 chirc dau ter:3. Ten co phieu/chUng chi guy/ma chirng khoan sir hiru:

S6 tai khodn giao dich co co phiL neu tai mac 3: Tai cong ty chirng khozin:S6, 1uvrig, ty le co phi6u/chirng chi guy nam trtrerc khi thkrc hien giao dich:S6 luting co phieu/chimg chi guy &I mua/bAn/cho/dticyc cho/tang/duoc tang/thira

ke/chuyen nhtrong/nhAn chuyen nhtrong (lam thay dOi ty le s g hiru):SO lugng, ty le co phieu/chimg chi guy nam giu sau khi thkxc hien giao dich:SO luting, ty le co phieuichUng chi quS% ngugi co lien quan dang nam giU:So luting, ty le co phieu/chirng chi guy cling ngtreri co lien quan nam gii sau khi thirc hien

giao dich:Ly do thay d6i so hiru:Ngay thay d6i

12. Cac thay dOi quan trong khAc (neu co):Ca nhiinitil chin bão cão

(K57, ghi rO ho ten, dOng dau — neu la to chirc)

34

Phu luc so VITHONG BAO GIAO 1)ICH CUA CO DONG SANG LAP

(Ban hanh kern theo ThOng to s6 /2012/TT-BTC ngay thang nam 2012 diaB6 Tai chinh htrOng dAn ye viec COng bo thOng tin tren thi truOng chirng khodn)

Ten ca nhan/t6 chirc CONG HOA X;1.- HO! CHU NGHIA VIET NAMD6c lap — Ttr do — Hanh phitc

S6: , ngay that-1g narn

THONG BAO GIAO BICH CUA CO BONG SANG LAP

Kinh Uy ban Oiling khodn 1\lhd nudeSi Giao dich Chimg khodnCOng ty dai chirng

1. Ten, co dOng sang ldp thtrc hien chuyennhuvng:,- SO CMND/sO hO chiai ngueri thtrcchuyën nhirong (So' GPDKDN - neu

Id to chirc):QuOc tich:

- Dia chi:Dien thoai lien he: Fax: Email:Chirc vti hien nay tai cong ty (n6u co):

- Tai khoan clang ky lim ky chirng khodn:2. Tén co phiéu/ma chirng khoan giao dich:

Phtrang thirc thtrc hien giao dich:So hsong, ty co6 phieu ciaa to chirc/cd nhdn thtrc hien chuyen nhuvrig ndm gift

truac khi thtrc hien giao dich:So ltrong co phieu däng ky giao dich:Ten to chirc/ca nhan nhdn chuyen nhirong (*):

,- SO CMND/s6 hO chieu neunQtrOi thtrc hien chuyen nhtrong (S6 GPDKDN - neId to chirc):

- QuOc tich:Dia chi:Dien thoai Fax: Email:

- Chirc vu hi0 nay tai cong ty (n6u co):Quan 114' vai ngu*i thtrc hien chuyen nhtrong (neu co):Tai khodn ang 1(3"/ luu 1( .3'7 chirn g khoan:Chirc vu cua ngtrOi co lien quan hien nay tai cong ty (neu co):S6 luvng, ty le co phieu ngtrOi co lien quan dang ndm gift:

S6 Itromg, ty le co phiéu bén nhan chuyen ithuong nam giu truoc khi thtrc hien giaodich:

Thai gian dtr kien thtrc hien giao dich: dnngdy(*):TruO.ng hop ngtrOi dtro.c chuyen nhtrong khOng phdi Id co dOng sang lap, ngtrOi thtrc hien

giao dich phdi gdi Nghi quy'et ctla Dui hoi &Ong co &rig chdp thudn cho viec chuyennhtrong tren.

Ca nhiln/t6 chine bão cooghi ro ho ten, dOng ddu — neu la to chirc)

35

Phu Ivc so VIIBAO CAO KET QUA GIAO DICH CUA CO BONG SANG LAP

(Ban hanh kern then Thong to so /2012/TT-BTC ngay thang nam 2012 dmBe Tai chinh htreng dan ye viec COng be thong tin tren thi trueng chirng khodn)Ten ca nhan/te chirc CONG HOA XA H01 CHU NGHiA VIET NAM

Dec lap - To. do - Hanh phitc

S6: , ngdy thong... nam

BAO CAO KET QUA GIAO 'NCH CUA CO DONG SANG LAP

Kinh Uy ban ChUng khoan Nha nu&Si Giao dich Chimg khoanCOng ty dai chimg

1. Tenc6 dOng sang lap thirc hien chuyen nhugng:,- CMND/sO h6 chieu cua ngu6i thirc hien chuyen nhugng (S6 GPDKDN -neu la to chirc):

QuOc tich:Dia chi:Dien thoai lien he: Fax: Email:Chirc vu hien nay tai cOng ty (neu co):

- Tai khodn dang14 luu ky chdng khodn:2. Ten co phial/ma chimg khodn giao dich:

Phucrng thirc thirc hien giao dich:S6 lugng, ty le co phieu cO dOng sang 14p thkrc hien chuyen nhugng namtru6c , khi thkrc hien giao dich:

5. Ten to chirc/ca nhan nhan chuyen nhugng (*):S6 CMND/sO h6 chieu ctia ngtr6i thkrc hien chuyen nhugng (S6 GPDKDN -

neu la to chirc):QuOc tich:Dia chi:Dien thoai lien he: Fax: Email:

- Chirc vii hien nay tai cOng ty (neu co):Quan he vOi ngu6i thkrc hien chuyén nhucmg (neu co):Tai khoan clang k.)% luu ky chimg khodn:

6. SO lugng, tS, le co phiéu ben nhan chuyén nhugng nam gifir mt .& khi thirc hiengiao dich:S6 'wing co phieu dang14 giao dich:SO lugng co phieu thirc hien giao dich:S6 lugng co phieu ben chuyen nhugng nam gift sau khi thuc hien giao dich:S6 lugng co phieu hen nhan chuyen nhugng nam gift sau khi thirc hien giaodich:ThOi gian thirc hien giao ngdy den ngay 1_,)% do khOng hoim tat giao dich:

Ca nhan/CO , chtiv cão(K5/, ghi re ho ten, &mg dau - neu la to chirc)

36

Phu lye so VIIITHONG BAO CIAO RICH CO PHIEU/CHING CHI QUY CUA CO DONG NOI BO,

NGUOI DUOC UY QUYEN CONG BO THONG TIN, NGU .01 CO LIEN QUAN(Ban hAnh kern theo ThOng to so /2012/TT-BTC ngdy thang nam 2012 dia

B6 Tai chinh huemg dan ve viec COng be thOng tin tren thi truemg chimg khodn)Ten ca nhan/t6 chirc CONG HOA XA 1191 CHU NGHIA VIET NAM

Dec 4 — Tu do — Hanh phiac

SO: , ngdy thong... nam

THONG BAO CIAO DICH CO PHIEU/CHUNG CHI QUY" CUA CO DONG NOI BO,NGLIOI DOC UY QUYEN CONG BO THONG TIN, NGU'61 CO LIEN QUAN

Kinh - Uy ban Chung khodn Nha ntracSi Giao dich Ching khodnTo chirc niem yet/dang ky giao dich/cOng ty guar' 1)% quy

1. Ten ca nhan/tO chirc thtrc hien giao dich:,SO CMND/s6 116 chieu (SO GPDKDN -neu la to chirc):Qu6c tich:Dia chi:Dien thoai lien he: ,Fax: , Email:Chic vv hien nay tai to chirc niem yet/ dang ky giao dich, cong ty quan lY

quy/quy dau to dai chi:mg (neu co):2. Ten cila 'than sir chu chatingtrai duvc ity quyen cong b6 thOng tin ctla to chirc

niem yet/dang kY giao dich. cong ty quail ly quy/quy dau to dai chUng co lien quan(dOi truang hap ngtrai thtrc hien giao dich Id ngtrai CO lien quan):

S6 CMND/s6 h6 chieu (S6 GPDKDN - neu la to chirc):- Qu6c tich:

Dia chi:Dien thoai lien he: ,Fax: , Email:Chirc vu hien nay tai to chirc niem yet/dang ky giao dich, cong ty quail lY

quy/quy &du to dai chang:- M6i quan he ctia ca nhan/t6 chirc thirc hien giao dich veri nhan sir chti

ch6t/ngtrai dtrac ity quyen cong b6 thong tin:SO luting, ty le co phieu/chirng chi quy nhan str ch6 ch6t/ngtrai &Arc fly quyen

cong be> thOng tin dang nam gift:Ma chirng khoan giao dich:,S6 tai khodn giao dich co co phial neu tai mtic 3:

5. SO Luang, ty 1" co phieu/ch(rng chi guy nam Oil truck khi thkrc hien giao dich:6 So lacing co phieu/chirng chi quy dang ky mua/ban/cho/tang:

So luting, ty re co phieu/chirng chi quy dir kien nam giCr sau khi dive hien giaodich:

Muc dich thtrc hien giao dich:Phtrang thirc giao did):

Thai gian dkr kién thtrc hien giao dich: tir ngay den ngdy Ca nhanitil chin: bio cao

(Ky, ghi ro ho ten, dOng dau - nett Id to chirc)

37

Phu lye so IXTHONG BAO GIAO DICH QUYEN MUA CO PHIEU/CHeNG CHI QUi/

CUA CO DOING NOI BO, NGU'OI DUVC UY QUYEN CONG BO THONG TIN,NGU'OI CO LIEN QUAN

(Ban hanh kern theo ThOng to so /2012/TT-BTC ngdy thong nam 2012 cUaB6 Tdi chinh hung dAn ye viec COng b6 thOng tin tren thi trtrOng chirng khoan)Ten ca nhan/t6 chirc CONG HOA XA HOI CHU NGHIA VICT NAM

Dec lap — Ttr do — Hanh ph&

s6: , ngdy thong... nam

THONG BAO CIAO DICH QUYEN MUA CO PHIEU/CHUNG CHI QUVCI:JA CODONG NOI BO,NarOIDUOC UYQUYENCONG BO THONG TIN, NGUOI CO LIEN QUAN

KInh - Oy ban Chang khoan Nha ntrOcGiao dich Chang khoan

To chirc niem yet/ctane ky giao dich/cOng ty quail 1y guy"

1. Uri ca nhan/tO chirc thuc hien giao dich:S6 CMND/s6 116 chieu (S6 GPDKDN - neu lä to chirc):QuOc tich:Dia chi: - Dien thoai Fax: Email:Chirc vu hié. n nay tai to chirc niem yet/dang ky giao dich, cong ty quail 157 quy//quydai chang (nL co):

2. Tén cua nhan su chu chOtingtred dtrgc ily quyen cOng 13,6 thOng tin dm to chirc niemyet/clang giao dich, cong ty pan 1)"7 citiy/qu'y dai chang co lien quan (dOi vOitru6ng hqp ngtrgi thgc hien giao dich Id ngtr6i co lien quan):- SO CMND/s6 ho chieu (SO GPDKDN — neu Id Co chirc):- Qu6c tich:

Dia chi: - Dien thoai lien he: Fax: Email:Chirc vu hien nay tai t6 chirc niem yet/dang ky giao dich, cong ty quan lY guy/guydai chUng:M6i quan he dm Ca nhan/tO chirc thtrc hien giao dich vui nhan sir chit ch6t/ngtrOiduvc fly quyen cOng b6 thOng tin:

- So ltrgng, ty le co phieu/chimg chi guy nhfin sir chit chOt/n2tr gi duvc ity quyencong b6 thOng tin dang nam

3. Ma chirng khoan giao dich:4. S6 tai khodn giao dich co co6 phieu neu tai intic 3:5. SO krong, ty le co phieu/chimg chi guy nam giu trtr gc khi thtrc hien quyen mua:6 S6 hrong quyen mua hien co sau khi ch6t quyen:

Ty Le thtrc hien guy& mua:SO luvng quyen mua clang ky mua/ban/choiduqc cho/tang/dtrqc tang/thira ke/chuyen

nhuvng/nhan chuyen nhtrong: ,So co phieu/chimg chi guy du kien mua Wang dng v6i so quyen mua sau khi

mua/ban/cho/dtro rc cho/tang/chrgc tang/thira ke/chuyen nhuvng/nhan chuyen nhugng(*):SO luvng co phieu/chimg chi guy dtr kien nam giix sau khi thtrc hien quyen mua:Phtrang tilde giao dich:Thqi gian cltr kien thtrc hien giao dich: tir ngdy den ngdy

(*)1_,A so co phiLichang chi guy du kien se" mua theo tj le fluty Ca nhan/til clith bão cãohien quyen, vi du: se) quyen mua IA 1000, ty le thuc hien IA 5:1 thi (KY, ghi rO ho ten, dOng dau —,•so prong co phiOu/chirng chi quji du kien mua IA 200): neu la to chirc)

38

Phu luc so XBAO CAO KET QUA GIAO RICH CO PHIEU/CHCNG CHI QUI''

CUA CO DONG NQI BQ, NGVOI DUVC UY QUYEN CONG BO THONG TIN,NGLIOI CO LIEN QUAN

(Ban hanh kern theo ThOng to so /2012/TT-BTC ngdy thdng ndm 2012 ciiaBe 'raj chinh hueng an ye yiec COng be thOng tin trén thi truOng chimg khodn)Ten ca nhdn/te chirc CONG HOA XA H01 CHU NGHIA VIET NAM

Dec ldp — do — Hanh phiac

So: , ngay thang... näm

13A0 CAO KET QUA GIAO RICH CO PHIEU /CHUNG CHI QUY CUA CO DONG NQIBQ, NGUOI DUVC I1JY QUYEN CONG BO THONG TIN, NGIAII CO LIEN QUAN

Kinh - Uy ban Chirng khodn Mid nu&- Giao dich Chirng khodn- To chirc niem yet/ddng ky giao dich/cOng ty quan ly quy

1. Ten ca nhan/t6 chirc 0-we hien giao dich:So CMND/sO hg chieu (So GPDKDN - nett Id to chirc):Qugc tich:Dia chi:Dien thoai lien hg: Fax:, Email:Chirc vu hien nay tai to chirc niem yet/ ding ky giao dich, cong ty qudn ly qu-y/qu'y

dai chUng (nett co):2. Ten cila nhiln sir chit ch gt/ngtrgi dugc fly quy'gn cong bg thOng tin dm Co chirc niem

yet/dang ky giao dich, cong ty quail ly qq/quy ddi chimg co lien quan (d g i vOi trugnghgp nguOi thtrc hien giao dich la ngu*i co lien quan):

So CMND/se ho chieu (So GPDKDN - neu la to chirc):Quec tich:Dia chi:

- Dign thoai lien hg: Fax: Email:Chirc vu hign nay tai tai chirc niem yet/ddng ky giao dich, cong ty qudn ly quy/quSi" dai

chfing:,IvIg i quan fig ctia ca nhAn/t6 chirc thtrc hign giao dich vO ri nhiln six chu ch6tingugi

dugc iry quyen cong 1)6 thOng tin:SO lugng, ty le co phiéu/cht:rng chi qu'y nhan stx chit cheit/ngtrgi dugc Oy quyen

cong bg thOng tin dang ndmma chirng khodn giao dich:SO tai khodn giao dich co co phi gu neu tai muc 3:

5. So lugng, ty le co phieu/chirng chi quyi ndin giu truck khi thtrc hien giao dich:6 S6 lugng co phieu/chimg chi quy, dd long ky mua/bdn/cho/dugc cho/t4ng/dugc

tpg/thixa k6/chuyen nhugng/nh4n chuyen nhugng:SO lugng co phieu/chimg chi quy da" giao dich (mua/bdn/cho/dugc cho/tdrig/dugc

ti.:ing/thira ke/chuydn nhugng/nhdn chuyen nhugng):S6 lugng, ty le co phieu/chang chi qu,*7 ndm gift sau khi thtrc hign giao dich:Phtrang thirc giao dich:Thei gian thtrc hien giao dich: ruzay den ngay

* (Trong trtrOng hop khOng thtrc ,hi6n hét so Itrong clang 14, Co CA nhan/til IA() cãocong not b6/ngtrOi dtroc quyen cong 1)6 thOng tiningtr •i co (1“1, ghi ro ho ten, dOng dAu — netthén quan ph6i giai trinh nguy& la to chdc)

39

Phu luc so XII3A0 CAO KET QUA GIAO INCH QUYEN MUA CO PHIEU/CHUNG CHI QUI(

CUA CO BONG NQI BQ, NGUIJI DUOC UY QUYEN CONG BO THONG TIN,NGUOI CO LIEN QUAN

(Ban hal-1h kern theo ThOng to so /2012/TT-BTC ngay thang nam 2012 ciiaBO 'raj chinh huOng an ye vice COng 1D6 thOng tin tren thi truing chirng khodn)

Ten ca nhan/tO chirc CQNG HOA XA HQ! CHU NGHIA VIET NAMDOc lap — Tu do — Hanh phtic

SO: , ngay thang... nam BAO CAO !CET, QUA GIAO INCH QUYEN MUA CO PHIEU/CHUNG CHI OUST CUA CO BONG

NQI I3Q, NGU%I DUQC f1Y QUYEN CONG BO THONG TIN,NGUOI CO LIEN QUANKinh - Uy ban Chirng khoAn Nhd ntrOv

Giao dich Chirng khoAn16 chuc niem yet/dang ky giao dich/cOng ty quiin lY quy

1. Ten ca nhan/tO chirc thtrc hien giao dich:- SO CMND/s6 110 chieu (S6 GPDKDN - neu la to chirc):

QuOc tich:- Dia chi:- Dien thoai lien he: Fax: Email:

Chirc vu hien nay tai to chirc niem yet, clang ky giao dich, cong ty qudn ly quSiVquy- daichnng (neu co):

2. Ten dm nhan str chfi ch6tingueri duoc fly quyen cong 116 thOng tin ciia to chtrc niemyet/dang ky giao dich, cong ty guar' lY quy/quy dai chUng co lien quan (dOi vOi truing hopngtr6i thtrc hien giao dich la nguai co lien quan):- SO CMND/s6 hO chieu (SE') GPDKDN - neu IA to chirc):

QuOc tich:Dia chi:Dien thoai lien he: ,Fax: Email:Chirc vu hien nay tai to chirc niem yet/däng 4 giao dich, cong ty quan 1 7 quy/quy dai chang:MOi quan hO cua ca nhan/tO chirc thuc hirt giao dich vári nhan su ch6 chOt/ngtreri duvc nyquyen cong be thOng tin:SO lucmg, ty le co phieu/chirng chi quS7' 'than str chn chatingtrOi throc uy quyen cong 1).6thOng tin dang nam

MA chirng khodn giaoSO tai khodn giao dich, co co phial neu tai muc 3:

5. SO luong, ty co phieu/chang chi qq nam gift truck khi thuc hien quyen mua:Ty le thuc hien 9uyen mua:So Itrong quyen mua dang ky muaThan/cho/dugc cho/ta- ng/dugc Cang/thira ke/chuyen

rillircrng/nhAn chuyCn nhuong:9. So lugng quyen mua da mua/banicho/duuc cho/tang/dupc tang/thira ICe/chuy&nhuvng/nhan chuyen nimgrig:

SO lacing co phieu/chirng chi (14' du kien nam gift sauPhuang thirc giao dich:

12. Thai gian thkrc hien giao dick tir nsay, den ngay* (Trong truing hop khOng thuc hien het s6 Itayng däng ky,Co dung not bOingLrey i duvc uy quyen cong bO thOng tin/ngu6ico lien quan phi giai trinh nguyen

khi thuc hien quyen mua:

Ca nhanitt; chin bag cáo(Ky, ghi ro 119 ten, dOng dau — neu

la to chirc)

40