Con~ ty c6 phan chirng khoan FPT CONG HOA xA HQI CHU NGHiA VI~T NAMD{}cl~p - Tl! do - Hanh phuc

Ha noi, ngay 25 thang 07 ndm 2017

BAo cAo TINH HlNH QUANTRJ CONG TY(6 thang dAunam 2017)

Kinh gtei: Uy ban Chung khoan Nha mrcYc

Sa Giao dich Chung khoan HAChi Minh

So' Giao dich Chung khoan Hit N{}i

- Ten cong ty dai chung: Cong ty c6 ph~n chimg khoan FPT

- Dia chi tru sa chinh: S6 52 Duong Lac Long Quan, Phuong Bum, Quan Tay H6, Thanh ph6 Ha NQi

- Di~n thoai: 024.3773 7070 Fax: 024.3773 9058 Email: fptsecurities@fpts.com.vn

- V6n diSu l~: 993,769,520,000 d6ng

- Mil.clnrng khoan: FTS

I. Hoat cl{}ngcua D~i h{}iclAngc6 dong

Thong tin vS C3C cuoc hQPva Nghi quyet/ Quyet dinh cua Dai hQid6ng c6 dong (bao g6m ca cac Nghi quyet cua Dai hQid6ng c6

dong diroc thong qua dum hinh thirc lay y kien bang van him)

STT S6 Nghi quyet/ Quyet dinh Ngay NQi dung

Thong qua viec chuyen dia diem d~t Tf\l sa chinh cua CTCP

1 01-2017INQIDHDCDIFPTS 06-01-2017ChUng khoan FPT vS s6 52 dUOngL~c Long Quan, Qu~n TayH6, Tp. Ha NQi

(Du(1c thong qua dum hinh thuc My y ki~n btIng van bim)

2 02-2017INQ/DHDCDIFPTS 30-03-2017 D~i hQid6ng c6 dong thuOng nien nam 2017

II. HQi dang quan tr] ( Bao cao 6 thang nam 2017 )1. Thong tin v~ thanh vien HQid6ng quan tri ( HDQT)

STT Thanh vien HDQT Chirc vu Ngay b~t dAuI Khong sa buei hop Ty 1~tham du Ly do khongcon Ia thanh vien HDQTtham hQp tham du hop

HDQT dV

1 Ong Nguy~n Diep TUng Chil tich HDQT 19/7/2007 212 100%

2 Ong Nguy~n Van Trung Thanh vien 25/3/2008 212 100%HDQT

3 Ong D6 San Giang Thanh vien 19/3/2010 112 50% Vk~m~tc6ilyHDQT quyen

4 Ong Nguyen Kh~c Thanh Thanh vien 10/3/2011 212 100%HDQT

5 Ong Shuzo Shikata Thanh vien 22/3/2016 212 100%HDQT

~~../'CC

HU

2. Hoat dQnggiam sat cua HDQT d6i voi Ban Giamd6e (T6ngGiam d6e):

Can cir Di~u 1~cong ty, HDQT thuc hien giam sat T6ng Giam d6e va cac can bQquan Iy khac trong dieu hanh cong viec hangngay cua cong ty. Dinh ky hang quy HDQT yeucftuGiamd6e l~pbao cao k~tqua SXKD, tien dQthuc hien cac ngh! quy~teuaHDQT, nhUngkho khan, thu~ lqi nay sinh trong eong tae di~uhanh; Qua do yeu du BKS tham dinh bao eao quy~ttmin,giamsat tinh hinh tai ehinh, tinh hQ'Pphap trong cae ho~tdQngeua cae thanh vien BGD,-caecan bQquan ly eong ty, S\lph6i hqpho~tdQngvai HDQT, BKS eong ty, nh~mdam bao th\le hi~n thea quy djnh eua phap lu~t, eua Di~u 1~eong ty. Tren ca s6 cae baoeao va tinh hinh nftmduqe, HDQT t6 ehue hQpxem xet, danh gia k~t qua di~uhanh, co nghi quy~tkhfteph\le t6n t~i va triSnkhai eong vi~cm6i thea nghi quy~tDHDCDd~ra.

Do th\le hi~n dUngquy trinh, thu t\lc ph6i hQ'Pho~t dQnggifra HDQT, BGD va BKS, eong vi~e di~uhanh SXKD eua BGDkhong bi tra ng~i, vi~e giam sat eua HDQT va eua BKS duqe duy tri thuOngxuyen, eh~t ehe, dam bao ho~t dQngeua eong tyth\le hi~n dung nghi quy~t DHDCD va ngh! quy~tHDQT, th\le hi~n quan tr! eong ty theo ehuan m\le hanh vi, d~o due ngh~nghi~peua thanh vien HDQT, BGD, BKS vi quy~nlqi eua e6 dong eong ty.

3. Ho~tdQngeua cae tiSuban thuQeHQid6ng quan tri:

Cong ty khong thanh l~p tiSuban nhung co phan eong 1 thanh vien HDQT ph\l traeh quan tri rlii roo

4. Cac Nghi quyet/ Quyet dinh cua HQid6ng quan tri (Bao cao 6 thing narn 2017)

STT S6 Nghi quyet/ Quyet dinh Ngay NQi dung

1 01-20 17/QD/HDQT/FPTS 09-01-2017Quyet dinh mi~n nhiem Ba Nguyen Bach Duong chirc danh Thuky Cong ty

2 02-2017 IQD/HDQT IFPTS 09-01-2017Quyet dinh b6 nhiem Ba Hoang Thi Ha Trang chirc danh Thu kYCong ty

3 03-20 17/QD/HDQT/FPTS 17-01-2017 Quyet dinh ban hanh Chinh sach Quan tri rui ro FPTS nam 2017

1.,Thong qua Bao cao kSt qua hoat dong kinh doanh nam 2016 vaKe hoach kinh doanh nam 2017;

2. Thong qua viec tiSp tuc b6 nhiem ong Nguyen Di~p Tung vaovi tri T6ng giam d6e Cong ty C6 phan Clnrng khoan FPT k~ ill

4 01-2017 INQ/HDQT IFPTS 24-01-2017 ngay 19/07/2017;

3. Thong qua nQi dung chirong trinh Dai hQi d6ng e6 dong thuong .nien nam 2017;

4. Thong qua ty l~ sa hiru cua nha diu ttl mroc ngoai t6i da taiCong ty e6 phin chUng khoan FPT la 100% v6n di~u l~.

5 04-20 17/QD/HDQT IFPTS 22-02-2017 Quy~t dinh hQPD~i hQid6ng C6 dong nam 2017

6 04.1-2017 IQD/HDQT IFPTS 17-03-2017QuySt dinh mi~n nhi~m Ba Hoang Thi Ha Trang ehue danh ThukY Cong ty

7 05-2017 IQD/HDQT IFPTS 11-04-2017QuySt dinh tri~n khai phuong an phat hanh e6 phiSu tnt c6 ruenam 2016

1.Thong qua Bao eao kSt qua ho~t dQng Quy 1 nam 2017 va KSho~eh ho~t dQng Quy 2 nam 2017;

8 02-2017 INQ/HDQT IFPTS 20-04-2017 2. Thong q~a ~i~e kY Hqp d6ng h~n mue vay v6n t~i Ngan hangTMCP Quoe te Vi~t Nam (VIB);

3. Thong qua vi~e triSn khai th\le hi~n tra e6 rue b~ng ti~n va phithanh c6 phiSu tni e6 rue nam 2016 eho c6 dong hi~n hfru thee

...)....)!oNE

phuong an dii diroc DHDCD thong qua, dong thai uy quyen choChu tich HDQT

9 06-20 17/QD/HDQT IFPTS 21-04-2017 Quyet dinh ngay dang ky cu6i cung d~ thuc hien quyen nhan c6nrc nam 20 16 bang ti~n va bang c6 phieu

10 07-2017 IQD/HDQT/FPTS 19-06-2017 Quyet dinh b6 nhiem Ba Nguyen Thi Phuong Anh chirc danh Thuky Cong ty

=

ong tm ve t a vien an em soat

STT Thanh vien BKS Clnrc vu Ngay b~t dAui S6 bu6i hop Ty 1~tham du Ly do khongKhong con la BKS tham du hQp tham du hQP

thanh vien BKS

1 D6ThiHucmg Truong ban 1917/2007 010

2 Nguyen Thi Phuong Thanh vien 1917/2007 010

3 Ong Ha Hong Sik Thanh vien 31103/2015 - 010Khong 'Conla

30103/2017 thanh vien BKS

4 Ong Tomohiro Thanh vien 30103/2017 010 Thanh vien moiYamaguchi

.!. hanh .~ B Ki,:( , (BKS)

III.Ban ki~m soat ( Bao cao 6 thang Dam 2017 )

Ii'.

2. Hog! d(jng gidm sat etta BKS dbi vai HEJQT,Ban Giam dbe au« hanh va e6 dong:

6 thang dAunam 2017, Ban Ki~m soat khong phat hi~n trnang hqp bAtthuang nao trong ho~t dQng cua cac thanh vien HQid6ng

Quan tri, thanh vien Ban T6ng giam d6c va cac can bQquan Iy khac cua Cong ty chUng khoan FPT.

Ban Ki~m soat cho r~ng cac can bQ quan Iy cua Cong ty CP ChUng khoan FPT dii th~ hi~n trach nhi~m cao trong vi~c di~u hanh,

dii chu dQng cac phucmg an th\lc hi~n vi v~y k~t qua ho~t dQng kinh doanh, IQ'inhu~n 6 thang dAunam 2017 Ia kha t6t trong kh6i

cac cong ty chUng khoan.

Ban Lanh dao Cong ty chirng khoan FPT trong nam qua da tiep tuc chi dao thuc hien xay dung va hoan thien cac san pham dich

vu tien ich cho cac nha dftu nr, cung dp cho khach hang rnQt h~ thong giao dich thuan tien va an toan, nhanh chong va chinh

xac, cong bing va rninh bach.

Dftu nam 2017 HQi d6ng quan tri cong ty da thong qua chinh sach quan ly rui ro nam 2017.

Ban KiSrn soat cho ring, nam 2017 thi tnrong chirng khoan co th~ vftn di~n bien kho hrong vi v~y HQid6ng Quan tri ti6p tuc dn

co cai nhin than trong, khong chu quan, dn danh gia Icy cac tac dong cua cac chinh sach VI rno d6n thi tnrong chirng khoan,

luong tnroc cac rui ro dS xay d\Illg, hoan thi~n h~ th6ng quan tri riIi ro va co cac hanh dQngphong ngira phu hqp, kip thO;, tranh

cac t6n thftt co th~ xay ra trong tucmg lai.

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3. Sf! ph6i h9P hogt il9ng giiia BKS il6i vOi hogt il9ng cua HDQT, Ban giam il6c iliJu hanh va cae h9 quem Iy khac

6 thang dftu narn 2017 Ban lanh d~o Cong ty CP ChUng khoan FPT da th\Ic hi~n nghiern ruc cac yeu cftu vS vi~c cung dp cac

thong tin dn thi~t cho Ban KiSrn soat. Cac thanh vien Ban Ki~rn soat duqc mai tham gia dfty du cac cUQchQP cua HQid6ng

Quan tri va duqc cung dp dfty du va kip thai cac thong tin dn thiSt.

4. Ho~t dQng khac cua BKS (n~u co)

IV. Dao t~ov~ quan trj cong tyCong ty da Cll can bQtharn gia cac hQi thao, t~p huftn vS quy ch6 niem y6t va cong b6 thong tin do Sa giao dich ChUng khoan HCM t6

chuc; va tham gia d\I thao huang dftn ch6 dQk6 toan ChUng khoan phai sinh do UBCK nha nu&c t6 chuc.

V. Danb sacb c6 dong ni)i hi) va ngum c61ien quan

1. Danh sach ngum nQibQva ngum co lien quan cua ngum nQibQ

SACMND ThOi

ThOi di~m di~m

Ten tAchu-c/ca TKCK Chu-cvy bit diu lit khongSTT nhin (n~u co) t~i cong ty Dja chi ngtrOico con lit Lydo

(n~u co) ngtrOicolien quan lienSACMND Ngity cip Noi cAp quan

Chu tjch1 Nguy~n DifP Tung HDQT 2007

TAng

Giam d6c

1.1 Nguyen Thi LanMe,'!

1.2 Nguyen Quoc UngAnh

1.3 Nguyen H6ng

ChiNhung

1.4 Nguy€n Thi ChungEm

1.5 Nguyen Ki~u NgaEm

1.6 Nguyen Van BachEm

1.7 Nguyen Thi ThornVq

1.8 Nguy€n Tu~n AnhCon

1.9 Nguyen Dire AnhCon

1.10 Nguyen Hung AnhCon

Thanh20072 Nguy~n Van Trung vien

HDQT

2.1 Nguyen Viin Vi~tB6

2.2 Nguy€n Thi V~tMe,'!

2.3 Nguyen Van NamAnh

i\I-]

2.4 Nguyen Van B(\Anh

2.5 Nguyen Thi Hi~nChi

2.6 T<;lThi Phuong HaVg

2.7 Nguyen Minh NghiaCon

2.8 Nguyen Nh~t MinhCon

2.9 Nguyen Ha LinhCon

2.10 Nguyen Ha AnhCon

Thanhvien 20073 D6 SO'DGiang HDQT

3.1 Truong Thi QuyMit

3.2 Pham Tuyet MaiVg

3.3 D6 Nh~tMinhCon

3.4 D6 Nguyet MinhCon

Nguy~n Khic Thanh20074 vienThanh HDQT

4.1 Nguyen Thi Nhien

Chi

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4.2 Nguyen Thi Tan

Chi

4.3 Nguyen Kh~c Thu~t

Anh

4.4 Nguyen Thi Vi~t

VqNga

4.5 Nguyen Lam Khue

ConDtrQ'cbiucO-theo

Thanh22/03/2016

NQOl-2016INQI

5 Shuzo Shikata vien

DHDCDIHDQT

FPTS

5.1 Erika Shikata

Vq

5.2 Shogo Shikata

B6

5.3 Kyoko Shikata

M"

5.4 Riku Shikata

Con trai

5.5 Masakazu Shikata

Anh trai..

AI

5.6 Keij i Shikata

Anh trai

TrtrOny20076 sa Thj HU'01lg Ban kiem

SOlit

6.1 1)6 Vi~t Hoa

B6

6.2 Nguy~n Thi xsM~

6.3 1)6Vi~t Hung

Anh

6.4 1)6 Thi Dung

Chi

6.5 1)6 Vi~t Dung

Em

6.6 1)6KimHoa

Em

6.7 Nguyen Quoc TuAn

Ch6~

6.8Nguyen 1)6 HoangHa

Con

6.9NguySn 1)6 H6ngHa

Con

Nguy~n Thj Thanh7 vien Ban 2007

PhU'ong Ki~mseat

7.1 Ha Thi Nhe

Mtt

7.2 Trinh Hfru Vien

Chong

7.3 Trinh Hfru Th~ng

Con

7.4 Trinh Thi Thuy

ConMi~nnhiem

Thanh theo NQ8 Ha Hong Sik vien Ban 31103/2015 30/03120 02-

Ki~msoat 17 2017INQIDHDCDIFPTS

8.1 Ha Jonghan

BE>

8.2 Jung Deoksoon

Mtt

8.3 JunJinsuhn

Vg

8.4 HaJunwoo

Con TraiDtrllc baucii'theoThanh

30/03/2017 NQ 02-2017INQI

9 Tomohirovien Ban

DIIDeDIYamaguchi

Ki~m soat

FPTS

9.1 Mitchio Yamaguchi

Be,

9.2 Yoko Yamaguchi

. M~

9.3 Naoko Yamaguchi

Vg

9.4 Tomoya Yamaguchi

Con trai

K~ toan2007

Nguy~n Thi Thu10 HtrOllg trtrang

10.1 NguyBn Quang Ttr

Be,

10.2 Nguyen Thi Mai

M~

10.3 Nguyen Quang

Anh ruQtTuftn

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2. Giao dich gifra cong ty voi ngiroi co lien quan cua cong ty; hoac giira cong ty voi c6 dong Ion, nguoi nQibQ,nguoi co lien quan cuangiroi noi bQ(Khong co )

3. Giao dich giira ngiroi nQibQcong ty niem yc?t,ngiroi co lien quan cua nguoi nQibQ voi cong ty con, cong ty do cong ty niem y~tnamquyen ki~m soat(Khong co )

4. Giao dich gifra cong ty voi cac d6i urong khac

10.4 Nguysn Huy Binh

Em ruot

10.5 Hoang Trung Nghia

Ch6ng

10.6 Hoang Thi Thu Hit

Con

10.7 Hoang Nh~t Minh

Con

sA ti~nSTT Cac ben lien quan MAi quan he Noi dung ~iao dieh (VNB)

C6 dong Ian (20% Phi hru ky, Phi quan ly c6 dong chua tai hru ky,1 Cong ty e6 phan FPT Phi ur v~n t6 chirc Dai hQic6 dong, PhiV6n di€u l~) EzSearch, Van phong pham 90,782,807

Phi quan ly c6 dong chua tai hru ky, Phi tu vkl~p bao cao thuong nien va t6 chuc D~i hQi c6

2 Cong ty C6 phAnVi€n Thong Ben co lien quan dong, Phi EzSearch, phi chuy~n nhm;mg CKFPT chua niem y~t, Phi dich V\l tuv~n dang kY lUll

kY t~p trung va dang kY giao dich c6 phi~u trensan Upcom Cucrc dich V\l vi€n thong 180,603,000

3 CT TNHH Phan ph6i FPT Ben co lien quan Thi~t bi tin hQc 208,524,997

VI. Giao dich c8 phi~u ciia nguiri ni}ibi}va nguiri lien quan ciia nguiri ni}ibi}(Bao cao 6 thang nam 2017 )

1. Danh sach nguoi nQibQva nguoi co lien quan cua nguoi nQibQ

4 CT TNHH Dich vu tin hoc FPT Ben co lien quan Dich vu rmrc in Thi~t bi tin hoc dich vu tin hoc 215,512,000

5 CT TNHH H~ thong thong tin Ben co lien quan TokenDV bao tri 1,133,352,000FPT

CN CT TNHH MTV Vi~n6 thong Quoc t~ FPT Ben co lien quan Circe DV vi~n thong 1,635,451,774

Cong ty TNHH MTV vi~n7 thong qudc t~ FPT Ben co lien quan Circe DV vi~n thong 33,264,000

Chi Nhanh Cong Ty C6 Ph§.n8 Vi~n Thong FPT Ben co lien quan Chi phi dirong truyen 19,800,000

,Thi~t bi tin hoc9 CN CT TNHH Phan phai FPT Ben co lien quan 253,299,992

10 Cong ty CP Quan ly Quy FPT Ben co lien quan Phi hru ky 1,813,935

Ty l~

sA sA c8 sO- hfruUti khoan Chuc V\I t,i phi~u sO- c8STT HQten GDCK Cdng ty CMNDIDKK Dia chi hfru cuAi phi~u Ghi chu

D ky cuAiky;

(%)Chti tich

1 Nguy~n Di~p Tung HDQT-T8ngGD 2,766,820 2.78417

1.1 Nguyen Thi Lan MI(1.2 Nguyen Quoc {fng Anh

1.3 Nguyen H6ngNhungChi

1.4 Nguy~nThi Chung Em1.5 Nguy~nKi~uNga Em

1.6 Nguy~nVan BachEm

1.7 Nguy~nThi ThomVq

l.8 Nguyen Tufrn AnhCon

l.9 Nguyen Due AnhCon

1.10 Nguyen Hung AnhCon

Thanh vien2 Nguy~nVan Trung HDQT-Ph6

1,868,674 l.88039TGD

2.1 Nguyen Van Vi~tB6

2.2 Nguysn Thi V~tMit

2.3 Nguyen Van NamAnh

2.4 Nguyen Van B(>Anh

2.5 Nguyen Thi HiSnChi

2.6 T~ Thi Phuong HaVq

2.7 Nguyen Minh NghiaCon

2.8 Nguyen Nh~t MinhCon

2.9 Nguyen Ha LinhCon

2.10 Nguyen Ha AnhCon

D8 Son Giang Thanh vien249,356 0.25092

3 HDQT3.1 Troung Thi Quy Mit3.2 Pham Tuyet Mai Vq

D6 Nhat Minh Con3.3

D6 Nguyet Minh Con3.4

Nguy~nKhiic Thanh vlen144,552 0.14546

4 Thiinh HDQT

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4.1 Nguy~nThi Nhien

Chi

4.2 Nguyen Thi TanChi

4.3 Nguyen Kh~cThuatAnh

4.4 Nguyen Thi Vi~tNga4,598 0.00463 Vg

Nguyen LamKhue Con4.5

Thanh vien5 Shuzo Shikata HDQT

5.1 Erika ShikataVg

5.2 Shogo ShikataB6

5.3 Kyoko ShikataMit

5.4 Riku ShikataCon trai

5.5 Masakazu ShikataAnh traiAnh trai5.6 Keiji Shikata

0.00002Sa Thj Huong TnrOn2BKS 166

6.1 D6 Vi~tHoaB6

6.2 Nguyen Thi xsMit

6.3 D6 Vi~tHungAnh

6.4 D6Thi DungChi

6.5 D6 Vi~tDungEm

6.6 D6KimHoaEm

6.7 Nguyen Qu6c Tu~n

Ch6Ilg

6.8 Nguyen D6 HoangHa

Con

6.9 Nguyen D6 H6ng HaCon

7 Nguy@nTh] Phuong Thanh vien54,208 0.05455BKS

7.1 Ha Thi NheM<t

7.2 Trinh Hfru VienCh6ng

7.3 Trinh Hfru Thang2,298 0.00231 Con

7.4 Trinh Thj ThuyCon

Thanh vten8 Ha HongSikBKS

8.1 HaJonghanB6

8.2 Jung Deoksoon

M<t

8.3 Jun JinsuhnVq

8.4 HaJunwooCon Trai

9 Tomohiro Thanh vienYamaguchi BKS

9.1 Mitchio YamaguchiB6

9.2 Yoko YamaguchiMt;

9.3 Naoko YamaguchiVr;

904 Tomoya YamaguchiCon trai

Ke toan10 Nguy~n Thi Thu tnrO'ng, NgU'Oi

H1lO1lg cong b6 thongtin 82,131 0.08265

10.1 Nguyen Quang Tic

B6

10.2 Nguyen Thi Mai

Mt;

10.3 Nguyen Quang Tu~n

Anh ruQt

lOA Nguyen Huy BinhEm ruot

10.5 Hoang Trung NghTa

Ch6ng

10.6 Hoang Thi Thu Ha

Con

10.7 Hoang Nh~t Minh

Con

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2. Giao dich cua ngiroi nQibQva nguoi co lien quan d6i voi cd phieu cua cong ty niem yet

Ngiroi thirc hienS6 c6 phieu sa hfru dfru S6 c6 phieu sa hiru cu6i Ly do tang, giam

STT S6DKSH Chirc danh ky ky (ntua,ban,chuy~ngiao dich d6i, thuong)S6 c6 phieu Tile S6 c6 phieu Ti l~

Nguy~n Di~p TUng 12124628 Chu tich HDQT kiem 2,371,600 2.39 2,766,820 2.781 TGD Mua them c6 phi€u

VII. Cac vAn d~ cAn hru y khac: Khong