CONG TY CO PHANCHUNG KHOAN VNDlRECT

Sd : olJ, 12014/BCQT-VNDIRECT

CONG HOA xii. HOI CHU NGHiA VI~T NAMOQc I~p - TIl do - Hl;1nhphuc

Hb Nr,ii. ngby 23 IJuing 1 nam 2014

Kin" gl;-;:

BAo cAo TiNli lIiNli QUAN TR! CONG TY(Nam 2013)

Uy ban Chung khoan Nh:! nlTo'e

Sir Giao lJ!ch Chung khoan 1Ii1NQi

Sir Giao <lieh Chung khoan Tp. lIA Chi Minh

Ten cong ty: Cong ty CP Chung khoan VNDIRECT

0ia chi tr~ sa chlnh: Sd 1 Nguyen Thugng Hi~n, Hai Ba Trung, Ha NQi

Oi~n thOl;1i:04 397245687 Fax: 04 39724600 Email: cbtt@vndirect.com.vn

Vdn di~u I~: 999.990.000.000 VNO

Mii chirng khoan: VND

I. lIo,tl d{lng eua H{li dAng Quan tri

I. Cric CIIVC "!Jp clia HDQT Cong ty trtJJlg Jltlm 2013:

SIT Th:!nh vien HDQT Chue Vl,l sa buBi hQp Ty I~ Ly<lotham <II! khong tham

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I. Phl;1mMinh Huang Chu tich J-10QT 515 100%

2. Nguyen NgQc Thanh Thanh vien HOQT 515 100%

3. VO Hi~n Thanh vien HOQT 515 100%

4. VO Van J-1i~p Thanh vien HOQT 515 100%

5. Nguyen Hoang Giang Thanh vien HOQT 515 100%

2. HOl;1td{lng giam sat eua HDQT dai vo-i Ban Gialll dae:

Trong nam 2013, HOQT dii th,!c hi~n cong tac giam sat ddi vcri hOl;1tdQng di~u hanh cua Ban Giam, .doc c~ the nhu sau;

Giam sat ch~t chi! hOl;1tdQng Oi~u hanh cua Ban Giam ddc tren co sa danh gia k~t qua hOl;1t,tlnhtWln thu dung phap lu~t va Oi~u I~ cua Cong ty.

Thuang xuyen chi dl;1o,don ddc Ban Giam ddc trien khai th,!C hi~n dung va hi~u qua cac Nghiquy~t cua Ol;1ihQi dAng cd dong va HQi dang quan tri dii dugc ban hanh tmcrc do.

Ngoai eac cUQc hQp HOQT theo dinh ky, cac thanh vien HQi dang quan tri cOng thucrng xuyenco cac budi g~p gO',trao d6i giua cac thanh vien HOQT va vcri Ban Giam ddc nhAm nlim blit kipthai nhung kho khan vucrng mlic trong qua trinh hOl;1tdQng, tir do dlra ra nhung dinh hucrng phuhgp tl;10di~u ki~n cho Ban Giam ddc co th~ di~u hanh mQt each Ilnh hOl;1tva hi~u qua.

Ni}i dung

Thong qua kel qua kinh doanh nam 2012 va dinhhuon nam 2013 eua Con I

Chuy~n nhuqng C6 philn Ngan hang TMCP KyThuan Viel Nam

So hi~u

6-3/20 13/NQ-HD

40/2013/ D-HDQT11/01/2013

03/01/2013I.

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II. Cae Nghi quy~t elia Hi}i dang quan trj

Trong nam 2013, HQi demg Quiln Iri da ban hilnh eae Nghi quy~1 Iren co sa cae eUQe hQp dinh kyvil/ho~e I~y y ki~n bAng van ban. Cae Nghi quy~t/Quy~1 dinh eua HDQT da ban hanh lrang nam2013 nhu sau:rf Thlri gian

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7. 28/05/2013 169/2013/QD B6 nhiem iam d6e chi nhanh uan Ninh

8.Thay doi dia diem chi nhanh Cong Iy l\li TI' Ho Chi

22/10/2013 314/2013/QD-HDQT Minh9. 28/10/2013 319/2013/NQ-HDQT Thong qua phuang an mua l\li co phieu quy eua

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18/01/20133.

III. Thay dBi danh s,\eh v~ ngU'lYieo licn quan elia Cong ty

Trong nam 2013, Cong Iy C6 philn Chung khoan VNDIRECT khong co co Sl,l Ihay d6i nhan Sl,llrang HQi d6ng quiln Iri.

Trong nam 2013 Cong Iy CP Chung khoan VNDIRECT co Ihay d6i cae Ihanh vien Ban ki~m soalnhlr sau: Ba Hoang Thuy Nga dmle bilu lam Ihanh vien Ban ki~m soal eua Cong Iy Iii ngay21/4/2013; Gng Nguy~n T6ng San xin Iii nhiem Ihanh vien Ban ki~m soal va dU'CICeh~p thu~n tilngay 21/4/2013;

IV. Giao djch elia eB dong ni}i bi}, e& dong I&n va ngU'1riIicn quan:

I. TI",J' tI/n dOli" suc" vB cl1dOllg "l,i hI' VlIlIgll'lTi co /ielll}lIall: P"!' I!lc dill" kem

2. Giao dic" cDplti211frollg lIlim2013: KhOngco

3. Ole giao did, k"uc: KhOngco.

V. Cae vnn d~ dn lU'u y kh,\c: Khong co.

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