Báo cáo tình hình quản trị công ty - Ngân hàng Thương mại Cổ phần Á Châu

Kinh gfti: - 0y ban Chrinrg khodn Nhir nufc - Sfr Giao dich Chtug khodn Hi NQi T6n c6ng ty dai chring: NgAn hang Thuong mai C6 pmn A Cnau Dia chi tru sd chinh: 442 Nguy6n Thi Minh Khai,

NGAN HANG TMCP A CHAU ceNG HdA xA Hor cHir NGHiA vrEr NAM

DQc lflp - Tg do - H4nh phric

sdz 512, /cv-vPHDQT.l6 Tp H6 Chi Minh, n4dy 4 tfuing A t ndm 2016

BAo CAo TiNH HiNH QUAN TRI CONG TY

(NIm 201s.)

Kinh gfti: - 0y ban Chrinrg khodn Nhir nufc

- Sfr Giao dich Chtug khodn Hi NQi

T6n c6ng ty dai chring: NgAn hang Thuong mai C6 pmn A Cnau

Dia chi tru sd chinh: 442 Nguy6n Thi Minh Khai, Phucmg 5, Qufln 3, Tp H6 Chi Minh DiEn thoai:

V6n didu l9:

Email:

Mii chimg khoan:

L Holt {tQng cria HQi ttdng Qurin tri (HDQT):

l Ciic cuQc hqp cta HDQT:

Trong n5m 2015, HDQT nhiQm ki 2013 -2017 da hqp 5 kj vio cdc ngdy 30/01/2015, 23/312015, 26/6/2015, 28/8t2015, 3OllO/2015 vd l6y ! ki6n 12 ldn vdo ciic ngdy

16t3/2015, 09t4/2015, 0U6/2015, 041612015, 151612015, t3/7t20t5, 27/7t20t5,

3 1 t7 t20t s, 20t8t201 s, 10/9t2015, 02/ 10t201 5, 3r / t2t20t 5

Miu Phtt tttc sd ltl (Ban hdnh kin theo ThOng tu sii 52/2012/TT-BTC ngay 05/04/20 t 2 cna BTC hudng

ddn v/v CBTT rAn rhi truong chi g khodn.)

9.37 6.9 65.060.000 ddng acb@acb.com.vn

ACB

s6 bu6i hop tham du

ri le

4 Ong Julian Fong Loong

5

Ong Alain Xavier Cany

(Kh6ng cdn ld thdnh vi6n

tit nsiry 221412015')

6

Ong Dominic Timothy

Charles Scriven

Ge thenh vi€n tri ngdy

22/412015')

Hr)ng Huy

Uy quydn cho 6ng Trdn Hirng Huy

10 Bd DIns Thu Thtv Thanh vi6n 05/05 100

Được ký bởi NGUYỄN THANH TOẠI Ngày ký: 29.01.2016 18:35

Signature Not Verified

2.HoqtdQng gi6m s6t ctra HDQT OOi vOi Gi6m d6c (TOng girlm dOc):

,r,

Th6ng qua c6c quydt dinh nOu o phAn II.

3 Hoat dQng ctra c6c ti6u ban thuQc HDQT:

DO xu6t cric nQi dung trinh HDQT ra quyi5t dlnh $hAn II).

Mdu Phu lac sii ru 6an hdnh kim theo Th6ng tu sti 52/2012/TT-BTC ngdy 05/04/2012 cia BTC hudng

ddn v/v CBTT nAn th! trudng chnng khodn.)

II C6c Nehi quv6t/ Ou nh cfra

1 s09/TCQD-HDQT.1s 06102120t5 Chdp thufn thu tit nhiQm chric danh thenh vi6n HQi

d6ng QuAn tri ctra 6ng Alain Xavier Cany

2 s r O/TCQD-HDQT.l s 06102120t5 Mua bdt d6ng sdn dC ldm tru sd chi nhrlnh

J sl l/TCQD-HDQT.1s 06102120t5 B6n bat dQng san do kh6ng c6 nhu cdu sri dpng

4 s 12ITCQD-HDQT.l s 06102120t5 Mua b6t dQng sAn aC tam try so chi nhrffi

7

'22|TCQD-HDQT.1s

0910212015 Xti l), ti6n gui qu6 han tai tO chfc tin dung

8 s7o/TCQD-HEQT.ls t310212015 BAu b6 sung thinh vi6n HQi d6ng Quin tri NgAn

hang TMCP A Cnau nhiQm ky 2013 - 2Ol7

Mi€n tru tr6ch nhiQm d6i voi cric thdnh viOn HQi d6ng Xt ly ng vd Ban Xir ly nq khi phO duyQt

phuong 6n xir ly ng

hdng TMCP A Cnau

img viOn HQi d6ng Qudn tri nhiQm kj, 2013 - 2Ol7

su dgng

Ngdn s6ch mua bdt dQng s6n vd ddu tu xdy dpg trg

so chi nhenh vd phdng giao dich cira Ngdn hing

TMCP A Cnau n[m 2015

t4 l 177/TCQD-HDQT.l s 0914120t5 Xem xdt phuong 5n thdnh lflp ho{c mua lai c6ng ty

tdi chinh

15 t744|TCQD-HDQT.1s 0U612015 Mi6n nhipm TOng Gi6m d6c C6ng ty TNHH Chring

kho6n ACB

l6 l745/TCQD-HDQT.ls 0y612015 BO nhiem T6ng Gi6m d6c C6ng ty TNHH Chung

kho6n ACB

Th6ng qua c6c hgrp d6ng giao dfch giira Ng6n hang TMCP A Chdu v6i C6ng ty TNHH MTV Cho thu6

tii chinh Ngdn hdng A Ch6u

18 193g/TCQD-HDQT.ls r51612015 Phuong 6n co cAu l4i C6ng ty TNHH MTV Cho

thu6 tdi chinh Ngdn hdng A ChAu

2

l9 2o94ITCQD-HDQT.l5 01/7/20t5 B6n c6 phiOu TCTD ilO thu h6i nq

20 225 l irCQD-HDQT l s t31712015 86 sung phuong iin co cAu lai COng ty TNHH MTV

Cho thu6 tdi chinh NgAn hang A Chau

21 2409/TCQD-HDQT 15 27t7120t5 Thay tl6i thdnh vi6n H6i tl6ng thdnh vi6n C6ng ty

Chimg kho6n ACB

22 2482/TCQD-HDQT.l s 31t7/2015 Giai the HOi d6ng Gidi quy0t cdc ss vu il{c biQt

ChAu

TMCP A ChAU

25 2741ITCQD-HDQT.l s 20/8/20t5 Sna <I6i Quy chli <tAu tu cria Ngdn hang TMCP A

Chdu

26 2742ITCQD-HEQT.ls 2018120t5 Nhdn sg Uy ban DAu tu

toriLn n$i bQ

ChAp thuQn nh6n sU dU ki6n b6 nhigm ldm Cht tich HQi ddng thdnh viOn C6ng ty TNHH MTV Cho thu6 tii chinh Ng6n hang A Chau nhiq- ki 2012-2017

3l 2943lTCQD-r-rDQT.l5 l0/9120t5 Uy quy6n quy0t dinh ciic h4n mric quan lf rui ro

thanh khoan

32 2944ITCQD-HDQT.l5 r0/9/20r5 Uy quy€n quyOt dinh c6c h4n mric quan l! rui ro thi

truong

33 3237|TCQD-HDQr l s 02fi0t2015 Di6u chinh chuc ndng, nhi€m vu vd co cAu t6 chric

cua Cdng ty TNHH Chtng khodn ACB

Ei6u chinh quy dlnh mi6n tru trdch nhiem d6i vdi

c6c thdnh vi€n HQi ddng xn lj nq vd Ban xu lf no ACBA khi ph€ duydt phucrng ri'n xri ll ng

Thanh lQp Kh6i Tai chinh vd ban hanh Quy dinh vE

chrtc ndng, nhi6m vu vd co c6u td chric crla Kh6i

Tii chinh

Di6u chinh ngAnh nghtil kinh doanh cria Chi nh6nh C6ng ty TNHH MTV Quan lti nq ve Khai th6c tei

san NgAn hang A Chau tai ga NOi

2edl

'r{ HA}l

iliG I

.;.Fsl Cll,

.+:

III Thay d6i danh sdch vd nguoi c6 li0n quan cia cdng ty il4i chring theo quy dinh

tgi kho6n 34 Diiu 6 Luit Chrl"ng kho6n:

MduPhulucsdt @anhdnhkin rheo ThOnS tu sij 52/2012iTT-BTC ngay 05/04/2012 da BTC hudng

dAn yh CBTT EAn thi trudng chtng khodn.)

TGn tO

chri'c/cd

nh6n

Tni khoi

n giao dich chfn

o

ts

kho6 n (n6u c6)

Chri'c vB

tai cdng

ty (n6u c6)

sii CMN

D/ H0 chi6u

*qu,

cap

CMND/

H0 chi6u

Ncri cap

CMN

D/H0 chi6u

Dia chi

Thli tli6m

uit

-l dau tn ngucri cri li6n quan

Thdri tIi6m khOng cdn lir

nguli

c6 li6n quan

Ly do

2008

22t412

015

Mi6n nhiQm ngdy

221412015, tr6n co

so thu tt nhiQm

2

Dominic

Timothy

Charles

Scriven

22141

2015

Duoc bAu b6 sung ngiry 221412015

J

NguyOn

rhi

Tuytit

V6n

Ph6 -lr ong gi6m d6c

26101 12015

Duoc b6 nhiQm ngiry 2610112015

Phet

Ph6 -lr ong gi6m d6c

26101 12015

Dugc UO nfriem ngiry 2610112015

5 LE 86

Dffng

Ph6

^AI ong giSm d6c

29181

20t2

301712

015

Mi6n nhiQm ngdy

301712015, tr€n co

sd dcrn xin nghi vi6c

6

Vrjay

Kumar

Mahesh

wari

29131

2012

3v12t 20t5

Mi6n nhiQm tr6n

co so k6t thric

nhiQrn ky t?i ACB

Van Hoa

KE to6n truong ki0m Gi6m d6c Tdi chinh

Duoc b6 nhiQm

ngiy 3lll2l20l5

IV Giao dich cria cO a6r,g nQi bQ vi ngudi li6n quan:

l Danh silch c6 tl6ng nQi bQ vd ngudi c6 li6n quan:

Xin xem Phq lpc dinh kdm.

2 Giao dich c6 phitiu:

Mdu Phu lac sii tU 6an hdnh kim theo Th6ng tu sii 52/20 I 2/TT-BTC ngdy 05/04/201 2 cila BTC hudng 4 ddn v/v CBTT tAn thi trtdng ch*ng khodn.)

stt Nguoi thuc hipn

giao dfch

Quan hp voi c0

<l6ng nQi bQ

56 cO phi€u so hiru dAu ki 56 hiru cu6i c6 phi6u ki so gi6m (mua, b6n, Lf do tdng,

chuytin d6i, thuons )

56 c6 phitiu

Tv le (%\

56 cO

phi6u

ri le (%\

1 Dim Dinh Mai

Em cria 6ng Ddm Vdn Tu6n, Thanh vi6n HDQT vi Ph6 -: I onq glam Ooc-l

Anh cira bd Nguy€n Thf Hai, Ph6 T6ng

-i

qlam ooc

Em cia bi DAng Thu Thtiy, Thanh

Em cria ba Dang Thu Thriy, Thanh

Van

Em cria ba Dang Thu Thty, Thanh

6 LC Thi Cric

Vg cia 6ng Nguy6n Thanh To4i, Ph6 -l I ons slam Ooc-a

3 C6c giao dich kh6c: (Giao dich cria ci5 d6ng nQi b0/ cO tl6ng l6n vd nguoi li6n quan

v6i chinh c6ng ty): Kh6ng c6.

V Cr[c vin tld cin luu f khic: Kh6ng c6.

Noi nhQn:

- Nhu tr6n;

- PTGD Nguy6n Thanh To4i - NCBTT;

- Luu: VP HDQT, Ph TH.

Dinh kdm:

- Phu luc: Danh s6ch c6 d6ng nQi bQ vd

nguoi c6 li6n quan (tinh d)n3lll2l2}l5.)

Mdu Phu lac sii ru @an hdnh kim theo Th6ng tu sti

ddn v/v CBTT tr€n thi trudng chthng khodn.)

I DONG QUAN TRI

Trin Hing Huy

(B/D)

52/2012/TT-BTC ngay 05/04/2012 caa BTC hudng

Lrtl,

GAN HA UdNG

:C PH:

ir' H0

NGAN HANG TMCP A CHAU

PHU LUC DAIIH sAcH cd odxc xgr B0 vA NGUor co r,rtx quax gitn o6x xcAy 3utzt2lts:)

(Dinh kdm 86oc6oTinhhinh Qurin tri c6ngtys6 54// /cv-vPHDQT.l6 ngnySJ th ngot ndm 2016.)

TGn t5 chricJ cd

nhin

Chric Yg t{i c6ng ty (n6u c6)

JO CO pnleu

s& htu cu6i

ki

Ph6 Chn tich HDQT

Page

STT TCn t6 chri'c/ cri

nhin

Tti khoin

giao dich

ch6mg khorn (neu co,

Ngiry

mO tii

khoAn

Chli,c vU tei c6ng iy

(n6u cr6)

s6 CMND/

EKKD/

HQ chi6u

Ngiy cdp CMND/

DKKD/

HQ chi6u

Noi cip

CMND/

DKKD

Dia chi

Sii c6 phi6u

so hiiu cu5i ky

TY le s&

htiu c6

phi6u cuor l(y

Ghi chri

Loai c6

ii6ng

Quan he v6i CDNB

21 Dr Martin Philip

25 Richard Christopher

26 Julian Fong Loong

27 Fong Anthony Chu

28 Fong Nathalene Mei

33 Fong Nathelene Pik

34 Standard Chartered

35

Standard Chartered

Bank Hong Kong

Limited

58,395,142 6.230/ NCLQ

l6 Dominic Timothy

39 Sylvia Valerie

Page 2

STT TGn t5 chric/ cri

nhin

Tli khoin

giao dich

ch[,ng khodn (n6u c6)

Ngiv

md tei

khoin

Chtc vll tSi c6ng ty (n6u cd)

s6 CMND/

DKKD/

HQ chi6u

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CMND/

DKKD/

IIQ chi6u

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DKKD

Dia chi

5(, CO pnleu

s& hnu cu6i

kJ

Ty le sd

htu c6 phi5u cu6i t<y

Ghi chi

Lo4i c6

tl6ng

Quan he

vfi

CDNB

40 Valerie Amanda

4t Dragon Financial

42 Dinh Thi Hoa

Thanh vien HDQT

(Thdnh vi6n

dOc l6p)

7,

):

' il'

N I

.(

Page 3

STT T0n t6 chric/ ci

nh6n

Tii khotn giao dich chimg khodn (n6u c6)

Ncr,v m& tli khoin

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5(6 CMND/

DKKD/

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DKKD

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s& htru culii

ki

Tf lQ sd

hiiu c6

phi6u cuor Ky

Chi chri

Lo4ic5 d6ng

Quan hp

vdi CDNB

66 Tran Thi HOng

83 Dim Vdn Tu6n Thanh vien HDQT,

Page 4

STT TGn t6 chf'cl cd

nhin

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giao dich chi,ng khoin

(neu col

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md tii

khoin

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(n5u c6)

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CMND/

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sd hitu cu6i

ky

TY le sit

htu c6 phi6u cu6i t<y

Ghichri

Loqi c6

d6ng

Quan he v0i

CDNB

89 Dam Thi Binh

95 Huinh Nghia Hiep Trudng Ban kiiim

.

I

!

Page 5

STT TGn t6 chric/ cd

nhin

Tti khoin

giao dich chi'ng khodr (n6u c6)

Ng,iy

mA tii khoAr

Chric vq tei c6ng ty (n6u cd)

Sii CMND/

DKKD/

HQ chi6u

Ngiy cip

CMND/

DKKD/

HQ chiiiu

N(ri cep CMND/

DKKD

Dla chi

56 c6 phi6u

s& hiiu cu6i

ki

Ti le sd

hfiu c6

phi5u cu6i t<y

Ghi chri

Lo4i c6

tI6ng

Quan he

vfi

CDNB

l0l Hulnh Thi Xudn

Lan

0 0.00% NCLQ

102 Hulnh Thi Xu6n

HUC

0 0.oo% NCLQ

t04 Nguy6n Thi Minh

Lan

Thanh vi€n Ban kii3m so6t

0 0.00% N6i b6

Page 6

STT TGn t6 chirc/ cri

nhin

Tti khoen giao dich ching khodn (n6u c6)

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md tii

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Chfc vq taic6ng ty (niiu c6)

sii CMND/

DKKD/

HQ chi6u

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DKKD/

HQ chi6u

Noi cdp CMND/

DKKD

Dia chi

5i, CO pnleu

sd hiru cu6i

kj

Ty le sd

hftu c6 phi6u cuor Ky

Ghi chri

Lo4i c6

il6ng

Quan hQ

vdi CDNB

lll Nguy6n Thanh

:

I

i

I

)

Page 7

STT TCn t6 chric/ cd

nhen

Tii khoin

giao dich ching khoin

(n6u cd)

Ngi,y

m& tii

khoin

Chric vU t?ic6ng ty (n6u c6)

sii CMND/

DKKD/

HQ chi6u

Ngiy c6p CMND/

DKKD/

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CMND/

DKKD

Dla chi

)o co pnreu

s,& hitu cu6i

ki

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hiiu c6

phiiiu

cuor Ky

Ghi ch ri

Lo4i c6

.l6ng

Quan he

vti

CDNB

124 Phnng Th! Tiit Thdnh vi€n

Page 8

STT TGn t6 chri,c/ cd

nhhn

Tii khoin

giao dich

chtrg khodn (n5u c6)

Ngnv m& tli

khoin

Chtc vg tei cOng ty

(n6u cd)

56 CMND/

DKKD/

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CMND/

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s& hiiu cuSi

ki

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phi6u cuor Ky

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Logi c6

d6ng

Quan he

!ti CDNB

147 Nguy6n Dirc Thfi

l5l Nguy€n Dr?c Vinh

152 Nguy€n Dfc Thqc

153 Nguy€n Dtc TriQu

154 Nguy€n Dr?c Huy6n

r 55 Nguyen Duc HAnh

156 Nguy6n Dtlc Tuin

t57 NguyGn Thanh

163 Nguy€n Thanh

164 Nguy€n Thi Bach

166 Nguy€n Thi B4ch

t 6't Nguy6n Thi Bach

ii

t

Page 9

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(n6u c6)

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md tii

khoin

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(n6u c6)

56 CMND/

DKKD/

H6 chiiiu

Ngiry c6p CMND/

DKKD/

HQ chi5u

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DKKD

D!a chi

50 CO pnreu

sO hiu cuiii

ki

TY 16 sA

hiru c6

pnreu

cuiii t<Y

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Lo4i c6

rl6ng

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v6i

CDNB

t'17 Nguy6n ThiTuy6t

1E2 Tr6n Nguy€n Nhat

l8l NguyEn Thi Hdng

186 Nguy6n Thi Bich

Page 10

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sd hfru cu6i

ki

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hfiu c5

phi6u

cu6i t<y

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ddng

Quan he vrii CDNB t92 Nguy6n VIn Hda KO to6n truqng kiem

r96 Nguyen B60 Minh

20t Ng6 Thi Tuyiit

Tp H6 nedy"lg thilngOl nttn2ft6 @.

odNc qullx rnr

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n

1d)

w-L."-Chiu Thiry T{i Nguy6n

g{h"Wgfu,y

29

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