DIEU LE SUA DOI LAN 2

TAP DOAN DAU Kill QUO. GIA VItT NAM
CONG TY CO PHAN OWING HOAN DAU KHI

DIEU Lt
TO CHtfC VA HO T ONG
CONG TY CO HAN
CHUNG KHOAN AU KHi
I
(PETROVIETNAM SECURITIES INT-STOCK
COMPANY)
(Sira d i fan t hai)

HA NQI, THANG 4 NAM 2009
t

o rhirr va hnat elAng 2009


MUC
•
• iUC
CHUONG I : NHONG QUY DINH CHUNG
Dieu 1. Dinh nghia
Dieu 2. Hinh thirc, ten gQi va tru ser Cong ty, nguei dg ien theo phap luat
Dieu 3. Thad han hog dOng ciia ding ty
CHUONG II. MVC TIED, NGUYEN TAC, PHAM VI OAT DONG VA HAN CHE DOI VOI
CONG TY
Dieu 4. Cac linh vtrc kinh doanh
Dieu 5. Mix tieu hog dOng
Dieu 6. Nguyen tac kinh doanh chimg khoan
Dieu 7. Pham vi hog d6ng kinh doanh

Dieu 8. Quyen han va nghia vu dm ding ty
1. Quyen dm cong ty
2. Nglira vu dm ding ty
Dieu 9. Cac quy dinh Ilan che
1. Quy dinh han the doi vori ding ty
2. Quy dinh han the d6i \red T6ng Giam d6c cong ty va ngtroi hanh nghe chirng Ichoan dm
, cong tyDieu 10. Cac quy dinh ve lciam soar nei be
Dieu 11. Cac quy dinh ye bao mat thong tin
Dieu 12. Quy tac dap dirc nghe nghiep
VA CO DONG SANG AP COA CONG TY
CHU'ONG III. VON DIEU
Dieu 13. V6n dieu le
Dieu 14. Cach thirc tang, giam von dieu le
Dieu 15. Co dong sang lap cila cong ty,
Dieu 16. Han the deli voi quyen dm co dong sang lap
Dieu 17. Ca cau g6p von
,
Dieu 18. S6 dang IcS7 co &mg
Dieu 19. Quyen va nghia vu dm co dong ph6 thong
1. Quyen dm co 'Jong
2. Nghia vu dm co &rig
Dieu 20. CO phieu, c6 ph'an, phat hanh c6 phiau oh Co g ty
1. Hinh thirc co phiau•
2. Phat hanh co phieu,
Dieu 21. Chuyen nhuoTig coO phan
Dieu 22. Mua Lai co phan
1. Mua lai theo yeu eau cila c6 &ling
2. Mua lai theo quyat dinh dm cong ty
Dieu 23. Thu hoi co phan
Dieu 24. Dieu kien thanh town co phan dugs mua lai

•A
Di eu 25. Phat hanh trai phieu
CHUONG IV : CO CAU TO CHOC VA QUAN LY ONG TY
Dieu 26. Co cAu te) ,chirc,Cong ty
Dieu 27. DO hOi dong CO &rig
1. Dg hei dong CO &mg
2. Quyen va nhiem vu cua Dai h6i dos lig co Tong

a

1

Ditu 14 t6 chirc va hog ging 2009

N

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2

19
,
,
3. Trieu tap hop Dai hOi dong co dong
20
4. Chucmg trinh va not dung hop Dail*. dong co Ong
21
5. Dieu kien tien hanh hop Dai 1145i citing co &mg
21
,
quyen ,
6. Cac dai dien ducyc
22
a
7. The thirc tien hanh hop va bieu quyet tai Dai h i d6ng c6 dOng
23
8. Thong qua quyet dinh cua Dai heti dOng co don
Tham
quyen
va
the
thirc
lay
y
kien
co
(long
ba

g
van
ban
de
thong
qua
quyet
dinh
dm
Dai
9.
24
hOi dong co (long
25
10. Bien ban hop Dai Ili)i diing co dong
26
, 11. Yeu c'au hily bo quyet dinh dm Dai hOi dong • 6 dong
26
Dieu 28. HOi &mg quan tr.!
26
1. fliii dOng quan tri
26
2. Thanh phan, nhiem kS, va so luyng thanh vien of dtmg quan tri
27
3. Quyen han va nhiem vu dm HOi &Ong quan tri.
28
4. Chu tich Hi5i &mg quan tri
28
, 5. Culic hop HOi (long quan tri va lien ban cuOc Q
31

Dieu 29. Tong Giam doc
31
1. Tong Giam diic dieu hanh
31
2. Quyen va nhiem vu cila 'Ring Giam d6c
32
3. Tieu chuan va dieu hen lam Ttmg Giam d6c
32
, 4. Mien nhiem, bai nhiem Tong Giam doe
32
Dieu 30. Thu ky cong ty
33
Dieu 31. Thu lao, tien luong va loi ich khac oh nguad uan 1ST cong ty
33
Dieu 32. Ban Kiem soat ,
33
1. Thanh vien Ban kiem,soat
34
2. Nhiem vu oh Ban kiem soat
CHUONG V. NGHIA V!J CUA NGUOI QUAN I_ST C ',NG TY VA THANH VIEN BAN KIEM
35
SOAT
Dieu 33. Trach nhiem can tong oh Thanh vien Hiii do g quan tri, Tong giam doc dieu hanh va
35
can bi) quan lY
Dieu 34. Trach nhiem trung thut va tranh cac xung d8 ye quyen loi dm nguai quan ly ding ty va
35
thanh vien Ban Kiem soat
36
Dieu 35. Trach nhiem ve thiet hai va boi thueng

37
Dieu 36. Quyen diet' tra so sach va ho so
37
Dieu 37. Cong nhan vien va cong doan
38
CHVONG VI. PHAN CHIA LOI NHUAN
38
Dieu 38. Co tirc
CHU'ONG VII. TAI KHOAN NGAN HANG, QU'Y'. D TRU, NAM TAI CHINH VA HE
39
THONG KE TOAN
39
Dieu 39. Tai khoan ngan hang ,
39
Dieu 40. Quy du trir bo sung von dieu le
39
Dieu 41. Nam tai khoa
39
Dieu 42. He th6ng ke toan
CHUONG VIII. BAO CAO THUONG NIEN, TRACT NHIEM CONG BO THONG TIN,
40
THONG BAO RA CONG CHUNG, KIEM TOAN, C( N DAU COA CONG TY
40
Dieu 43. Bao cao hang nam, sau thang va hang quY
40
Dieu 44. Cong bo thong tin va th6ng bao ra cong chun
40
Dieu 45. Kiem toan
41
Dieu 46. Con dAu

us,

Dieu le CO chirc va hoot Ong 2009

66f/

3


CHUUNG IX. CHAM Dtrr HoAT DONG VA THAN:41,1;7
Dieu 47. ChAna dirt hoat di)ng
Dieu 48. Timing h9p be tac gifra cac thanh vien HOi dor g quan tri va co &Ong
Dieu 49. Gia han hog dOng
Dieu 50. Thanh 1y Cong ty
CHUONG X. GIAI QUYET TRANH CHAP NQI BO
Dieu 51. Giai guy& tranh chap not bel
CHUONG XI. BO SUNG VA SODA DOI DIEU Le
DiL 52. 136 sung va sira d6i Dieu 1e
CHUUNG XII. NGAY HIeU WC
Dieu 53. Ngay hieu hrc

41
41
41
42
42
43
43
43

43
44
441

z

Dieu le te• chirc va hoot dOng 2009

4


CQNG HOA XA HQI CHU GHIA VICT NAM
Dec lap — Tu do — H phfic

DIEU LE
CONG TY CO PHAN CHUNG KHOAN DAU Kill

PHAN MO D U

Cong ty co phan chimg khoan D'au khi dugc thanh lap heo Giay pile]) s6 26/UBCK-GPHDKD do
Uy ban Chimg khoan Nha nuac cap ngay 19/12/2006. Ban Dieu le sirs dOi Ian thir hai nay dugc
Dsi hei dOng co deng thuong nien Cong ty thong qua ngay 24 thang 04 narn 2009 thay the cho
Ban Dieu le da dugc Dsi 110i deng c6 don thuong nie thong qua ngay 29/04/2008. Ban Dieu le
nay dugc xay dung dua ten cac can cir phap 1Sr sau:

•

Lust Doanh nghiep s6 60/2005/QH11 dugc Qu6c hei nuOc CHXHCN Viet Nam thong qua
ngay 12/12/2005 c6 hieu luc thi hanh to ngay 01/0 /2006 va cac van ban huang dan thi hanh
Lust Doanh nghiep;

•

Lust Chirng khoan se 70/2006/QH11 da dugc Quo
ngay 29 thang 06 nam 2006 va e6 hieu luc thi hanh

HOi nuesc CHXHCN Viet Nam thong qua
ngay 01/01/2007;

•

Nghi dinh s6 14/2007/ND-CP ngay 19 thang 01 n
dieu cua Luat Chimg khoan;

2007 quy dinh chi tiet thi hanh met s6

•

Quyet dinh s6 27/2007/QD-BTC ngay 24 thang 4 n m 2007 dm Be tai chinh ve viec ban hanh
Quy the to chic va host deng cong ty chung khodn;

•

Quyet dinh s6 15/2007/QD-BTC ngay 19 thang 3 am 2007 ye viec ban hanh Dieu le mau ap
citing cho cac Cong ty niem yet ten So giao dich chimg khodn/Trung tam giao dich chirng
khodn/3

DiL le t6 chirc va hoot clOng 2009

5

CHU'ONG I : NHVNG QUY DINH CHUNG
Dieu 1.

Dinh nghia

1.1. Trir truang hgp cac ditu khoan hodc ngfr canh c'
ngft sau day se c6 nghia nhu dugc quy dinh du6i day:
"Cling ty" cc') nghia IA Cong ty ce phAn Chung khoan

Dieu le nay quy dinh khac, nhimg thuat
au khi.

"Dia ban kinh doanh" c6 nghia la lanh the Viet Nam a nu& ngoai.
"Win dieu le" c6 nghia Id s6 yen do ce (Tong goy dug ghi vao Ditu le Cong ty va dugc Uy ban
Chimg khoan Nhd ntrac xac nhan tai tUng thoi diem.
"Lu;at Chun khoan" co nghia Id Luat Chung khoan da dugc Quiic hed mac COng hod

Chu nghia Viet Nam thong qua ngay 29 thong 06 nam 2 06.

xa hOi

"Ludt Doanh nghiep" co nghia la Luat Doanh nghiep da dugc Qu6c hOi nu& COng hod xa hoi
Chu nghia Viet Nam thong qua ngay 29 thong 11 nam 2 05.
"Dieu khoan" co nghia la mot Dieu khoan dm Dieu le Ay.
"Ngay thanh 14p" c6 nghia la ngay ma Cong ty dugc c p Gidy phep thanh lap va hoat dOng;
"Phil) 1u4t" la tat ca nhUng van ban quy pham phap lu t quy dinh tai Dieu 1 - Luat Ban hanh van
ban quy pham phap luat dugc ban hanh ngay 12 thang 1 nam 1996.
"Ngtroi quan ly Ging ty" co nghia Id Chi!' tich va cac

doc, cac Pho Tong giam d8c va Ke toan tru8mg °zing ty.

anh vien flOi dong quan tit Tong Giam

"Nhihig nguiri lien quan" la ca nhan hoc to chirc c6 quan he voi nhau theo quy dinh tai khoan
34 Dieu 6 Luat Chimg khoan.
"CO dong 16.n" la ce dong sa hau truc tiep hodc gian
quyet cua Cong ty.

p tir 5% tr6 len s6 ce phdn c6 quytn bitu

"Viet Nam" co nghia la nuac COng hod Xa hOi Chi! ngh a Viet Nam.
"UBCKNN" dugc hieu la UST ban Ching khoan Nha nu c.
"Tip doan" dugc hitt' Id Cong ty me - Tap doan D'au

quec gia Vitt Nam.

1.2. Trong Ditu le nay, vitc tham chieu tai bdt kS/ die khoan hodc van ban nao se bao g6m ca
nhiing sira d6i hoc van ban thay the cua ditu khoan hod van ban dO.
1.3. Cac tieu de dugc dua vao chi dt tien theo dOi va ong anh htrang toi y nghia cua Ditu le
nay. Cac tir hodc thuat ner da dugc dinh nghia trong Lu t Doanh nghitp, Lust Chung khoan se c6
nghia tuong tu trong Dieu le nay neu khong mau thuan v chti tht hodc ngfr canh

Dieu 1 ter chirc va hog Ong 2009

AO)

6

Dieu 2. Hinh thfrc, ten gyi va try so . Cling ty, ngtrivi ai di?n theo phap 1u4t

Cong ty chimg khoan Dau khi dugc thanh 1ap chrai inh thirc Cong ty co phan, dugc cap giay
phep thanh lap va hoat dOng theo quy dinh cua Luat C ' g khoan va cac quy dinh hien hanh khac
cua nuac COng hoa XA hOi Chu nghia Viet Nam.
1. Ten goi:
❖ Ten hop phap chinh that cua C8ng ty bang tie g Viet: Cong ty
Dau kin

Co

phAn Chung khoan

❖ Ten giao dich bang tieng Anh: PetroVietnam S curities Joint—Stock Company
•

Ten viet tat bang tieng Anh: PV Securities

2. Tru sa dang 141 cila C8ng ty la:
Dia chi

: 20 Ng8 Quyen - Quail Hoan Kie

Dien thoai

: (84-4) - 278.9898

Fax

: (84-4) - 278.8989

Email

: .v

Website

: www.pvsecurities.com.vn

—Ha NOi

3. Tong Giam d6c la Nguai dai dien theo phap luat c' Cong ty. Ngueri dai dien theo phap luat
cua cong ty theo quy dinh tai Dieu le nay phai thuang tru a Viet Nam; truang hop yang mat a Viet
Nam tren ba muai ngay thi phai uS , quyen bang van ban Oho nguai khac theo quy Binh phap luat de
thuc hien cac quyen va nghia vu cua nguai dai dien theo hap luat cua cong ty.
4. Cong ty co the thanh lap, dung dm Chi nhanh, Van phong dai dien, Phong Giao dich tai cac
Tinh, Thanh pho de thuc hien cac muc tieu cua Cong t sau khi dugc Uy ban Chimg khoan Nha
nuac chap thuan. Truang hgp ma Dai 1$: nhan lenh, Cog ty phai bao cao Uy ban Chung khoan
Nha nuac truot nam (5) ngay lam viec ke tir ngay dai 15/ an lenh chinh thirc hoat dOng.
5.Chi nhanh va Phong giao dich dugc thuc hien viec ma tai khoan giao dich chimg khoan, nhan
chimg khoan ltru ky, nhan va truyen lenh true tier) ye T sa/Chi nhanh noi Chi nhanh/Phong giao
dich true thu0c. Dai 1)'T nhan lenh &rot lien hanh nhan, s kiem va truyen lenh ye Tru sa chinh/Chi
nhanh theo Flgp deng dai 13'T vai Cong ty.

Dieu 3. Thai han hoyt Ong ctia cong ty

Trir khi bi cham dirt hoat dOng truac thai han theo Die 45 va 46 dm Dieu 1e nay, thoi han hoat
Ong cua Cong ty la nam muai (50) nam tinh tir ngay Co g ty dugc cap Giay phdp hog dOn

k•--Uata

Ditu i

td chirc Ira hog Ong 2009

7


CHUONG II. MK TIEU, NGUYEN TAC, PHAM I HOAT BONG VA HAN CHE DOI
VOI CONG TY
Dieu 4. Cac linh virc kinh doanh
1. Linh vkrc kinh doanh cua ding ty:
- Moi gibi chimg khodn;
- Tu doanh thing khodn;
- Tu van dau to chimg khoan, to yen tai chinh va cac di h vu tai chinh khac;
- Lou ky.T chirng khodn.
2. Cong ty co the tin hanh thay d6i hoec b6 sung mot rong nhang loai hinh kinh doanh tren sau
khi &roc US/ ban Chimg khoan Nha nu& phe duyet.

Dieu 5. Muc tieu hoat Ong
Muc tieu cua cong ty la huy d6ng va sir dung Veil co hi u qua nham thu duct loi nhuen t6i da; tao
ding an viec lam cho nguoi lao dOng; tang Ion tirc cho c • dong; dong gop vao su phat tri6n cua Thi
tnrOng thing khoan Viet Nam va ngan sach cho Nha nu 0 c.

Dieu 6. Nguyen tat kinh doanh cluing khoin
1. Tuan thu phap luet ve chirng khoan va thi triton thing khoan va cac phap luet khac;
2. Tuan thu dao dirt nghe nghiep;
3. Liem truc va thuc hien hoat d6ng kinh doanh m 1 t cach cong bang;
1

4. Hoan thanh nghia vu cua minh voi khach hang

of cach tot nhat;

5. Dam bao ngu6n luc ve con nguoi, yen va co s vet chat can thiet khac de thuc hien hoat
dOng kinh doanh chirng khoan va ban hanh ban van ban cac quy trinh thuc hien nghiep
vu kinh doanh phu hop;
6. Chi &roc dua ra loi to van phi' hop vai khach h g teen con so no
luc thu thep thong tin ve
khach hang;
'

7. Phai cung cap cho khach hang thOng tin can thin cho viec ra quyet dinh dau to cua khach
hang;
8. Phai then trong khong duce tao ra xung d6t 1
ich voi khach hang. Trong tnrong hop
khong the tranh &roc, cong ty phai thong bao tr oc cho khach hang va/hoec ap dung cac
bien phap can thiet de dam bao doi xir cong bAng of khach hang;
.

9. Ban hanh va dp dung cac quy trinh nghiep vu
Dieu le to chin va hog dOng 2009

ong cong ty phu hop volt quy dinh cu


Luat Chirng khoan va cac van ban phap luat lie quan.

Dieu 7. Pham vi hoat d(ing kinh doanh

Ong ty chi dugc pile]) lap ke hoach va tien hanh tat c cac hog d'ang kinh doanh, cung cap dich

i dung Giay phep thanh lap va hoat d'ang
cong ty chimg khoan va &rot Luat Chimg khoan cho p ep. Tnrong hop cong ty cung cap dich vu,
san pham mai phai dugc str chap thuan tnrop bang van an dm Uy ban Chimg khoan Nha nuac.

vu tu van tai chinh va dich vu tai chinh khac trong n

Dieu 8. Quyen han va nghia vu cua cong ty
1. Quyen ctia cong ty
❖ 1“/ hop dang bang van ban vai khach hang ve iao dich chirng khodn, clang ky va hru ky
chimg khodn, bao lanh phat hanh chirng khoan, tu van dau to chimg khoan va to van tai
chinh;

❖ Thuc hien thu phi theo cac mirc phi, le phi do B Tai chinh quy dinh;
❖ 1..ru tien sir dung lao dOng trong nuerc, bao dam quyen va lad ich cua nguai lao dOng theo
quy dinh cua Luat Lao &Ong, ton trong quyen ti chirc cong doan theo quy dinh cua phap
luat;
❖ Cac quyen khac theo quy dinh cila Dieu le nay v phap luat.
❖ Tham gia dau to gop van, mua co phan cua cac doanh nghiep khac va thanh lap cac cong
ty con de thuc hien hoat dOng kinh doanh chimg oan theo quy dinh cua phap luat.
2. Nghia vu ctia cong ty

❖ Thiet lap he thong kiem soat nal b0, quan tri rui o va giam sat, ngan ngira nhimg xung Tat
lgi ich trong not bo cong ty va trong giao dich von nguai có lien quan.
❖ quan ly tacti biet chimg khoan cua tong nha dau tu, tach biet tien va chirng khoan cua nha
dau to vOi tien va chimg khoan cua cong ty chin khodn.
❖ K)', hop dang bang van ban v6ri khach hang khi c ng cap dich vu cho khach hang; cung cap
day du, trung thuc thong tin cho khach hang.
❖ Ult fien thuc hien l'enh cua khach hang trugc le dm cong ty.
❖ Thu thap, tim hieu thong tin ve tinh hinh tai chi , muc , tieu du tu, kha nang chap nhan
rui ro cua khach hang; bao dam cac khuyen nghi, van dau to cua cong ty cho khach hang

phai phu hop vai khach hang do.
❖ Tuan thu cac quy dinh bao dam van kha dung the quy dinh cua BO Tai chinh.
❖ Mua bao himtrach nhiem nghe nghiep cho ng ep vu kinh doanh chimg khoan tai cong
ty hoac trich lap quy bao ve nha dau tu de boi thuong thiet hai cho nha dau to do str co ky
Dieu le t6 chCrc va boat ding 2009


•

thuat va so suit cua nhan vien trong ding ty.
❖ Luu gift dAy du cac chimg tir va tai khoan ph:
khach hang va cua cong ty.

anh chi tiet, chinh xac cac giao dich cua

❖ Thuc hien viec ban hoc cho khach hang ban c img khoan khi khong so huu chimg khoan
va cho khach hang vay chimg khoan de ban the quy dinh dm BO Tai chinh.
❖ Tuan thit cac quy dinh cua BO Tai chinh ve ngh ep vu kinh doanh chimg khoan.
❖ Thuc hien the dO ke toan, kiem toan, th0ng ke, nghla vu tai chinh theo quy dinh caa phap
luSt.
❖ Thuc hien cong 1)0 thong tin theo quy dinh t Dieu 101 va Dieu 104 dm Lust Chimg
khoan va the dO bao cao theo quy dinh cua BO ai chinh.
•

Tuan thu cac nguyen tic ve quan tri cong ty the Dieu 28 Lust Chimg khoan.

• Ding gop guy ho tro thanh toan theo quy di
thanh toan chimg khodn.

tai Quy the ve dang 14, lift 14, ba trir va

Dieu 9. Cac quy dinh han the
1. Quy dinh hn the doi voi ding ty
❖ Khong dugc dua ra nhan dinh hoSc bao dam of khach hang ve mire thu nhap hoc loi
nhuan dat dugc ten khoan dau to cua minh h ac bao dam khach hang khong bi thua 18,
ngoai trir dau to vao chimg khoan c6 thu nhap c • dinh;

❖ Khong dugc fiat 10 thong tin ve khach hang frit khi dugc khach hang dling yhoc theo yeu
cau dia co quan quan 1Sr nha nuac c6 tham quy
❖ Khong dugc thgc hien nhung hanh vi lam cho
thing khodn;

ach hang va nha dAu to hieu nhAm ve gia

❖ Khong dugc cho khach hang vay tien de mua himg khoan, trir truing h9p BO Tai chinh
c6 quy dinh khac.
2. Quy dinh hn the daft voi Tang Giam d'ac ding ty va ngtroi hanh nghe chting khofin cfia
cong ty:

❖ Khong dugc clang thai lam viec cho to chirc
khoan ncri minh dang lam viec;

ac c6 quan he so hdu vbi c6ng ty thing

❖ Khong dugc ding thai lam viec cho cong ty ch

g khodn, cong ty quan 13'r quy khac;

❖ Khong dugc citing thai lam Giam dec hoc 6ng giam doc cua mOt to chirc chap ban
chimg khoan ra cong chimg hoc to chirc niem et.

❖ Chi dugc ma tai khoan giao dich chimg khoan ho minh tai chinh cong ty;

21/
Diki td chirc

va heat Ong 2009

10


❖ Khong &roc sir dung tien, chirng khoan ten Ai khoan cua khach hang khi khong dtroc
khach hang uy thac;

Dieu 10. Cac quy dinh ve kiem soat not b0
1. Quy trinh ki6m soat nOi bo &roc lap chinh tittle b. ng van ban va &roc cong 136 trong nOi b0
cong ty.
2. Moi nhan vien cua cong ty deu phai tuan thu quy di ve
kiem soat nOi b0.
3. Dinh kS7 cong ty tien hanh kiem tra va hoan thien

bien phap kiem soat not b0.

4. BO phan kiem soat nOi 13.0 chiu trach nhiem dam ba.i he tilling kiem soat not b0
dugc tuan
dinh kY bao cao ket qua len rOng Giam d6c cong ty de oan thien cac bien phap
kiem soat nOi bo.

Dieu 11. Cac quy dinh ve bao mat thong tin
1. C6ng ty phai c6 trach nhiem bao mat cac thong tin ien quan den so
, hitu chimg khoan va lien

cua khach hang, tir choi viec diet' tra, phong toa, cam g , trich chuyen tai san cua khach hang ma
khong c6 sir (long y cua khach hang.
2. Quy dinh tai khoan 1 Dieu nay khong ap dung trong • ac truemg hop sau day:
❖ Kiem toan vien thuc hien kiem town bao cao tai hinh cua cong ty;
❖ Khach hang cua cong ty mutm biet thong tin lie quan den so hat chimg khoan va tien cua
chinh ho;
❖ Cung cap thong tin theo yeu au dm co. quan nh nuo .c co thAm quyen;

Dieu 12. Quy tic dao dine nghe nghi0
1. 130 quy the dao dire ngh'e nghiep do Hiep hOi kink do
chimg khoan ban hanh clued hinh thirc
van ban phai duvc cong bo rOng rai trong cong ty. Cong y phai xay dung nOi quy cua cong ty, chi
tiet hod nOi dung dm b0 quy tac dao dire nghe nghiep na
2. Moi nhan vien cita cong ty deu phai tuan thu nghiem gat b0 quy fac nay.
3. BO phan kiem soat nOi NI co trach nhiem giam sat vi c tuan thit quy
vac dao dire nghe nghiep
cita lanh 40 va nhan vien cong ty.

ke,

Di0u 10 t6 chirc va hog dOng 2009 I


CHUONG III. VON DIEU LE VA CO DONG SANG LAP CUA CONG TY
Dieu 13. Vim dieu 10

Vao ngay thong qua Dieu la nay, von dieu le ciia con ty IA 287.250.000.000 VND (hai tram tam
muci bay ty hai tram nam muoi triau dong) ducyc chia thanh 28.725.000 (hai muoi tam triau bay
tram hai nurai nham ngan) c6 phan vai manh gia la 10.100 (mtrai ngan) deng/c6 phan.
Dieu 14. Cach thin tang, giam vim dieu 10

1. Vic tang, giam von dieu la dm cong ty phai duac th c hien phii hop vai quy dinh phap
2. Ong ty có the tang von Dieu le thong qua quyat di dm Dai 118i dong co d8ng va phii hop vai
cat quy dinh cua US, ban Chimg khoan Nha nuac khi:
•
•

Cong ty có nhu cau ma rung quy mo hog Ong san xuAt kinh doanh; hoac
Cong ty bi giam v6n hog dOng kinh doanh chuT.g khoan hien thai va phumg an huy Ong
von tir cac nguon ben ngoai khong thtrc hien &rot
•

3. Von dieu la dm ding ty thrac dieu chinh tang theo cac hinh thirc sau:
❖ Phat hanh c6 phieu mai de huy dOng them v6n theo quy dinh cua phap luat;
❖ Chuyan dui trai phiau da phat hanh thanh c6 phi;
❖ Thuc hien tra c6 tdc bang c6 phiau;
❖ Kat chuyan nguen thong du v6n de b6 sung tan ivgon dieu
4. Vic giam v6n dieu le cong ty do Dai 118i d6ng c6 d ong quyat dinh nhung van phai dam bao
dieu kin von phap dinh theo quy dinh hien hanh.
Dieu 15. CO &Ong sang lap elm cling ty

Co dong sang lap ding ty g6m:
S6
TT
1

2

Di6u

Ten c6 (long

Ngetri dai din

Tap doan Dau khi Gem:
quoc gia Viet nam
Ong Duang Minh Dire

191.250.000.000

66,58 %
21,58%
21,00%

Ong Dinh Thai Ha

12,00%

Ong Nguyen Ngoc Minh

12,00%

b,...

kk

Ty 10 % tren von dieu
tai thei diem thong
qua DL sfra dui

Ong Bid Ngoc Thang

Tong ding ty Bao Ong Nguyen Anh Tug'
hiam Dau khi

t6 chirc va hoot dOng 2009

SO yen gap ( d )

37.500.000.000

13,05 %


Dieu 16. Han the dOi vai quyen cfia co dong sang 14
1. Co clang sang lap dm cong ty khong dugc chuya nhtrcmg ca phAn hoac phAn van gap cita
minh trong thoi han 03 nom ke tir ngay Cong ty dugc cap Giay phep thanh lap va hoat d6ng, trir
truong hop chuyen nhtrong cho co (tong sang lap, thanh vien sang lap khac trong cong ty. Cac c6
thing khac la thanh vien HOi dong quan tri, c6 dong gift chi:re vu Tong Giam dac cong ty ding
phai tuan thfi cac han the tai dieu nay.
2. Co Tong sang lap khong dugc trich lgi nhuan khi co g ty khong thanh toan dir cac khoan no va
cac nghia vu tai san khac den han.

Dieu 17. Ccr cau gop von
Tai thaidiem thong qua Dieu la nay, town b0 so ca ph^ do Cong ty phat hank dau la ca phAn pha
thong, ke ca cac co phan do Tap doan Dau khi ram gi Chi tiet co . cau gop von duce the hian tai
Phu luc 1 cfia Dieu la.

Dieu 18. SO dang IcS7cO &mg
1. Cong ty phai lap va luu gift So dang ky ca (long tir

d6ng.

i dugc cap GiAy phep thanh lap va hoat

2. So dang ky ca &Ong phai c6 cac nOi dung chil you nh sau:
✓ Ten, dia chi try so chinh cua cong ty;
✓ Ho, ten, dia chi thtrong tru , quiic tich, so GiAy c
irng minh nhan dan, H6 chiau hoac chfmg
thuc ca nhan hop phap khac doi \raj co dong la
nhan; ten, dia chi try se', quoc tich, so
quyat dinh thanh lap hoac so dang ky kinh doanh of voi co dong la phap nhan;
✓ Gia tri von gOp va so ca phAn timg loai

0 dong, ngay (Tang ky ca plan;

✓ Tang se; co phAn dugc quyen chao ban, loai ca
dugc quyen chao ban cfia tirng loai;

hAn dugc quyen chao ban va so co phAn

✓ Tang so ca phAn da ban cila tong loai va gia tri v n co phAn da Op.
3. Hinh thdc cua So dang 14/ co dong do cong ty quyat
hoac ca hai loai nay.

c6 the la van ban, tap dit lieu dian tir

4. So dang k5, ca (tong dugc km gift tai try so chInh va 6 the dugc luu gift tai ca Trung tam Luu

ksr.

Dieu 19. Quyen va nghia vu cua cif, Ong phi) thong
1. Quyen cua co thing
1.1 Ngtrai nom gift ca phAn phi!) th6ng c6 cac quyen sau
Ditu li

tf chirc va hoot dOng 2009
13


❖ Tham du va bieu quy& trong cac cuOc hop D hOi d6ng c6 dong vathuc hiOn quyen bieu
quyet trkrc tiephoSc thong qua dai din dugc y quyen; mOi co phan pho thong c6 mOt
phieu bieu quyet;
❖ Dugc nhan c6 tirc voi mirc theo guy& dinh cua ai hOi d6ng c6 &Ong;
❖ Dugc tru tien mua c6 phAn moi chao ban tucm img vai ty lO c6 phAn ph8 thong cua timg
co &Mg trong cong ty;
❖ Dugc to do chuyen nhuong c6 phan cua minh
ho
c6 Tong khac va cho nguai khong phai
•
la co &Ong trir truong hop quy dinh tai khoan 1 ieu
16 cua Dieu lO nay;
❖ Xem xet, tra cirn va trich luc cac thong tin trong Danh sach c6 dong c6 quyen Neu guy&
va yeu cau sira doi cac thong tin khong chinh xa ;
❖ Xem xet, tra cfru va trich luc hoc sao chip Die le cong ty, s6 bien ban hop Dai hOi d6ng
co dong va cac nghi quyet cua Dai hOi &mg co ding;
❖ Khi cong ty giai the hoc pha san, dugc nliSn m t phAn tai san con lai Wong img vbi s6 c6
phan gap von vao cong ty;
•

Yeu cau Cong ty mua lai c6 phAn cua ho trong dc truang hop quy dinh tai Dieu 90.1 cua

Lust doanh nghiOp;

❖ Co (long la to chirc c6 quyen cir mOt hoc mOt o nguai dai din theo 4
quyen thuc hiOn
cac quyen co &Ong cua minh theo quy dinh cua phap luSt. TruOng ,h9p , c6 nhieu hon mOt
nguai dai din theo uST quyen dugc Fir thi phai x c dinh cti the so co phan va so ph*i bau
cua moi nguai dai diOn. Vic cir, cham dirt hoSc thay doi nguai dai din theo usr quyen deu
phai thong bao bang van ban den ding ty trong t han sOin nhat;
❖ Cac quyen khac phu hop vOi quy dinh phap luSt.
1.2. Co dong hoSc nh6m c6 citing so . huu tren 10% ding s6 c6 phAn ph6 thong trong thai han lien
tic it nhat sau thang c6 cac quyen sau:
❖ De cir nguai vao HOi ang quail tri va Ban Kiem soat;
❖ Xem xet va trich lic s6 bien ban va cac nghi ?yet cua HOi d6ng quan tri, bao cao tai
chinh giita nam va hang nam theo mAu
thing ke town ViOt Nam va cac bao cao cua
Ban Kiem soat;
❖ Yeu cau triOu tap hop Dai hOi d6ng c6 dong;
•

Yeu cau Ban Kiem soat kiem tra tuns van de cti he lien quan den quan 1Y, di6u hanh hoat
d'Ong dm ding ty khi xet thay can thiet. Yeu cau p ai the hiOn bang van ban; phai c6 h9 ten,
dia chi thuong tru, quoc tich, so Giay chirng mi nhan dan, HO chieu hoc chimg thtrc ca
nhan hop phap khac doi voi co dong la ca nhan; t n, dia chi, so quyet dinh thanh lap hoc
so dang ky kinh doanh va chit ky dm nguoi Dai di n truot phap luSt cua to chirc doi vai co
&Ong la to chuc; so lugng co phan va thai diem d g V co phan cua tirng co citing, tong so
co phan cua ca nhom co &Mg va ty le so hitu tro g tong so co phan co quyen bieu quyet
cua cong ty; van de can kiem tra va mix dich viOc iem tra;

Dieu Ig to ch0c va hoat Ong 2009
14

❖ Cac quyen khac phi' hop vii quy dinh phap lua
2. Nghia vu ctia co clung
2.1

Co d8ng co nghia vu:
❖ G6p du, dung han se yen co phan a cam ke va chiu trach nhiem ve cac khoan no va
nghia vu tai san khac cua cong ty trong pham vi 6' von da cam ket gip vao cong ty;
❖ Tuan thit Dieu le cong ty va quy cite quan 1ST no be cong ty;
❖ Chip hanh quyet dinh cua Dai hei dung co don , Hei dung quan tri;
❖ Cung cap dia chi chinh xac khi dang ky mua c phin; thong bao kip tiled vai Cong ty khi
có su thay doi;
❖ Chiu trach nhiem ca nhan khi nhan danh cong t de thuc hien cac hanh vi sau:
- Vi pham phap luat;
- Tien hanh kinh doanh holac giao dich khong nh
hai cho nguoi khac;

phuc vu lyi ich cua cong ty va gay thiet

- Thanh toan cac khoan no chua den han truac n uy co tai chinh co the xay ra dui vai cong
ty;
❖ Thut hien cac nghia vu khac do phap luat quy di
2.2 Nghia vu cua co dung lon khi co phieu cua C8ng y ducyc niem yet tai So Giao dich chung
khoan hoac Trung tam giao dich chirng khodn:
Trong thoi han 7 ngay ke tir ngay tra thanh co dung 1 • phai bao cao cong ty, USr ban himg
khoan Nha nuac va Giao dich chart khoan hoac Trun tam giao dich chang khoan mai ocophieu
&rye niem yet.

Dieu 20. a phieu, co plan, Oat hanh co phieu cua

l

ong ty

1. Hinh auk co phieu:
Tai thai diem thong qua Dieu le nay, tit ca cac co phin N cfC phat hanh cita cong ty deu la co phin
phi thong dtro.c the hien duai hinh thirc chimg chi vat chat Oat cho co dung va dir lieu din tir hru
tai Ong ty. Cong ty có the phat hanh cac loai co phan kh c khi duot Dai hei dong co dung nhat tri
th6ng qua va phii hop vai quy dinh cua phap luat ve chin khoan va thi truong chimg khodn.

2. Phat hanh co phieu
Cong ty dtryc phat hanh co phieu khi &rot Dai hei ding 8 dung thong qua. Truing hop chao ban
co phieu ra cong chting phai dap frng cac dieu kien chao an co phieu ra cong chung theo quy dinh
taiLuat chirng khoan va phai dang ky vai Uy ban Chimg khoan Nha nuot truoc khi that hien. Co
phan 016 thong phat hanh them cho cac c8 dung hien h - phai dtryc tru Ten chao ban cho cac co
Bong hien huu theo ty le tuung frng vai ty le so. huu c6 phan pito thong cila ho trong C6ng ty, trir
twang hop Dai hei &Ong co dung quy dinh khac. Cong ty phai thong bao viec chao ban co phan
Di0ti 10 to chirc

va hoot dOng 2009

fr,

k


trong th8ng bao phai neu ro so co phan duoc chao ban a thefi han clang, kyr mua
hop (tei thieu
hai muoi ngay lam viec) de co &mg co the gang kyr m a. So phan co dong khong clang kyr mua

het se do Hei, dong quail tri cong ty quyet dinh. Ho
dong quan tri co the phan phoi so co phan
do cho cac doi Wong then cac diet' kien va each thim m HOi dong quan tri thay la phu hop, nhung
kh8ng duoc ban so co phan dO theo cac diet' kien thu loi hon so yeti nhang dieu kien da chao
ban cho cac c8 d'Ong hien him, nir truang hop Dai hei ong co Tong co quy dinh khac hoac trong
tnrong hop co phan duoc ban qua So Giao dich Chung oan/ Trung tam Giao dich Chimg khoan.

Di eu 21. Chuyen nhurig co phan

Cac co phan duoc to do chuyen nhuong, trir cac tn.rong hop sau:

❖ Co ph'an phe th8ng cua cac co dong sang lap, t anh vien Hei dong quan tri, Tong Giam
doc ding ty quy dinh tai khoan 1 Dieu 16 cua Di u le nay;
phan chua duoc thanh toan day du kh6ng du c chuyen nhuong va huong co tire.
❖ Cac truemg hop khac theo quy dinh cua phap lu a Quy the cua Cong ty.
Vic chuyen nhuong co phan ,ducyc, thuc hien theo Qu
(long quan tri phe duyet. Khi c8 phieu cua Cong ty duoc
Trung tam Giao dich Chimg khodn, viec chuyen nhuong
ye chimg khoan va thi tnrong chimg khoan cua Sa Gia.
Chung khodn.

Dieu 22. Mua

the chuyen nhuong cua C8ng ty do HOi
niem yet tren Sa Giao dich ChUng khodn/
that hien theo cac quy dinh cua phap luat
dich Chung khoan/ Trung tam Giao dich

o A

c o phan

1. Mua lai theo yeu au dm a dong

CO' Tong co quyeny'eu cau ding ty mua lai co phan cua inh, neu co dong do bo phieu khong tan
thanh d8i voi quyet dinh ve viec to chirc lai cong ty c 'a Dai hei don co dong hoac thay dui
quyen, vu cua co dong quy dinh tai Dieu cong t . Yeu cau mua lai co phan phai duoc lap
bang van ban va phai duoc giri den cong ty trong theri ha muoi ngay lam viec, ke tir ngay Dai hei
dOng co &Mg thong qua quyet dinh ve cac van de quy di tai khoan nay.
2. Mua lai theo quyet dinh cua cong ty

Cong ty CO quyen mua lai co phieu cua chinh minh lam phieu quy \red se luang khong qua 10%
tong so co phan ph!) thong da ban trong m6i kyr 12 than. Cong ty chi duoc &mg nguon loi nhuan
de lai, thang du von va cac nguon khac theo quy dinh •ua phap 1144 de mua co phieu quy. HOi
dOng quan tri quyet dinh viec mua lai c8 phieu guy. Kho' g each girra Ian mua va Ian ban co phieu
quy gan nhat khong clued sau (6) thong, trir tnrong hop ph phoi cho ngueri lao dicing trong cong ty
hoac dimg lam co phieu thuong. Truong hop dung lam c phial thuong cho nguoi lao dong phai
dam bao co nguon thanh town tir guy ph& loi, khen thuern
Cong ty phai bao cao Uy ban thing khoan Nha nuerc t oc khi that hien mua co phieu guy ba
muoi (30) ngay va Macao Uy ban chUng khoan Nha nue/ ket qua that hien sau nam (5) ngay lam
viec ke tix ngay mua co phieu quy duoc hoan tat. Truemg op c8 phi'eu cua Cong ty da duoc niem
Dieu I~ t6 chirc va hoot dOng 2009

16


yet tai So Giao dich chUng khoan hoc Trung tam gi o dich chirng khoan, khi mua lai c6 phieu
quy, Cong ty phai ding khai thong tin ye viec mua lai 0 ngay trtrac khi thud hien mua lai.

Dieu 23. Thu hoi co phan

•A
•
1. Truang hop di citing khong thanh toan dAy du va d ng han so tien
phat tra mua co phieu, HOi
(tong quart tri thong bao va c6 quyen yeu cau c8 (long d6 thanh toan so tien con lai ding vai lai
suat tren khoan lien do va nhang chi phi pita sinh do viec khong thanh toan day du gay ra cho
Cong ty theo quy dinh.

2. Thong bao thanh toan neu tren phai ghi rO thai han anh toan moi (t6i thieu la bay ngay ke tir
ngay giri thong bao), dia diem thanh toan va thong ba phai ghi rO truOng hop khong thanh toan
theo dung yeu cau, so co phan chua thanh toan het se bi hu h6i.
3. Trtrang hop cac yeu cau trong thong bao neu tren
day , dit tat ca cac khoan phai n0p, cac khoan lAi va ca
quyen thu hoi so co phan do. HOi dung quart tri co the c
hoi theo quy dinh tai cac Khoan 1 va 2 va trong cac
nay.

Ong dugc thud hien, truck khi thanh toan
chi phi lien quan, HOi dung quan tri co
ap nhlan viec giao nOp cac co phan bi thu
Ong hop khac &roc quy dinh tai Dieu le

4. Co phAn bi thu 1161 se tri5'( thanh tai san cua Cong ty. of dling quan tri c6 the true tier) hoSc fly
quyen ban, tai phan phoi hoc giai quyet cho ngtrai d sa hiru co phan bi thu hoi hoSc cac doi
ttrong khac theo nhang dieu kien va each third ma HOi d ng quan tri thay IA phir hop.
5. Co &Ong nim gift c6 phAn bi thu 116i se phai tir bo
nhung van phai thanh toan tat ca, cac khoan tien co lie
vuot qua lai suat lien ngan hang) vao thai diem thu hoi t
ngay thu h8i cho den ngay thud hien thanh toan. HOi do
cuang the thanh toan toan b0 gia tri co phieu vao thoi

toan mot phan hoc toan b0 so tien do.

each c6 &mg doi voi nhimg c6 phAn d6,
quan Ong vai tien 'Ai theo ty le (khong
eo quyet dinh cua HOi dong quan tri ke tir
g quan tri c6 toan quyen quyet dinh viec
em thu hoi hoc co the mien giam thanh

Thong bao thu hoi se &roc giri den ngtroi nAm gift c6 ph bi thu h6i truce thai diem thu h6i. Viec
thu hoi van c6 hieu luc ke ca trong truong hop c6 sai sot oSc bat can trong viec gui thong bao.

Dieu 24. Dieu kien thanh town ce phan du•e mua Lai
Cong ty chi duoc quyen thanh toan c6 phAn &roc mua lai cho c6 (Jong theo quy dinh tai Dieu 22
dm Dieu le nay neu ngay sau khi thanh toan het so co han &roc mua lai, ding ty van dam bao
thanh toan du cac khoan no va nghia vu tai san khac.

Dieu 25. Phat hanh trai phieu
1. Cong ty co quyen phat hanh trai phieu, trai phieu ch
yen d6i va cac loai trai phieu khac theo
quy dinh cua phap lust.
2. HOi d6ng quan tri cua ding ty c6 quyen guy& dinh loa trai phieu, tong
gia tri trai phieu, va tha
Dieu I to chic va host ding 2009

//11
17


diem phat hanh, nhung sau do phai bao cao Dai hai do g ca dong tai cuac hop gAn nhdt.
3. Tnrang hop kh8ng dugc quyen phat hanh trai phi6u:

• Khong thanh town du ca gac va lai cua trai p ieu da phat hanh, khong thanh town hoac
thanh town khong dir cac khoan nq den han tron ba nam lien ti6p truac d6;
❖ Ty suAt lgi nhuan sau thu6 binh quan cua ba n' lien tiep truot do khong cao hon mire lai
suAt du kian tra cho trai phi6u dinh phat hanh;

CHIIONG IV : CO CAU TO ClIffC VA QUAN Li"( CONG TY
Dieu 26. Cu du to chtic Cong ty
Co cdu to chirc quail lST cua C8ng ty bao gam:
a. Dai Hai dong ca dong;
b. Hai dong quan tri;
c. Tang giam dac dieu hanh;
d. Ban Kim soat.

Dieu 27. Dui hoi ding co dong
1. D#i hoi thing co diing
gam tat ca cac ca Tong co quyen biau quyat, la ca quan uye't dinh cao nhAt cua cong ty .
2. Quyen va nhim vu ctia Dai hoi dong ca dong
❖ Thong qua dinh h&mg phat trian cua Cong ty;
❖ Quy6t dinh loci ca phan va tang s6 ca phan , du c quyen chao ban dm tong loci; quy6t
dinh mire c8 tirc hang nam
tirng loci co phan;
❖ BAu, mien nhiem bai nhi6m thanh vien HOi dong quan tri, thanh vien Ban Kim sok;
,

+ Quye't dinh d'au to hoac ban s6 tai san co gia tri bang hoac lan hon 50% tang gia tri tai san
dugc ghi trong bao cao tai chinh gan nhat cua cong ty;
❖ Quy6t dinh viec tang giam van dieu le; dm cong t ,
❖ Quyet dinh sira doi be, sung Dieu le cong ty, trir ang hop dieu chinh
von dieu le do ban
them co phan mai trong pham vi s6 luting co ph^ dugc quyen chao ban theo quy dinh tai

Dieu le nay;
,

❖ Thong qua bao cao tai chinh hang nam;
Dieu I t8 chirc va hoot Ong 2009
1R


❖ Xem xet va xir 15r cac vi pham ctia HOi dong
quan tri, Ban Kim soat gay thiet hai cho
ding ty va co Tong cua cong ty;

❖ Quyat dinh to chirc lai va giai the cong ty;
3. TriOu tap hop DO hai dOng co (long
3.1. Dai hOi dOng c0 dong hop thuang nien hoac bAt huong, it nhAt moi nam mot lAn, dia diem
hop Dai hOi dong co dong phai a teen lanh tho Viet N a . Cac kiem town vien dOc 14p
c6 the dugc
mai tham du dai hOi de to van cho viec thong qua cac b
'o cao tai chinh hang nam.
3.2. Dai hoi diing co Tong phai hop thuang nien trong tiled han toi da Id 4 thang , ka tit ngdy kat
that nam tai chinh. Dai hOi dong c8 dong thuang nien thao Juan va thong qua cac van de sau:
a. Bao cao tai chinh nam;
b. Bao cao cua HOi dong quan tri danh gia that tang c

ng tac quan157kinh doanh a cong ty;

c. Bao cao oh Ban kiam soat ve quanl$T cong ty cua H

i ding quan tri, TOng Giam d0c;

d. Mire co tirc d6i voi moi co phAn cua tong loci.
3.3. HOi d8ng quan tri phai trieu tap Dai hOi d8ng et) do g bAt thuang trong cac truOng hop sau:
a. HOi dong quan tri xet thAy can thiet vi lyi ich cua con ty;
b. Se; thdnh vien HOi ang quan tri con lai it hail so th' vien theo quy dinh cua phap luat;
c. Theo yeu cau cua c0 dong hoac nhom co &mg quy di tai khoan 1 Dieu 19 dm Dieu le nay;
d. Theo yeti cat' oh Ban Kim soat neu Ban kiam soat 6 1)' ,
do tin tuong rang cac thdnh vien HOi
&kg quan tri hoac can b0 quan VT cap cao vi pham ng iem trong cac nghia vu cua ho theo Dieu
119 Luat Doanh nghiep hoac HOi &Ong van tri hanh do g hoac coy dinh hanh dOng ngodi pham
vi quyan han cua minh;
3.4. HOi &trig quan tri phai trieu tap Dai hOi &mg co ong bAt thuang trong thai han ba muai
ngdy ka tir ngdy van de bAt thuang tren phat sinh.
a. Truang hop HOi d8rig quan tri khOng trieu tap hop
ai hOi d'ong co dong dung thai han quy
di/1h ten thi trong thai han ba muai ngay tiep theo, Ban iam soat phai thay the MI clang quan tri
trieu tap hop Dai hOi &mg co &Ong theo quy dinh Khoan Dieu 97 Lust Doanh nghiep.
b. Tnrang hop Ban kiam soat khong trieu tap hop Dai ho
ding c8 d8ng theo quy dinh tai Khoan a
neu tren thi trong thOi han ba pun ngdy tiep theo, c8 ong, nh6m co &Ong c6 yeu
cau yeu cau
trieu tap hop co quyen thay the HOi &mg quan tri, Ban 'am soat trieu tap hop Dai hOi dong co
Tong theo quy dinh Khoan 6 Dieu 97 Luat Doanh nghiep.
Trong truang hop nay, ct, (long hoac nhorn co dong trig tap hop Dai hOi fling co dong co the da
nghl Uy ban Chung khoan Nhd mac giam sat viec trig tap va tien hanh hop neu xet thay can
thiet.
TAt ca chi phi cho viec trieu tap va tin hanh hop Dai ho d0ng c8 &Ong se dugc cong ty hodn lai.
Diu

th ch0c va hoot Ong 2009

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Chi phi nay khong bao gom nhimg chi phi do c6 dong hi tieu khi tham du
. Dai hOi ding c6 dong,
ke ca chi phi an a va di lai.
4. Chtrcrng trinh va not dung hop Doi hOi doIng co d ng

4.1. I-16i ding quan tri se trieu tap Dai hOi ding c6 don
4.2. Ngtroi trieu tap Dai hOi ding c6 dong phai that hi n nhang nhiem vu sau day:
a. Chuan bi danh sach cac c6 &Ong du dieu kien tham
is va c6 quyen bieu guy& tai cu'ic hop Dai
hoi dong co dong trong yang 30 ngay tnrac ngay bat dau tien hanh hop Dai hii ding co &rig,
chuang trinh hop va cac tai lieu phit hop vai phap luat
cac quy dinh cua cong ty;
b. Xac dinh thoi gian va dia diem cuic hop; va
c. Thong bao cho tat ca cac c6 &mg ve cuic hop va gin thOng bao hop Dai hii ding c6 dong cho
cac co dong;
4.3. Thong bao hop Dai hOi ding c6 dong phai bao g m chucmg trinh hop va cac thong tin lien
quan ve cac van de se dugc thao Juan va bieu quyet tai ai hii. Truing hop c6 phieu cua Cong ty
da dirge giao dich tap trung tai Trung tam giao dich/So. iao dich cluing khoan, thong bao hop Dai
hot dong co (tong co the dugc gin den to chirc ltru ky , (long thai cong bo tren phtrang tien thong tin
dm Sa Giao dich Chimg khodn/ Trung tam Giao dich hUng khoan, tren website cua cong ty, 01
to bao trung ring hoc 01 to bao dia phuong nai eking y ding tru sa chinh. Doi vii cac c8 dong

chua that hien viec luu lqf co phieu, thong bao hop Dai hoi Tong co dong c6 the dugc gui cho co
dong bang each chuyen tan tay ho4c giri qua but dien ang phuang thirc bao dam tai dia chi da
Bang ky cua c6 &Ong, hoac tai dia chi do c8 dong do ung cap de phut vu viec gfri thong tin.
Truing hop co dong da thong bao cho C8ng ty bang v. ban ve so fax hoc dia chi um dien ter,
thong bao hop Dai hii thing c6 &mg co the dugc gui tai .o fax hoc dia chi thu dien ter do. Truing
hop co 'Jong la ngtx6.i lam viec trong C6ng ty, thong bail co the
Ong trong phong bi dan kin giri
tan tay ho tai nai lam viec. Thong bao hop Dai hii don co &mg phai dugc ph it nhat mtroi lam
ngay trait ngay hop Dai hOi citing co &rig. Thong bao 9p Dai hOi dong co &Ong phai dugc cong
1)6 tren website cua C8ng ty citing thai vii viec gfri thong bao cho cac c6 Tong.
4.4 Co dong hoac nhom c6 'Jong quy dinh tai Muc 1.2- hoan 1- Dieu 19 Dieu le nay co quyen de
xuat cac van de dua vao throng trinh hop Dai hii ding o dong. De xuAt phai dugc lam bang van
ban va phai dugc gui cho Cong ty it nhat [ba] ngay lam tec truck ngay khai mac Dai hOi &Ong co
&Ong.
xuat phai bao gom ho va ten c8 Tong, so ltrang va loai co phan ngtrai do nam giir, va nii
dung de nghi dua vao throng trinh hop.
4.5 Ngtroi trieu tap hop Dai hii ding c6 dong co qu en tit chi nhimg de xuat lien quan den
Khoan 4.4 Dieu nay trong cac truing hop sau:
a. De xuAt duos giri den khong dimg thoi han hoc khon

khong dung nii dung;

b. Vao thai diem a xuAt, c6 dong hoc nhom c6 dong khOng c6 dit it nit& 10% c6 ph'an phi thOng
trong thai gian lien tuc it nhat sau thong;
c. VAn
qua;

a a xuAt khong thuic pham vi tham quyen cua Dai hii ding c6 dong ban bac Ira thOng
/p
AUL_

Di6u

le 6 chirc va hog

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dOng209
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4.6 HOi ding quasi tri phai chuAn bi du thao nghi quye cho tong van de trong chuang trinh hop.
Truing hap tat ca c6 ding dai dien 100% s6 c6 phAn o quyen bieu guy& truc tiep tham du hoac
thong qua dai dien duac uy quyen tai Dai hOi ding co • Ong, nhitng quyet dinh duac Dai hOi ding
c6 clang nhat tri thong qua deu duac coi la hap le ke ca trong truing hop viec trieu tap Dai hOi
dung co (tong khong theo dung thin tuc hoac nOi dung b eu quyet kh6ng co trong chuang trinh.

5. Dieu kin tien hanh hop Doi Koi ding co 'long
5.1. CuOc hop Dai hOi dtmg , c6 dung duac tien hAnh kh c6 s6 c6 ding du. hop dai
dien it nhAt 65%
tong so co phan c6 quyen bieu quyet.
5.2. Truing hop cuOc hop lAn thin nhAt khong du dieu I ien tien hanh theo quy dinh tai khoan 5.1
Dieu nay thi duac trieu tap hop Ian thin hai trong thai an ba mum ngay, ke tit ngay du dinh hop
ran thin nhat. CuOc hop cua Dai hOi dung co ding trieu ap lan thin hai duac tien hanh khi co so co
ding du hop dai dien it nhat 51% tong so c6 phan c6 qu, en bieu quyet.
5.3. Truing hop cuOc hop trieu tap ran Mir hai khon
khoan 5.2 Dieu nay thi dirge trieu tap hop Ian thin ba tr
dinh hop Ian thin hai. Trong tithing hop nay, cuoc hop
khong phu thuOc vAo so co ding du hop -c/a ty le so co

du hop.

II

dil dieu kien tien hanh theo quy dinh tai
ng thai han hai mtrai ngay, ke tit ngay du
ila Dai hOi ,dong CO ding dugc tien hanh
han c6 quyen bieu quyet cua cac co ding

6. Cac dai dien dime uy quyen
6.1 Cac c6 ding co quyen tham du Dai hOi ding c6 do g theo lust phap co the truc tip tham du
hoac uy quyen cho dai dien cua minh tham du. Truing op co , nhieu han mot ngtroi dai dien theo
Ay quyen duac thi phai xac dinh cu the so co phan va so phieu bau cua moi ngueri dai diem
6.2 Viec uy quyen cho nguen dai dien du hop Dai hOi a ong CO thing phai lap thanh van ban theo
mau ciia cong ty va pith c6 chit 14r theo quy dinh sau da :
a. Truing hop c6 ding ca nhan IA nguai uy quyen thi hai c6 chit ky dm c6 ding do va nguOi
duac us, quyen du hop;
b. Truing hop nguoi dai dien theo uy quyen
c6 don la t6 chtc la ngueri us, quyen thi phai c6
chit k)'T
ngtroi dai dien theo uyquyen, ngueri dai dien heo phap lust dm co ding va ngueri duac
uy quyen du hop;
c. Trong truing hop khac thi phai co chit 14 cua ngtrey dai dien theo phap lust cua co
dung va
ngtreyi duac uy quyen du hop.
Ngtroi duac uy quyen du hop Dai hOi ding c6 ding p ai nip van ban uy quyen trtrac khi vao
phong hop.
6.3 Twang hap lust sit thay mat cho ngtreri uS , quyen k gidy chi dinh dai diem viec chi dinh dai
dien trong truing hop nay chi duac coi IA co hieu lint neu giay chi dinh dai dien do &roc xuat trinh
ding vii thu us, quyen cho lust six hoac ban sao h9p le ila thu uy quyen do (neu trixerc do china

dang kyi veri Cong ty).
6.4 Trir truing hop quy dinh tai khoan 6.3 neu tren, ph L bieu quy& cua ngueri duac uy quyen
du hop trong pham vi duac uy quyen van c6 hieu lint khi mOt trong cac truing hop sau day:
Ditu 1 t6 chirc Ara hog dOng 2009

43

,

21


- Nguoi uS, quyan da chit, bi han the nang luc hanh
i dan su hoac bi mat nang luc hanh vi dan
su;
- Nguai

us/ quyan da huS7 bO viac chi dinh uS, quyan;

- Ngtrai uST quyan da huST bo tham quyan cua ngoai th c hian viac uSi quyan.
Dieu khoan nay se khong dp dung trong truang hop ong ty nhOn dugc thong bao mOt trong
cac su kin tren bon muai tam gia truac gia khai mac uOc hop Dai hOi dong , dong hoac truac
khi cuOc hop dugc triau -CO lai.
.
7. The thtrc tien hanh hQp va bieu quyet tai 13 ■ Qi hOi ong coXdong

7.1 Vao ngay t8 chirc Dai hOi ang c8 dong, Cong ty hai, thuc hian
tuc clang
c8 (long va
phai thuc hian viac dong ky cho den khi cac co &Ong có uyen du hop co mat clang 1c3', het.

7.2 Khi tien hanh clang 14 c8 dong COng ty se cap cho irng c8 dong hoac dai din dugc uy quyan
có quyen Neu quyet mOt the bleu quyet, tren do co ghi so 'Tang ky h9 va ten dia co dong, 119 va
ten dai din dugc uST quyan va so phial bieu quyet cita c • &Ong do. Khi tien With bieu quyet tai dai
s'8 the Ung 11'8 nghi quyet dugc thu trtrae, so the ph doi nghi quyet duce thu sau, cuoi ding
dem tong so phieu tan thanh hay phan doi de quyet di
Tong so phieu img 110, phan dui tong van
de ho4c be) phieu trong, se, dugc Chu toa thong bao ng .
y sau khi lien hanh bieu quyet van de do.
Dai , hOi to chon trong so dai bieu flitting ngtrai chiu t
ach nhiam kiem phieu hoac giam sat kiem
phieu va neu dai hOi khong chon thi Chit toa se chon nh g nguai dO. S8 thanh vien dm ban kiem
phieu khong qua ba
,

,

7.3 Co &mg dan du Dai hOi d8ng c8 &Ong muOn có qu = n clang ky ngay va sau do co quyan tham
gia va bieu quyet ngay tai dai hOi. Chit toa khong CO trash nhiam dimg dai hoi de cho c8 dong den
muOn clang ky va hiau luc cua cac dgt bieu quyet da tie hanh truck khi co dong den muOn tham
du se khong bi anh huang.
7.4 Dai hOi dong c8 dong se do Chit tich HOi dong quan tri chti tri, , truang hop Chu tich HOi dong
quan tri yang mat thi Dal hOi (tong co dong se bau ra mit ngoai de chit tri. Truang h9p khOng ai
trong so ho co the chi' tri dai hOi, thanh vien HOi dong q Ian tri chirc vu cao nhat co mat se to chirc
hop de bau ra Chia toa cua Dai hOi citing co dong, Chi' tea khong nit& thiat ,phai la thanh vien HOi
dong quan tri. Chit tich hoOc Chit toa dugc Dai hOi don co (Ong bau rade cir mOt thu de lOp
bien ban dai hOi. TrWmg hgp bau Chit toa, ten Chit toa WC
cir va , phieu bau cho Chu toa
phai dugc cong bo.
7.5 Quyat dinh cua Chu toa ve trinh tu, thu tuc hoac cac su kin Oat sinh ngoai among trinh
cua

Dai hOi dong co &rig se mang tinh phan quyet cao nhat.
7.6 Chu toa Dai hOi citing co dong có the hoan hop dai Oi ngay ca trong twang hop da co du so
dai bieu can thiet den mOt thm diem khac va tai mOt dia iem do chit toa quyet , dinh ma khong can
lay 57 kien
dai hOi neu nhOn thay rang (a) cac thanh v en tham du khong the có cho ngoi thuOn
tien dia diem to chirc dai hOi, (b) hanh vi cua nht -mg n
có mat lam mat trot to hoac CO kha
nang lam mat trot to cua cuOc hop hoOc (c) su tri hoan a can thiet de cac cong viac cifa dai hOi
dugc tien hanh mOt each hop le. Ngoai ra, ChU toa dai of co the hoan dai hOi khi co su nhat tri
holac yeu cau cua Dai hOi &Ong co dong da co dit so lu. g dai bieu du hop can thiet. Thai gian
oan toi da khong qua ba ngay ke tir ngay du dinh khai m; c dai hOi. Dai hOi hop lai se chi xem xet
cac ding viac le ra da dugc giai quyet hop phap tai dai h0 bi tri hoan tnrac do
Diu i

to chirc va hoat dOng 2009

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7.7 Tnrang hop chu toa hodn hoac tam dirng Dai hei ong co dong trai voi quy dinh tai khoan 7.6
neu tren, Dai hOi Ong co dong bau met nguai khac tro g so nhfmgthanh vien tham du de thay the
chit toa diet' hanh cuec hop cho den luc ket thiic va hi u luc cac bieu quye't tai cuec hop do khong
bi anh huang.
7.8 Chili toa cua dai hei hoac Thu dai hei c6 the tOn hanh cac hog Ong ma ho thAy can thiet

de dieu khien Dai hOi Ong co Ong met cach hop le v c6 tat tu; hoac de dai hOi phan anh dugc
mong muon cua da so tham du.
7.9 Hei dong quan tri co the yeu c'au cac co Tong hod dai dien dugc us, quyen tham du Dai hoi
clang co (long chiu su kiem tra hoac cac bien phap
inh ma HOi dong quan tri cho la thich hop.
Truang hop co co Ong hoac dai dien dugc uY quyen kl ong chiu tuan thu nhiing quy dinh ye kiem
tra hoac cac bien phap an ninh not teen, HOi Ong qua n tri sau khi xem xet met cach can trong co
the tir choi hoac truc xuat co Ong hoac dai dien nOi tre tham gia Dai hOi.
7.10 HOi Ong quan tri, sau khi dd xem xet met cach can trong, c6 the lien hanh cac bien phap
dugcOi Ong quan tri cho la thich hop de:
- Dieu chinh s8 nguai co mat tai dia diem chinh hop Dai hei Ong co Ong;
- Bao dam an town cho moi nguai c6 mat tai dia diem d
- Tao dieu kien cho co Ong tham du (hoac tiep tuc th du) dai hei.
Hei Ong quan tri c6 toan quyenthay d6i nhung bien hap neu ten va dp dung
, tat ca cac bien
phap neu
(long quan tri thay can thiet. Cac bien pha Ai) dung có the la cap giay vao cira hoac
sir dung nhfing hinh thuc lua chon khac.
7.11 Trong truemg hop tai Dg hOi Ong ce Ong co dp d g cac bien phap not teen, HOi Ong quan
tri khi xac dinh dia diem dai hOi c6 the:
a. 'Thong bao rang dai hOi se dugc tien hanh tai dia di cm ghi trong
thong bao va chu toa dai hOi se
có mat tai da ("Dia diem chinh cua dai hOi")•

a

b. Be tri, to chile
nhung co Ong hoac dai dien dug• uy quyen khong du hop duct theo Dieu
khoan nay hod'c nhung nguai muon tham gia r dia die khac voi Dia diem chinh cua dai hei co
the Ong tiled tham du dai hei;

Thong bao ve viec to chtk dai hOi khong can neu chi tiet nhung bien phap to chuc theo Dieu
khoan nay.
7.12 Trong Dieu le nay (trir khi hoan canh yeu cAu khac) moi co thing se dugc coi la tham gia dai
hei a Dia diem chinh ctia dai hei.
8. Thong qua quyet dinh ciza Dai hOi clang ce cling

8.1. Trir e truong hop quy dinh tai Khoan 2 dm Dieu nay, ac guy& dinh cua Dg hOi Ong ce Ong
ye cac van de sau day se dugc thong qua khi co tir 65% t a len tong so phieu bau cua cac co Ong
co quyen bieu quyet c6 mat trkrc tiep hoac thong qua da dien dugc fly quyen co mat tai Dai hei
Ong co &Ong:
a. Thong qua bao cao tai chinh hang n'
Dieu le t6 chirc

va hoot Ong 2009

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23


b. Ke hoach phat trien ngan va dai han cua cong ty;
c. Barr, bai mien va thay the thanh vien HOi (Ring quan
tri va Ban kiem soat va phe chuAn viec HOi
dong quan tribe nhiem Giam dot hoac Tong giam doe reu hanh.
8.2. Cac quyet dinh cua Hai hOi (fang di don lien qu
co phial va so luting co phieu duoc chao ban, sap nhS
ban tai san Cong ty hoac chi nhanh hoac giao dich mua
gia tri tit 50% tra len tong gia tri tai san , cila Cong ty

sach ke ‘ toan da" duoc kiem town gan nhat se chi dug
phial bau cac co dong c6 quyen bieu quyet c6 mat t
quyen c6 mat tai Dai hei &mg co (long.

n den viec sita dei va be sung Dieu le, loci
, tai to chirc va giai the Cong ty, giao dich
do cong ty hoac cac chi nhanh thuc hien c6
a cac chi nhanh cua Cong ty tinh theo so
thong qua khi c6 tit 75% trey len tong so
c tiep hoac thong qua dai dien duoc uy

8.3. Cac not dung thong qua quy& dinh cua DHDCD eu tai Muc 8.1 va 8.2 neu tren c6 the duoc
thgc hien duai hinh thitc lay Y kien bang van ban theo trinh to va cac quy dinh tai Khoan 9 clued
day.
9. Thi'm quyen va the tht• lay 37 kien co Tong bang van ban de thong qua quyet dinh ctia
Dai hOi dOng co citing
Tham guyen va the thirc lAy y kien ce dong bang van
ban de thong qua guy& dinh cua Dai hei
dong co Tong duoc thuc hien theo quy dinh sau day:

9.1 HOi dong quan tri c6 quyen thy Y kien ce 4ong ban van ban de th6ng qua quyet dinh cira Dai
hei dong co &rig bAt eft luc nao neu xet thA'y can thiet v lgi ich cua cong ty;
9.2 HOi dong quan tri phai chuAn bi phi'eu thy y kien,d thao quyet dinh cira Dai hei dong ce dong
va cac tai lieu giai trinh du thao quyet dinh. Phieu l ay kien kern theo du thao quyet dinh va tai
lieu giai trinh phai duoc giti bang phuong thirc bao d' den duoc dia chi thrtOng tru cua timg co
dong;
9.3 Phieu lAy y kien phai c6 cac not dung chir yeti sau d
a. Ten, dia chi tru so chinh, se va ngay cap Gthy phdp heat Ong kinh doanh cua cong ty;
b. Muc dich lAy y kien;
c. Ho, ten, dia chi thrtong tru, ,quec tich, Gthy chitng

ca nhan hop phap kirk
co clang la ca nhan; ten, di
thanh lap hoac se Bang ky kinh doanh cua co dong hoac
chitc; so luting co phan
tong loci va so phieu bieu qu

inh nhan dan, HO chieu hoac chimg thus
chi thutmg tru , quoc tich, so , quyet dinh
dai dien theo uy quyen cila co dong la to
et dm co dong;

d. Van de can lAy y kien de thong qua guy& dinh;
e. Plutong an bieu guy& bao gem tan thanh, khong tan t anh va khong coy kien;
g. Thai Iran phai gu7 ye cong ty phieu lAy y kien da drat trey lai;
f. Ho, ten, chit ky cua Chir tich HOi dong quan tri va ngu

i dai dien theo phap lust dm cong ty;

9.4 Phieu lAy y kien da duoc trey lai phai c6 chit ky cu co dong la ca nhan, cua ngtrai dai dien
theo uy quyen hoac nguOi dai dien theo phap luSt cira ce Ong la to chitc)10
Dieu 10 t6 chtic va hog dong 2009


Phieu lay Sr kiEn giri ve cong ty phai ,
dugc dung trong phong bi dan kin va khong ai dugc quyen
truac khi kiem phieu. Cac phieu lay 51 kien giri ye cong ty sau thai hp da xac dinh tai nOi dung
phieu lay 3'r kien hok da bi mo deu khong hop le;
9.5 HOi ding van tri kiem phiEu NIA lap bien ban karn phiEu clued su chirns kiEn dm Ban kiEm
soat hoc cua CO ding khong nam gift chtrc vu quan ly cong ty. Bien ban kiem phieu phai c6 cac
nOi dung chit' yeu sau day:

a. Ten, dia chi tru so chinh, so va ngay cap Gidy chOng nhan dang ky kinh doanh, nen clang k$
b. Muc dich va cac van d'E can 1'4 y kiEn

a thong qua quyEt dinh;

c. S6 co ding vai tong si ,
phiEu biEu quyEt da tham gia biEu quyEt, trong do phan bit so phiEu
bieu quyet hop le va. so bieu quyet khong hop le, kern theo phu luc danh sach co ding tham gia
bieu quyEt;
d. Tang so phiEu tan thanh, khong tan thanh va khong

coy kiEn dii vii tirng van dE;

e. Cac quy6t dinh da dugc th6ng qua;
g. Ho, ten, chit 14/ cua Chu tich Hoi ding quan tri, ng
ctia ngtrai giam sat kiem phieu.

dai dien theo phap lust dm ding ty va

Cac thanh vien HOi ding quail tri va nguai giam sat kiEm phiEu phai lien dai chiu trach nhiem
tinh trung thuc,chinh xac cua bien ban kiem phieu; lien dai chiu trach nhiem ye cac thiet hai phat
sinh tir cac quyet dinh dugc thong qua do kiem phieu kh5ng trung thuc, khong chinh xac;

ve

9.6 Bien ban kEt qua , kiEm phiEu phai dugc

ke tir ngay ket fink kiem phieu;

dEn cac c6 ding trong died yong mtrai lam ngay,

9.7 PhiEu lay y kiEn da dugc tra loi, bien ban kiEm phiEu, toan van nghi quyet dugc thong qua
va tai lieu c6
quan giri kern theo phieu lay 3'7 kien eeu phai dugc luu gift tail try so chinh cua
cong ty;
QuyEt dinh dugc thong qua theo hinh thdc ,1dy
Tong bang van ban c6 gia tri nhu quyEt
dinh dugc thong qua tai cuoc hop Dai hOi don co &mg neu dugc so co Tong dai dien it nhat 75%
tong so phieu bieu quyet chap thuan.

10. Bien ban hop Doi hoi cling co clung
Nguai chir tri Dai‘
ding di d8ng chiu trach nhiem to chirc luu trtr cac bien ban Dai r hOi ding c6
dong va cho tat ca cac co dong trong yang 15 ngay khi Dai hOi d8ng codong
g ket thlic. Bien
ban Dai hOi clang co dong dugc coi la bang chting xac thirc ye nhang cong viec da dugc tien hanh
tai Dai hOi &mg co dong trir khi c6 3" , kien phan doi ye nOi dung bien ban dugc dtra ra theo thing
thd tuc quy dinh trong yang muai ngay ke tir khi giri bien ban. Bien ban phai dugc lap bang tieng
Viet, co chit lqr xac nh'Sn cita Chu toa dai hOi va Thu V, va dugc lap theo quy dinh cua Luat
Doanh nghiep va tai Dieu le nay. Cac ban ghi chop, bien ban, so chit 14 cua cac co Tong du hop va
van ban uSr quyen tham du phai dugc luu gift tai try soy chinh dm Cong
tY.

J°1

Dieu I t6 chirc va hog Ogg 2009
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,kinhdoa;