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~!.!¥ !::1'!=55!1'!\/! "~)(5086: 01/2018/"10-£)!-!"1£)1'
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SSlllHa Noi, ngay O&Mng 01 nem 2018
TO TRiNH E>ltU CHiNH GIA D!CH VI,) QUAN LY QUY,
SO'A E>OI,BO SUNG Ml,JCTIEU, CHltN LU'Q'C DAU TU'
VA MQT SO NQI DUNG KHAC T~I oiau L~ QUY ETF SSIAM VNX50
Kinh gl.Pi:D~i H{>iNha Dau TU'Quy ETF
Can cu Thong TU' 183/2011!TT-BTC ngay 16 thanq 12 narn 2011 hLI'&ngdan ve viec thanh l~p va
quan ly quy mo'
Can cu Thong TU' 15/2016/TT-BTC nqay 20 thang 01 narn 2016 cua 8¢ Tai Chinh s!Ya d6i, b6
sung mot s6 dieu cua Thong TU' s6 183/2011/TT-BTC nqay 16 thanq 12 narn 2011 hU'&ng dan ve
viec thanh lap va quan ly quy mo:
Can cu tlnh hinh thuc te,
Ly do:
Cong Ty TNHH Quan Ly Quy SSI (SSIAM) kinh trinh 8GiiHQiNha £>auTU'Quy ETF SSIAM VNX50 cac n¢i
dung sau:
1. Tang Gia Dich V1,1Quan Ly Quy tra cho Cong Ty Quan Ly Quy len 0,65%NAV/nam
Trong giai dean Quy rnoi thanh lap va mo phong chi s6 HNX30, quy mo cua quy con thap, dan t&ity 1$chi phi heat d¢ng cua Quy cao. Nham giam chi phi cho Quy & muc t6i da, va mang lai hi$uqua t6t hon cho nha dau tu, SSIAM da thu Gia Dich V1,1Quan Ly Quy & rnec 0,5% NAV/nam. E>ayla rnuc phi thap nhat so voi cac quy mo', quy ETF khac & Viet Nam, va kh6ng du bu d~p chi phivan hanh Quy cua SSIAM. Cac quy m& & Viet Nam hien co mire phf/gia dich v1,1quan ly trung binh1-2% NAV/nam, quy ETF co rnuc phi/gia dich v1,1quan ly trung binh 0,65% NAV/nam.
Hien nay Quy chuyen d6i chi s6 tham chieu sang chi s6 VNX50, chuyen sang niern yet va giaodich tai S& Giao Dich Chung Khoan Thanh Ph6 Ho Chi Minh, kh6i IU'qng giao cich cua Quy tanglen dang ke. Quy mo cua Quy dLI'Q'Cky vonq tiep tuc tang len trong thoi gian toi. Do d6, SSIAM dexuat tang Gia Dich V1,1Quan Ly Quy len rnuc trung binh so voi cac quy ETF khac tai Vi$t Nam debu d~p duoc chi phi van hanh Quy cua Cong Ty Quan Ly Quy.
8ieu 21, Khoan 2 E>ieuL$ Quy quy dinh Dai Hoi NM £>auTU' co quyen phe duvet viec tang mucgia dich v1,1tra cho Cong Ty Quan Ly Quy.
8ieu 24.6 Thong TU' 183/2011/TT-BTC hU'&ng dan ve viec thanh lap va quan ly quy mo quy dinhtang rnuc phi tra cho cong ty quan ly quy phai dU'c;rct6 chuc hop de lay y kien E>GiiH¢i Nha £>auTU'.
2. S!Yad6i, b6 sung rnuc tieu, chien luoc dau tu va mot s6 noi dung khac cua £>ieuL$ Quy
SSI ASSET MANAGEMENTWWW.SSl.COM.VN/ASSETMANAGEMENT.ASPX
STT
1.
Quy se ap d1,mg chien IU'Q'cdau tU'thu d¢ng v&i rnuc tieu IQ'i nhu(mbarn sat ty 1$IQ'inhuan cua Chi S6VNX50 va kh6ng ctus cl(mg Ivacbon c6 phieu cure tren cac nh;finclinh ve tinh hinh kinh te v7 mo,phan tfch nqenh va phen tfch congty.
Nqi dung dlf ki~n sua d6i Can cU> sU>a d6i/Ly dosU>a d6i
Nqi dung tal Di~u L~ hi~n tai
Di~u 8. M1,1ctieu aau tU'
M1,1ctieu dau tu cua Quy la hU'&ngt&i dat hieu qua dau tu barn satrnuc sinh 16'ithuc te cua Chi seVNX50 trong tat ca cac giai dean.
Cong Ty Quan Ly Quy c6 trectinhi?m clam bao mU'Csai !?ch sovoi Chi So Tham Chieu cue Quylien tuc trong ba (3) thang gan nh!itkh6ng vuot qua mU'Csai l?ch toiae theo quy clinh cue S& Giao DichCh&ng Khoen.
Di~u 8. M1,1ctieu dau tU'
M1,1ctieu dau tU' cua Quy lahU'&ng toi dat hieu qua dau tubarn sat rnuc sinh 16'ithuc te cuaChi S6 VNX50 trong tat ca cacgiai dean.
Cong Ty Quan Ly Quy e6 traehnhi$m dam bao mu1e sai 1$ehsov&i Chi So Tham Chieu eua Quylien t1,1etrong ba (3) thang gannhat khong vu1Q't qua mu'e sai1$ehtoi da theo quy djnh eua s&Giao Dieh Chu1na Khoan.
Theo quy djnh tai 8it§u10.3.a thi Chl'.fng ChiQuy ETF bi huy niernyet khi rnuc sai 1$chsov&i chi s6 tharn chieulien tuc trong ba (3)thang gan nhat VU'Q'tqua rnuc sai lech t6i datheo quy dinh cua S6'Giao Dich Chl'.fngKhoan. Do d6, kh6ngcan c6 quy dinh nay taiphan M1,1ctieu aau tu.
2.
Quy ap d1,1ngchien IU'Q'Cdau tu'thu d¢ng voi rnuc tieu IQ'i nhu$nbarn sat ty 1$ IQ'i nhu$n tangtrlY&ng cua Chi S6 VNX50 vakhong ehu d(>ng ll.,J'aeh<;>ne6phieu d1,11atren eae nh$n djnh vetinh hinh kinh te vi mo, phan tiehnganh va phan tieh eong ty. Qy_£
• , , ., , kh6nq chU clang tim kiem tangNguyen tac IU'achon co ph1eu clau t • h Ch' s" Th• Q -. · · rU'O'ng cao an 1 o amtir cua uy. Chieu, cDnq nhU' kh6ng s& dungCac c6 phieu nilm trong r6 Ch&ng cac bien phap ph6ng thu khi thiKhoen Ca Gau VNX50. trU'&ng ch&ng khoan bien clang
Cac c6 phieu kh6ng nilm trong ro Mt lai.Ch&ng Khoan Ca Gau VNX50 V&i viec clau tU' thu clang, Quv conhU'ng nilm trong danh muc ch&ng tM duv tri tV le v6ng quav danhknoen dv ph6ng cue Chi So muc thap han cac guv c6 chienVNX50. Danh muc ch&ng khoen /U'ac clau tU'chU clang, tCPcl6 qiamdi! ph6ng nay auoc S& Giao Diet: chi phi hoat clang cho Quy.Ch&ng Khoan Thanh Pho Ho ChiMinh cong bo clinh ky cling danh ' ···muc 50 ma chinh ttiuc c6 trongChi So VNX50 tc;iimoi ky xem xe!ainn ky chi so. Neu viec clau tir cacco phieu nam trong danh seen dl,fph6ng xay ra thi viec clau ur seauoc xem xet 11,l'achon theo ttur fl!tCPtren xuong duoi cle thay the chomot hot;ic mot so co phieu trongdanh sech thenn ph8n chinh tturc
E>i~u9. Chi~n IU'Q'Cdau tU'
1. Chien IU'Q'caau tu:
Di~u 9. Chi~n IU'Q'Cdau tU'
1. Chien IU'Q'caau tu:
s&a a6i chien IU'Q'caautu do chuyen nquyenttfic 11,fachon c6 phieuchuyen xu6ng 8ieu 11.Phuonq phap 11,fachondau tu, a6ng thoi s&alai each dung to, cOngnhu b6 sung n¢i dungtrong phan chien IU'Q'caau tu.
Nguyen ttfie l1,11aeh<;>ne6 phieud§u tU'cua Ouii:
a) Gae e6 phieu n&m trong r6Chu·ng Khoan ca GauVNXW.
b) Gae e6 phieu khong n&mtrong re Chu1ng Khoan CaCflu "r:>JX50 nhu1na nilm trona
2 ~
STT NQi dung tal Di~u L~ hi~n tal Nc?idung dlf ki~n sU>ad6i Can cw sU>adOi/Ly dosU>ad6i
cue Chi s6 VNX50.
Gia tri danh muc aau tir cue Quyth6ng thU'&ngkh6ng thap hon 95%gia tri danh muc ctumq khoantuonq (Fng cue chi s6 tham chleuVNX50. Tuy nhien, trong mot s6truoni; hop khi S& Giao dichCh(Fng Khoan Thanh Ph6 Ho ChiMinh (HOSE) c6 thay <Joiainn kyho(lc thay <Joi btit thU'&ng danhmuc chi s6 tham ctueu VNX50hot)c do sir bien a¢ng a¢t ng¢t cuetbi truonq dan toi ty I? tei sen aautir cue Quy vao danh muc ch(Fngkhoan c6 the bien a¢ng duoi 95%gia tri danh muc ctumi; khoantU'O'ng(Fng cue chi s6 tham cnieuVNX50. Khi c6 nhCmg bien a¢ngtren xay re, Quy se n6 tire t6i aeaieu chinh /f;Jity I? tel sen aau urcue Quy vao danh muc ch(Fngkhoen CO' cau Ve mire toi thieu95% gia tri danh muc ch(FngknosntU'O'ng(Fngcue Chi S6 Tham ChieuVNX50.
danh mvs ohCmg khoan dv·phong cua Chi S6 VNX50.Danh mvo oh~ng khoan dvphong nay OU'Q'CS& GiaoDich Chu·ng Khoan ThanhPh6 H6 Chi Minh song b6djnh ky sung danh mvo 50ma chinh thu·o c6 trong ChiS6 VNX50 tc;iimoi ky xem xetd!nh ky ohi s6. Neu vi$c dautu· cac 06 phieu n&m trongdanh sash dv phong xay rathi vi~c dau tU' se ou'Q'Gxemxet lv·a oh9n theo thi.Jiti! tli'tren xu6ng du•&i de thay thecho m¢t hot;lc m¢t s6 c6phieu trong danh sash thanhphan ohinh thu·o oua Chi S6VNXW.
Gia tr! danh mvc oau tu· oua Quythong thLYO>ngkh6ng thap hO'n95% gia tr! danh mvo ohu•ngkhoan tu101ngu•ngoua chi s6 thamchieu VNX50. Tuy nhien, trongm¢t s6 tru•Q>nghQ'p khi S& Giaodish Chu•ng Khoan Thanh Ph6 HoChi Minh (HOSE) 06 thay o6i djnhky hot;lc thay d6i bat thLY6'ngdanhmvc chi s6 tham ohieu WJX50hot;lc do sv• bien d¢ng d¢t ng¢tcua th! tru•Q>ngdan t&i ty I~ tai sandau tU' oua Quy vao danh mvochu•ng khoan 06 the bien d¢ngdu•&i 95% gia tr! danh mvc chU•ngkhoan tLY01ngUingoua chi s6 thamchieu V~JX50. Khi c6 nhO•ngbiend¢ng tren xay ra, Quy se no lv•ot6i da di~u chinh lc;iity I~ tai sandau tu• oua Quy vao danh mvoGhu•ngkhoan GO'oau 'J~ mU'Ct6ithieu 95% gia tr! danh mvs shu·ngkhoan tu101ng u•ng oua Chi S6Tham Chieu VNX50.
3. EJ~eu11. PhU'O'T1g phap 11,Pa chon I Di~u ~1. PhLI'<>'ng phap llfadau tU' chon dau tU'
Phu hot: voi chien IU'Q'Caau tir cueQuy, tuy vao tlrng ttioi aiem, CongTy Quan Ly Quy se tva chon epdl)ng phU'O'ng phtip aau tir moph6ng toen b9 ho(lc m¢t phan
(quy Qinhmoi toen bQ)
Cong Tv Quan LV Que se IU'aChon ap dung phU'O'ngphap <Jautll' mo ph6ng danh muc co phieu
8e giam tracking error,Quy ETF ap dvngph~ang ph3p mophonq toan b¢ danhrnuc c6 phieu cua Chis6 VNXSO, do 66, phanphuonq phap lua chon
3~
STT NQi dung t~i E>i~uL~ hi~n t~i NQi dung dl,I' ki~n st'.Pa dOi
VNX50.
Can ctJi st'.Pa dOi/Ly dost'.Pa dOi
d~u tLI' dU'Q'CsU>a lai.
Cac co phieu nam tranq roCh&ng Khoan Ca CauVNX50.~o phieu kh6nq namtranq ro Ch&nq Khoan CaCau VNX50 unuuu nam tranqdanh muc ch&nq khoan dlfph6nq cua Chi So VNX50.Danh muc chtmg khoan dlfph6nq nay cflfO'c S& GiaoDich Ch&ng Khoan Thanhph6 Ho Chf Minh conq boainh kV cunq danh muc 50ma chfnh th(Fc c6 tranq ChiSo VNX50 tai moi kV xem xetainh kV chi s6. Neu viec aautlf cac co phieu nam tranqdanh sach dlf ph6nq xay rathi viec aau tlf se cflfO'cxemxet IU'a chon theo th& tlf tll'tren xuonq dooi ae thay thecha mot hoac mot so cophieu tranq danh sach thanhphan chfnh th(Fc cua Chi soVNX50.
c) Gia tri danh muc aau tlf cuaQue th6nq thoonq khonq thaphan 95% gia tri danh mucch&nq khoan tlfO'ng &nq cuachi so tham chieu VNX50.Tuy nhien. tranq mot sotroonq hap khi S& Giao dichCh&nq Khoan Thanh Pho HoChf Minh (HSX) c6 thay cfoiainh ky hoac thay aoi Mtthlf&nq danh muc chi so thamchieu VNX50 hoac do slf bienaonq aot nqot cua thi troonq
Trang phU'O'ngphap nay, Ouy se dan t&i tv te tai san aau tlfaau tir vao m¢t so h.1vngnhat cfinh cua Quy vao danh muccac co phieu trang ro VNX50, hot;ic ch&nq khoan co the bienty tronq t&ng ma se c6 thay cfoi s~ cfonq dooi 95% gia tri danhvoi ty iroru: tll'ng ma trong Chi So muc ch&ng khoan tlfO'ng &nqTham Cnieu, va co the cfau itr vao cua chi so tham chieumot so co phieu kh6ng nam trang VNX50. Khi c6 nhCmq bienro VNX50 nhlfng nam trang danh cfonq tren xay ra. Quy se no
L_~_J_~m:µ~c_c~h~(F~n~g~kh~o~a~n~d~l,J'~P-h_o_n~g~cu_'a__l~~'U'C~t~o~i~d~a~Gi~ie~·u~ch=i=n=h=ta='=·t=y=l=e_j_~~~~~~~~44~
danh muc co phieu VNX50 aegiam thieu mire sai lech so voi ChiSo Tham Chieu. Ntur vay, Quy seairoc otieo aau ur vao cec cophieu trang danh muc VNX50, voi I )ty troru; tll'ng ma tuoru; (Fng hot;ic athay aoi so voi ty tr9ng t&ng matrang Chi So Tham Ctueu va mot bso co phieu kh6ng nam trang danh I )muc VNX50 ntumq nam trangdanh muc ch&ng khoen di,!'ph6ngcue Chi So VNX50.
1. Phuoni; phap aau tir moph6ng toen b¢
£Joivoi phlfO'ng phap nay, Quyse aau tir vao toen b¢ hot;icgan ntnr toen b¢ vao cac cophieu nam trong ro co phieuVNX50 theo cfung ty trotu; cuecac co phieu trong ro VNX50.Khi Chi So Tham Chieu co SI,!'thay aoi t<;iicac ky xem xetainh ky hose bat thuoni; thtQuy se cfieu chlnn Danh MµcEJauTU',ty tr9ng cac ma tlfang&ng voi SI,!'thay cfoi cue Chi SoTham Chieu.
2. PhlfO'ng phap cfau tir moph6ng m¢t phan
Trang troong hQ'pcac Ngooi EJieuHanh Quy nhen ainh phU'O'ngphepaau ur mo ph6ng teen b¢ neu trenkhong phai la phU'O'ngotieo aau tirhieu qua nh.3t cfe cf<;itOU'Q'Cty le IQ'inhu~n cue chi so hot;ic do cac biencf¢ng trang cac ky xem xet Chi SoTham Chieu thoong le hot;ic caccfQ'txem xet Mt thoong, pturoru;phep aau tir mo ph6ng m¢t phanc6 the cfU'Q'Csif dµng.
Khi IU'achon co phieu. Quy se ap
c
r,_,,
~tJL'
'.· ...=
STT Nc?i dung tal E>i~u L~ hi~n t~i NQi dung dlf ki~n sU>aa6i Can cw sU>aa6i/Ly dosU>aa6i
Chi So VNXSO. tai san aau tlf cua Que vaodanh muc chl.fng khoan cacau ve ml.fc toi thieu 95% giatri danh muc chl.fng khoantU'O'ngl.fng cua Chi So ThamChieu VNXSO.
4. E>i~u 16. Giao djch hoan a6iDanh M1;1c ChUing Khoan CO'Cau lay Lo ChUing Chi Quy ETFva ngU'c:;>'Cl~i
1. Viec hoan d6i Danh M1,1c11.Chting Khoan CO'Cau lay cacL6 Chting Chi Quy ETF apd1,1ngcho Nha Dau TU', ThanhVien l.ap Quy thuc hien theonquyen tac sau:
c) Tan suat giao dich hoan d6i:(i) Giao dich hoan d6i dU'Q'Cthvc
hien 01 (m¢t) Ian 01 (m¢t)tuen, vao cac ngay ttur TLPhang tuen ("Ngay Giao DichHean D6i").
E>i~u 16. Giao djch hoan a6iDanh M1;1cChUing Khoan CO'Cau lay Lo ChUing Chi Quy ETFva ngU'c:;>'Clal
Vi$c hoan d6i Danh M1,1cChling Khoan CO' cau laycac L6 Chting Chi Quy ETFap dunq cho Nha Dau TU',Thanh Vien l.ap Quy thuchien theo nquyen tac sau:
c) Tan suat giao dich hoan d6i:
(i) Giao dich hoan d6i dU'Q'Cthuchien 01 (mot) Ian 01 (mot)tuan, vao cac ngay tht:YTu·hang tuan hang ngav ("NgayGiao Dich Hean D6i").
SiYa d6i do tan suatgiao dich da dU'Q'Ctanglen hang nqay.
-r.-r:HII
5. E>i~u 16. Giao djch hoan a6i E>i~u 16. Giao dich hoan a6iDanh M1;1c ChUing Khoan CO' Danh M1;1cChUing Khoan CO'Cau lay Lo ChUing Chi Quy ETF Cau lay Lo ChUing Chi Quy ETFva ngU'c:;>'Cl~i va ngU'gc l~i
3. Danh M1,1cChunq Khoan CO'Cau la phuonq tien thanh toan chuyeu trong giao dich hoan d6i giCl'aQuy va Thanh Vien L$p Quy, NhaDau TU'trCFtrU'ong hop:
3. Danh M1,1cChling Khoan CO'Cau la phuonq ti$n thanh toanchu yeu trong giao dich hoan d6igiCl'aQuy va Thanh Vien l.apQuy, Nha Dau TU'tnr tmong hop:
c) TrU'ong hop trong Danh M1,1c c) TrU'ong hop trong Danh M1,1cChling Khoan CO' Cau c6 nhCl'ng Chting Khoan CO'Cau c6 nhCl'ngma Chting Khoan ca Cau ma ma Chunq Khoan CO' Cau maThanh Vien L$p Quy/Nha Dau TU' Thanh Vien Lap Quy/NM Dau TU'bi han che dau tu, hoac Thanh bi han che dau tu, hoac ThanhVien L$p Quy/Nha Dau TU' chua Vien L$p Quy/Nha 8au TU' chuathuc hien thu tuc giao dich c6 thuc hien thu tuc giao djch c6phieu quy theo quy djnh cua phap phieu quy theo quy dinh cua phapluat lien quan, Thanh Vien l.ap luat lien quan, hoac Nha Dau TLPQuy/Nha Bau TU' dU'Q'Cthanh toan nwc ngoai kh6ng the mua
86 sung trU'ong hopNha Dau TU' nuocnqoai kh6ng the muaChting Khoan CO' Caudo cac chunq khoannay da dat ty 1$so hCl'unuoc nqoai t6i da.
5r
STT
6.
5. Truonq hop Quy ETF tiep nhancac Lo Chting Chi Quy cua ThanhVien L$p Quy, NM Bau TU' vahoan tra Danh M1,1cChting KhoanCa Cau cho Thanh Vien Lap Quy,NM Bau TU', dan tot ty 1$so hCl'ud6i voi Chting Khoan Co CauVU'Q'tqua han muc t6i da theo quydinh cua phap luat hoac dan t6'iThanh Vien L~p Quy, Nha Bau TU'd6 so hCl'utren 25% s6 co phieudang IU'u hanh cua mot to chuc,hoac Thanh Vien Lap Quy, NMBau TU' so huu co phieu phathanh boi chinh Thanh Vien t.apQuy, NM Bau TU' d6 thi TrungTam LU'u Ky Chung Khoan cotrach nhiern thong bao cho CongTy Quan Ly Quy va yeu cau CongTy Quan Ly Quy, Thanh Vien LapQuy ETF, Nha Dau Tll'thl,YChien:
Nqi dung dlf ki~n sU>ad6i Can cw sU>adoi/Ly dosua doi
Nqi dung tal Eliflu L~ hi~n tal
bo sung b~ng tien vao tat khoancua Quy va ngLI'Q'Ctai, dU'Q'Cquydinh chi tiet trong Ban Cao Bach.
Ch&nq Khoan Ca Gau do cacch&ng khoan nay aa aat tv le s&hffu nU'&c nqoai t6i cfa, ThanhVien l.ap Quy/Nha £)au TU' dU'Q'Cthanh toan bo sung b~ng tien vaotai khoan cua Quy va ngU'Q'Clai,dU'Q'Cquy djnh chi tiet trong BanCao Bach.
Eliflu 16. Giao djch hoan doi Eliflu 16. Giao djch hoan doiDanh Mi.Jc ChlJing Khoan CO' Danh Mi.Jc Chwng Khoan CO'Cau lay Lo ChlJing Chi Quy ETF Cau lay Lo ChlJing Chi Quy ETF
5. TrU'ong hop Quy ETF tiepnhan cac Lo Chting Chi Quy cuaThanh Vien Lap Quy, Nha BauTU' va hoan tra Danh M1,1cChtingKhoan Co Cau cho Thanh VienL~p Quy, NM Bau TU', dan toi ty1$ so hCl'ud6i voi Chting KhoanCa Cau VU'Q'tqua han rmrc t6i datheo quy dinh cua phap luat hoacdan t&i Thanh Vien L$p Quy, NMBau TU' d6 so hCl'utren 25% s6co phieu dang IU'Uhanh cua motto chuc, hoac Thanh Vien l.apQuy, NM Bau TU' so hCl'u cophieu phat hanh boi chinh ThanhVien l.ap Quy, Nha Bau TU' do thiTrung Tam Lu•uKy Chu•ng KhoanThanh Vien Lap QuW Nha DauTU'c6 trach nhiern thong bao choCong Ty Quan Ly Quy va yeu cauCong Ty Quan Ly Quy, ThanhVien t.ap Quy ETF NM €)au Tu•thuc hien:
Trung Tam LU'u KyChting Khoan khongth~ thong bao cactwang hop Thanh VienL$p Quy, NM Bau TU'khi tiep nhan ChtingKhoan ca cau dan denVU'Q'tqua han rnuc t6ida hoac so hCl'u tren25% s6 co phieu dangIU'u hanh hoac so hCl'uchinh co phieu cuaminh, do do, can sualc;iiquy dinh nay.
7. Eliflu 30. Cuqc hop Ban El~i Di~n I Eliflu 30. Cuqc hop Ban El~iQuy Di~n Quy
7. Trong thoi han muoi lam (15) 7. Trong th&i han mU'&i lam (15)nqay, k~ hi ngay Ban Dai Dien nqay, k~ tLPnqay Ban Dai Di$nQuy quyet dinh cac van de quy Quy quyet dinh cac van de quydinh tai Khoan 9 £Jieu27, Ban Bc;ii dinh tai Khoan 2. 3, 4, 5, 6 £JieuDi$n Quy, thong qua Cong Ty 2..1..,. Ban Bc;iiDien Quy, thong quaQuan Ly Quy, phai gU>iUy Ban Cong Ty Quan Ly Quy, phal gU>i
sU>a doi ph~n danchieu den cac van dema Ban Bc;ii Di$n Quykhi duoc uy quyen phaigU>ibao cao theo dungquy dinh tai Bieu 28.6Thong TU'183/2011/TT-BTC.
6
STT
8.
1. Gia Dich Vl,IQuan Ly Quy 11.a) Gia Dich Vl,J Quan Ly Quy a)
dU'Q'Ctra cho Cong Ty Quan LyQuy de thvc hien dich vu quanly quy ETF SSIAM HNX30. GiaDich Vl,J Quan Ly dU'Q'Ctinhtren ty 1$ ph~n tram tren NAVcua Quy.
b) Gia Dich Vl,JQuan Ly Quy ETFss1AM vnxso 1a o,5% I b)NAV!nam, t6i thieu ta30.000.000 VND!thang.
Truonq hop tang Gia Dich Vl,IQuan Ly Quy tren rnuc0,5% *NAv/nem phai dU'Q'CDai H¢iNha £>~uTU'thong qua.TrU'6'ng hop dieu chinh Gia DichVl,I Quan Ly Quy (tang, giam)khong qua rnuc 0,5% *NAVlnam doCong Ty Quan Ly Quy quyet d!nh.Trong trU'6'ng hop nay, Cong TyQuan Ly Quy se thong bao rnucgia dich Vl,Jrnoi vot Ban Dai Di$nQuy va Ngan Hang Giarn Sat,dong thoi cap nhat trong Ban CaoBach cua Quy va cong bo thong tintheo quy djnh cua phap luat.c) so tien gia dich vu tra hang
thanq la tong so tien gia dichVl,JdU'Q'Ctinh (trich lap) chocac ky dinh gia thuc hien trongthanq.
d) Cong thuc tinh _Gia Dich Vl,J I c)Quan Ly vao moi ky dinh giadU'Q'Cxac dinh nhu sau:
• Gia Dich Vl,JQuan Ly choky dinh gia = s6 ton hongicm [Gia Dien v1,1 t6i thieu I d)hang th8ng*s6 ngay theo
NQi dung dlf kiiln s!Pa d6i Can ctJi s!Pa d6i/Ly dos!Pa d6i
N(>idung tai E>i~uL~ hi~n tai
Oy Ban Chunq Khoan Nha NU'&c,Ngan Hang Giarn Sat bien banhop va nqh] quyet cua Ban £>c;iiDi¢n Quy, dong th6'i cung capthong tin ve n¢i dung quyet dinhcho Nha £>~u TU' theo phuonqthuc quy dinh tal £>ieuL¢ Quy.
E>i~u58. cae toal chi phi va gia I E>i~u58. cse loal chi phi va giadjch vu do Quy tra dlch vt,i do Quy tra
Chling Khoan Nha NU'&c, NganHang Giarn Sat bien ban hop vanqh] quyet cua Ban £>c;iiDi$n Quy,dong thoi cung cap thong tin venoi dung quyet dinh cho Nha £>~uTU' theo phU'ang thuc quy djnh tai£>ieuL$ Quy.
Gia Djch Vl,IQuan Ly QuyGia Dich Vl,I Quan Ly QuydU'Q'C tra cho Cong TyQuan Ly Quy de thuc hi$ndich Vl,I quan ly quy ETFSSIAM VNX50. Gia DichVl,JQuan Ly dLI'Q'Ctinh trenty 1$ phan tram tren NAVcua Quy.Gia djch vu Quan Ly QuyETF SSIAM VNX50 la0,65% NAV!nam.Truonq hop tang Gia DichVl,JQuan Ly Quy tren rnuco.65%*NAVinam phatdU'Q'C£>c;iiH¢i Nha £>~uTU'thong qua.Truonq hop dieu chinh GiaDich Vl,I Quan Ly Quy(tang, giam) khonq quamuc 0,65%*NAVlnam doCong Ty Quan Ly Quyquyet dinh. Trong trU'6'nghop nay, Cong Ty Quan LyQuy se th6ng bao rnuc giadich Vl,Jrnoi voi Ban DaiDi$n Quy va Ngan HangGiam Sat. dong thoi capnhat trong Ban Cao Bachcua Quy va cong bo th6ngtin theo quy dinh cua phapluat.so tien gia dich vl,Jtra hangthanq la t6ng so tien giadich Vl,JdU'Q'Ctinh (trich lap)cho cac ky dinh gia thuchi$n trong thanq.Cong thuc tfnh Gia Dich Vl,JQuan Ly vao m6i ky d!nhgia dU'Q'Cxac djnh nhu sau:
£>i~uchinh Gia Dich Vl,JQuan Ly Quy tang len0,65%NAV/nam nhucac quy ETF noi diakhac.
7 ~
STT Nc)i dung t~i E>iAu L~ hi~n t~i Nc)i dung dlf ki~n st'.Pa dOi Can ell' st'.Pa dOi/Ly dost'.Pa dOi
tict: thuc t~ cue chu ky Gia Dich v» Quan Ly cho ky dinhainh gial so ngay trong gia = ty 1$Gia Dich Vl) Quan LythangJ va [TY le Gia Dich Quy tinh theo narn dang dU'Q'CapVu Quan Ly Quy tinh theo dl)ng trong ky tinh Gia Djch Vu xnam dang dU'Q'Cap dl)ng NAV tai ngay dinh gia x s6 ngaytrong ky tinh phi x NAV tai theo ljch tturc te CUaChu ky dlnhnqay dinh gia x s6 nqay gia t s6 ngay thl,J'ct~ cua narntheo lich thuc te CUaChu (365 hoac 366).ky dinh gia I s6 nqay thucte cua narn (365 hoac366)].
TONG GIAM DOC
$e ~hl $ti ~1?
8
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