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

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Ngày ký: 29.01.2016 18:35
ceNG HdA xA Hor cHir NGHiA vrEr NAM
DQc lflp - Tg do - H4nh phric

NGAN HANG TMCP A CHAU

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
T6n c6ng ty dai

chring:

chinh:

Dia chi tru sd
DiEn thoai:
V6n didu l9:
Email:
Mii chimg khoan:

L Holt

Hi

NgAn hang Thuong mai C6 pmn

NQi

A Cnau

442 Nguy6n Thi Minh Khai, Phucmg 5, Qufln 3, Tp. H6 Chi Minh

(08) 3929 0999
Fax: (08) 3839 9885
9.37 6.9 65.060.000 ddng



ACB

{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,
ki6n 12 ldn vdo ciic ngdy
23/312015, 26/6/2015, 28/8t2015, 3OllO/2015 vd l6y
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.

!

STT

Thdnh vi6n HEQT

Hine Huy

I

One Tran

2

Nsuy6n Thdnh Lons
Ong Andrew Colin Vallis
Ong Julian Fong Loong
Choon
Ong Alain Xavier Cany
(Kh6ng cdn ld thdnh vi6n
tit nsiry 221412015')
Ong Dominic Timothy
Charles Scriven
Ge thenh vi€n tri ngdy

3

4

5

6

ri le

Chrl tich
Ph6 cht tich
Ph6 cht tich

s6 bu6i
hop tham

du
05/05
05/05
05/05

Thanh vi0n

04/04

100

Thdnh vi6n

02102

100

Thdnh viOn

02103

66,67

Uy quydn cho 6ng TrrAn
Hr)ng Huy
Uy quydn cho 6ng Trdn
Hirng Huy

Chric vu

(%)

Lf

do kh6ng tham du

100
100
100

22/412015')
7

Bd Dinh Thi Hoa

Thdnh vi€n
(tl6c ldp)

04/05

80

8

Ons Tran MOne Hine
Ong TrAn Trong Ki€n
Bd DIns Thu Thtv
Ons Ddm VAn Tuan

Thdnh

Thdnh
Thanh
Thdnh

05/05
05/05
05/05
05/05

100

9
10
11

viOn

vi6n
vi6n
vi0n

Miu Phtt tttc sd ltl (Ban hdnh kin theo ThOng tu
ddn v/v CBTT rAn rhi truong chi g khodn.)

sii

100
100
100

52/2012/TT-BTC ngay 05/04/20 t 2 cna BTC hudng


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.
Stt

C6c Nehi quv6t/ Ou
56 Nghf quy6t/
Ouvtlt dinh

II).

nh cfra
Ngdv

NQi dung

tit nhiQm chric danh thenh vi6n HQi
d6ng QuAn tri ctra 6ng Alain Xavier Cany
Chdp thufn thu

1

s09/TCQD-HDQT.1s

06102120t5

2

s r O/TCQD-HDQT.l s

06102120t5

J

sl l/TCQD-HDQT.1s

06102120t5

Mua bdt d6ng sdn dC ldm tru sd chi nhrlnh
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

5

s

0610212015

Thinh l4p phong giao dich m6i trong ndm 2015
Md tei khoAn t4i Saxo Capital Markets Pte Ltd.
Xti l), ti6n gui qu6 han tai tO chfc tin dung
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
Ban hanh Quy ch6 ph6t hinh tr6i phi€u cira NgAn
hdng TMCP A Cnau
DO cri 6ng Dominic Timothy Charles Scriven lim
img viOn HQi d6ng Qudn tri nhiQm kj, 2013 - 2Ol7

6

13/TCQD-HDQT.1s
s21ITCQD-HDQT.1s

09102/2015
0910212015

7
8

'22|TCQD-HDQT.1s
s7o/TCQD-HEQT.ls

t310212015

9

s79ITCQD-HDQT.ls

13102120t5

l0

731ITCQD-HDQT.r s

10t312015

11

80s/TCQD-HDQT.1s

r6l3l20t5

12

922|TCQD-HDQT.1s

2s13l20rs

l3

99 l /TCQD-HDQT.

1

s

30l3l20ts

t4

l 177/TCQD-HDQT.l s

0914120t5

15

t744|TCQD-HDQT.1s

0U612015

l6

l745/TCQD-HDQT.ls

0y612015

t7

1802/TCQD-HDQT.1s

0416120t5

18

193g/TCQD-HDQT.ls

r51612015

Chuy6n nhugng bAt A6ng sAn do kh6ng c6 nhu cAu
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
Xem xdt phuong 5n thdnh lflp ho{c mua lai c6ng ty
tdi chinh
Mi6n nhipm TOng Gi6m d6c C6ng ty TNHH Chring
kho6n ACB
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
Phuong 6n co cAu l4i C6ng ty TNHH MTV Cho
thu6 tdi chinh Ngdn hdng A ChAu

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.)

2

l9

2o94ITCQD-HDQT.l5

01/7/20t5

20

225 l irCQD-HDQT. l s

t31712015

21

2409/TCQD-HDQT.

27t7120t5

22

2482/TCQD-HDQT.l

s

31t7/2015

23

2680/TCQD-HDQT.1 s

t7 t8t20ts

24

271

6/TCQD-HDQT.

1

5

t8l8l20t5

25

2741ITCQD-HDQT.l

s

20/8/20t5

26

2018120t5

Nhdn sg Uy ban DAu tu

2818/2015

28

2742ITCQD-HEQT.ls
2809/TCQD-HDQT.1s
2810/TCQD-HDQT.1s

NhAn sg Uy ban Quan
rui ro
NhAn su HQi cl6ng Xir lf rui ro

29

28r 1/TCQD-HDQT.1s

28t8120t5

30

2900/TCQD-HDQT.l5

0719/2015

27

15

B6n c6 phiOu TCTD ilO thu h6i nq

lai COng ty TNHH MTV
Cho thu6 tdi chinh NgAn hang A Chau
Thay tl6i thdnh vi6n H6i tl6ng thdnh vi6n C6ng ty
Chimg kho6n ACB
Giai the HOi d6ng Gidi quy0t cdc ss vu il{c biQt
Tai b6 nhiem T6ng Gi6m tl6c NgAn hang TMCP A

86 sung phuong iin co

cAu

ChAu
DU kiOn b6 nhiQm T6ng Giam d6c NgAn hang

TMCP A ChAU
Sna
A

Chdu

lj

28t8120t5

Uy quy€n b6 nhi€m c6c chuc danh cria Ban Ki6m
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 20122017

Uy quy6n quy0t dinh ciic h4n mric quan lf rui ro

3l

2943lTCQD-r-rDQT.l5

l0/9120t5

32

2944ITCQD-HDQT.l5

r0/9/20r5

33

3237|TCQD-HDQr. l s

02fi0t2015

34

3752|TCQD-HDQT. l s

t0il1t2015

35
36
37

3782/TCQD-HDQT. l s
43

85/TCQD-HDQT. l 5

4386/TCQD-HDQT.l5

thanh khoan

t3lty2015
3y12t2015
3111212015

Uy quy€n quyOt dinh c6c h4n mric quan l! rui ro thi
truong
Di6u chinh chuc ndng, nhi€m vu vd co cAu t6 chric
cua Cdng ty TNHH Chtng khodn ACB
Thenh gp Kh6i Ban le va KI6i B6n bu6n
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
V0 viQc b6 nhiQm nhdn su
Thanh lQp Kh6i Tai chinh vd ban hanh Quy dinh vE
chrtc ndng, nhi6m vu vd co c6u td chric crla Kh6i

Tii
38

4402lTCQD-HDQT.l

s

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

3111212015

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
dAn

yh CBTT

rheo ThOnS

EAn thi trudng chtng khodn.)

tu

sij

52/2012iTT-BTC ngay 05/04/2012

da BTC hudng

..2edl
'r{

HA}l

iliG

I

.;.Fsl
..

Cll,
.+:


Tni

Thli

khoi
TGn tO

stt

chri'c/cd
nh6n

n giao
dich

chfn
o
ts

kho6
n
(n6u

tli6m
Chri'c vB
tai cdng
ty (n6u
c6)

sii
CMN
D/ H0
chi6u

*qu,

Ncri

cap

cap

CMND/
H0

CMN
D/H0

chi6u

chi6u

c6)
I

2

4

5

6

Dia
chi

-l
dau
tn
ngucri

Thdri
tIi6m
khOng
cdn lir

Ly do

nguli

cri

c6 li6n

li6n
quan

quan

22131

22t412

2008

015

Mi6n nhiQm ngdy
221412015, tr6n co
so thu tt nhiQm

Dominic
Timothy

22141

Duoc bAu b6 sung

Charles

2015

ngiry 221412015

26101
12015

Duoc b6 nhiQm

26101
12015

Dugc

Scriven
NguyOn
J

uit

rhi

Tuytit
V6n
Tu Ti€n
Phet

LE 86

Dffng

Ph6

ong
gi6m d6c

-lr

ngiry 2610112015

Ph6

ong
gi6m d6c
-lr

Ph6
^A
I ong

giSm d6c

Vrjay
Kumar

nfriem

ngiry 2610112015

29181

301712

20t2

015

29131

3v12t
20t5

2012

Mahesh
wari

UO

Mi6n nhiQm ngdy
301712015, tr€n co
sd dcrn xin nghi

vi6c
Mi6n nhiQm tr6n
co so k6t thric
nhiQrn ky t?i ACB

KE to6n

7

NgLry6n

Van Hoa

truong
ki0m
Gi6m
d6c Tdi
chinh

Duoc b6 nhiQm

ngiy 3lll2l20l5

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.

IV. Giao dich cria

cO

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
ddn v/v CBTT tAn thi trtdng ch*ng khodn.)

hudng

4


stt

Nguoi thuc hipn

Quan hp voi c0

giao dfch


1

Dim Dinh Mai

2

Nguy6n Thiqn

J

Dang Kim H6ng

4

D4ng Kim Tdn

5

Dqng ThiThu
Van

6

LC

Thi Cric

56 cO phi€u so
hiru dAu ki
56 c6
Tv le
(%\
phitiu

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

Anh cira bd Nguy€n
Thf Hai, Ph6 T6ng
-i
qlam ooc
Em cia bi DAng
Thu Thtiy, Thanh
vi6n HDOT
Em cria ba Dang
Thu Thriy, Thanh
vi6n HDQT
Em cria ba Dang
Thu Thty, Thanh
vi0n HDQT
Vg cia 6ng Nguy6n
Thanh To4i, Ph6
-a
-lI ons slam Ooc

3. C6c giao dich kh6c: (Giao dich cria
v6i chinh c6ng ty): Kh6ng c6.

V. Cr[c

Noi

vin

tld cin luu

f

khic: Kh6ng

56 c6 phi6u so
hiru cu6i ki
le
56 cO
(%\
phi6u

ri

Lf

do tdng,
gi6m (mua, b6n,
chuytin d6i,

thuons....)

15

0,00

0

0,00

B6n

4t1.340

0,04

364.340

0,04

B6n

2.46r

0,00

0

0,00

B6n

I 1 1.400

0,01

0

0,00

B6n

315.908

0,03

295.128

0,03

B6n

1.000.000

0,11

0

0,00

B6n

ci5 d6ng nQi

b0/ cO tl6ng l6n vd nguoi li6n quan

c6.

Lrtl,

I DONG QUAN TRI

nhQn:

- Nhu tr6n;
- PTGD Nguy6n Thanh To4i - NCBTT;

GAN HA

UdNG
:C PH:

- Luu: VP. HDQT, Ph. TH.

Dinh kdm:
- Phu luc: Danh s6ch c6 d6ng nQi bQ vd
nguoi c6 li6n quan (tinh d)n3lll2l2}l5.)

( cttr
ir'

H0

Trin Hing Huy

(B/D)
Mdu Phu lac sii ru @an hdnh kim theo Th6ng
ddn v/v CBTT tr€n thi trudng chthng khodn.)

tu

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

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)

Ph6 Chn tich

pnleu

JO

CO

s&

htu cu6i

ki

HDQT

Page

1


Tti khoin
STT

TCn t6 chri'c/ cri

nhin

giao dich
ch6mg khorn

(neu co,

Ngiry
mO

tii

khoAn

Chli,c vU tei c6ng

(n6u

iy

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&

Ghi chri

htiu c6
phi6u

Quan he

cuor l(y Loai c6

ii6ng
t9
2t

Philio Harvey Vallis
Marv Patricia Vallis
Zoe Marie Vallis

0

0.00%

NCLQ
NCLQ
NCLQ

22

Edward James vallis

0

0.00%

NCLQ

23

Justin Charles Vallis

0

0.00%

NCLQ

0

0.00%

NCLQ

0

0.00%

NCLQ

0

0_00%

Noi b0

20

21
25

26

27
28

Dr Martin Philip

Vallis
Richard Christopher

Vallis
Julian Fong Loong
Choon

Thdnh vien HDQT

Fong Anthony Chu
Chai
Fong Nathalene Mei

NCLQ

NCLQ

Lin

29

Tan Lay Tin

0

0.00%

NCLQ

30

Fong Karen Tan

0

0.00%

NCLQ

3l

Fong Kay Li Tan

0

0.00%

NCLQ

32

Fong lan Loong Kin

33

34

35

NCLQ

Fong Nathelene Pik

NCLQ

Yoke
Standard Chartered

APR Limited
Standard Chartered
Bank Hong Kong

82,263,883

8.770/o

NCLQ

58,395,142

6.230/.

NCLQ

0.00%

CDNB

Limited

l6

Dominic Timothy

37

Charles Scriven
Tr6n Th! Kim Loan

i8

John Scriven

39

Thdnh vien HDQT

0

NCLQ
NCLQ

Sylvia Valerie

0

Scriven

Page 2

0 00%

NCI-Q

v6i
CDNB


Tli khoin
STT

TGn t5 chric/ cri

giao dich

nhin

ch[,ng khodn
(n6u c6)

Ngiv
md tei

khoin

Chtc vll tSi c6ng ty
(n6u cd)

s6 CMND/

DKKD/
HQ chi6u

Ngiry

cip

CMND/

DKKD/
IIQ chi6u

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DKKD

Dia chi

pnleu

5(,

CO

s&

hnu cu6i
kJ

Ty

le sd

htu

Ghi chi

c6

phi5u
Quan he
cu6i tvfi

tl6ng
40

4t

42

Valerie Amanda
0

0.00%

NCLQ

63,899,631

6.8l%o

NCLQ

13,833

o.00vo

Noi b0

Tinlcy
Dragon Financial

Iloldinss Limited

Dinh Thi Hoa

Thanh vien HDQT
(Thdnh vi6n

CDNB

dOc l6p)
43

7,

Dinh Nho LiCm

):

NCLQ
'

44

L€ Thi Luong

3,828

0.000/.

NCLQ

il'
N

I

.(
45

Dinh Hr)ng

0

0.ooyo

NCLQ

46

Dinh Drlng

0

0.00v.

NCLQ

47

Trin

HDQT

16,523,854

t.76%

Noi b0

48

Dtrng Thu Thriy

Thanh vien HDQT

t0,978,656

t.t'10/.

NCLQ

49

Tran Van Tha

0

o.oovo

NCLQ

50

Nguy6n Thi Anh

5l

Tr6n D{ng Thu Thdo

52

Tran Hing Huy

53

Tran Minh Hoang

54

Tran TuyCt Nga

55

Tran PhU Mv

56

Tran Tuvet Lan

MQng Hring

ThAnh vi€n

NCLQ

ChN tich

HDQT

10.572,256

t.t3%

NCLQ

28,7'12,0'10

3.070/.

NCLQ

t.23vo

NCLQ

tovo

NCLQ

7,450,298

o.79Vo

NCLQ

0

0.00%

NCLQ

I1,503,880
9 t't

Page 3

,32t

o.


Tii khotn
T0n t6 chric/
nh6n

STT

ci

giao dich

chimg khodn
(n6u c6)

Ncr,v
m&

tli

khoin

Chfc vg tei cong ty
(niiu c6)

5(6

CMND/

DKKD/
HQ chi6u

Ngny

cip

CMND/

DKKD/
HQ chi6u

Noic6p
CMND/
DKKD

Dia chi

Sii c5 phiiiu
s& htru culii

ki

Tf

lQ

sd

Chi chri

hiiu c6
phi6u
cuor Ky Lo4ic5

d6ng
57

Trdn Ph[ Hda

58

Trdn Tuy6t Nhung

59

Trin Trong Ki6n

60

I

6t

Nguy6n Thi Nguy€n

62

LC

63

64
65

66

o.o3vo

NCLQ

0

0.00%

NCLQ

0

0.00%

Noi b0

0

0.00%

NCLQ

0

0 00%

NCLQ

1,418

0.00%

NCLQ

Tran Ha Nean

0

0 00%

NCLQ

Trdn Trgng Minh

0

0.00%

NCLQ

Irdn Gia Hdn

0

0.00%

NCLQ

0

0.00%

NCLQ

r0,978,656

LtTyo

N6i b6

44,860

0.00%

NCLQ

t6,523,854

t.76%

NCLQ

t0,572,256

|.t3yo

NCLQ

28,772,0',10

3.07%

NCLQ

I 1,503,880

t.23yo

NCLQ

0

0.00%

NCLQ

253,726
Thdnh viOn HDQT

ran I rQng Klem

Thi ViCr Hn

Tran Thi HOng

Nhune

Thiy

67

D4ne Thu

68

D{ng Kim Khdnh

69

Luu Thi Phucmg

70

TrAn MQng Hirng

7l

Tran DAng Thu Thao

Thdnh vi€n HDQT

NCLQ
Thdnh viCn HDQT

72

Tran Hing Huy

'73

Trdn Minh Hoing

74

Dhng Kim HOng

75

Dlng Kim T6n

0

0.00%

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