MORGAN STANLEY I Gateway Securities CONG HOA xA HOI CHU NGHIA VIET NAM Doc lap - Tu do - Hanh phuc CONG TY CO PHAN CHUNG KHOAN MORGAN ST AN LEY HU'ONG VIET S6: ..... ...... .... ... ... . Ha N(Ji, Ngay 04 thang OJ nom 2017 BAo cAo TINH HiNH QUAN TRJ CONG TV (Thang 0 1 thang 12 nam 2.0 16) Kinh gU'i: - Uy ban Ch(rng khoan Nha nU'o'c So' Giao djch Chu'ng khoan Ha NQi So' Giao djch Chu'ng khoan TP H6 Chi Minh - Ten cong ty: Cong ty CB ph§n Chu'ng khoan Morgan Stanley HU'o'ng ("Cong ty") - Dia chi tn,1 so' ehinh: S6 8, Quang, Hai Ba Trung, Ha NOi - 04 3 942 9774 Fax: 04 3 942 9776 Email: [email protected]- V6n 300.000.000.000 VND - Ma: ehu'ng khoan co): T. dQng clla HQi dAng quan trj (Bao eao n3m 2016): 2. dong giam sat eua HDQT d6i v6i T6ng Giam d6c: Hoi d6ng Qmln tri co nhung dong giam sat d6i v6i T6ng Giam d6e eua Cong ty, thong qua cae euoc h9P Hoi d6ng Quan tri, cae Bao eao dong cong ty hang thang va bao cao toan noi bo (hang qU) I). 3. dong cua cac ban thuoc HOi d6ng qual1 tri: nay HOi d6ng Quan tri cua Cong ty khong co cac ban.
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MORGAN STANLEY IGateway Securities CONG HOA xA HOI CHU NGHIA VIET NAM Doc lap - Tu do - Hanh phucCONG TY CO PHAN
CHUNG KHOAN MORGAN STANLEY HU'ONG VIET
S6: ..... <1.~...... .... ... ... . Ha N(Ji, Ngay 04 thang OJ nom 2017
BAo cAo TINH HiNH QUAN TRJ CONG TV (Thang 0 1 d~n thang 12 nam 2.0 16)
Kinh gU'i: - Uy ban Ch(rng khoan Nha nU'o'c So' Giao djch Chu'ng khoan Ha NQi So' Giao djch Chu'ng khoan TP H6 Chi Minh
- Ten cong ty: Cong ty CB ph§n Chu'ng khoan Morgan Stanley HU'o'ng Vi~t ("Cong ty") - Dia chi tn,1 so' ehinh: S6 8, Thi~n Quang, Hai Ba Trung, Ha NOi - Di~n tho~i: 04 3 942 9774 Fax: 04 3 942 9776 Email: [email protected] - V6n di~u l~: 300.000.000.000 VND - Ma: ehu'ng khoan (n~u co):
T. Ho~t dQng clla HQi dAng quan trj (Bao eao n3m 2016):
- ~
2. Ho~t dong giam sat eua HDQT d6i v6i T6ng Giam d6c: Hoi d6ng Qmln tri co nhung ho~t dong giam sat d6i v6i T6ng Giam d6e eua Cong ty, thong qua cae euoc h9P Hoi d6ng Quan tri, nh~n cae Bao eao ho~t dong cong ty hang thang va bao cao Ki~m toan noi bo (hang qU)I).
3. Ho~t dong cua cac ti~u ban thuoc HOi d6ng qual1 tri: Hi~11 nay HOi d6ng Quan tri cua Cong ty khong co cac ti~u ban.
II. Cac Nghi quy~t/Quy~t dinh cua HQi dang quan tri (Bao eao nam 2016):
Stt So Nghi quyet/Quy~t dinh Ngay Noi dung 1 86-01IBB-HDQT 24/03 /2016 - Ra soM cae van oe eon ton 09ng ttl' cae eUQe h9P
HBQT tru&e - Xem xet "Cae bao eao ella HDQT v~ tinh hinh
kinh doanh, quan ly va ho~t oQng" - Xem xet Bao eao Titi ehinh nam va Bao eao
Thuang nien nam 2015 - Xem xet Bao eao eua T6ng Giam obe - C~P nh~t v~ tinh tr~ng eua dlJ an Victory
2 88-01lBB-HDQT 08/06/2016 - Nghi quyet eua HDQT thong qua vi~e oong hai tai khoan ngan hang eua MSGS, sb 002536340-001 va sb 002-536340-10 1 t~i HSBC
3 89-01 IBB-HDQT 26/07 /2016 - Xem xet cae van de ton d9ng tll' cae eUQe h9P HDQT thang 03 nam 2016
- Thong qua bao eao Tai ehinh nU'a d~u nam 2016 eua Cong ty
i - Ra soM qua trlnh oong tai khoan - C~p nh~t tinh hinh dl)' an Victory
I _ Thao lu~n v~ vi~e thue van phong 4 90-01lBB-HDQT 09/ 12/2016 - Xem xet eae van de ton 09ng tu eUQe h9P HDQT
thang 07 nam 2016 - Danh gia ho~t oQng eubi nam - ThilO lu~n mtl'C thucmg eho nhan vien - C~P nh~t v~ tinh tr~ng eua giao dieh Vietory
III. Thay dBi danh sach v~ nglf()'i co lien quan cua cong ty d~i chung theo quy dinh t~i khoan 34 f)i~u 6 Lu~t Chung khoan (Bao eao nam 2016): Khong co thay 06i
SIT Ten to chlrc/ca nhan
I I
Hi khoan giao dich
chtrng khoan (n~u
co)
ChtfC VI)
t?i cong ty (n~u co)
S6 CMNOI DKKO
N&fty cap
CMNOI DKKO
Nui cap CMNOI DKKO
Dia chi
Tho'i diem b~t d§u 1ft nguo'i co lien quan
Tho-i diem khong con 1ft nguo'i co lien quan
Ly do
IV. Giao dich cua cd dong nQi bQ va ngu'oi lien quan (Bao cao nam 2016):
I. Danh sach e6 dong nQi bQ va nguo'i co lien quan:
Stt Ten t6 ehue/eel
nhiin
Hi khoiin giao dieh
ehlrng khoeln (n~u
ChLl'e VI)
t~i e6ng ty (n~u
co)
s6 CMND/ DKKD
Ngay dp CMND/ DKKD
NO'i dp Dia chi CMND/ DKKD
- - --
S6 e6 phieu s6 hUu eu6i
ky
Ty l ~ s6 huu
co phi~u
eu6i ky
Ghi ehu
2
co) 1 Morgan
Stanley (Singapore) Holdings Pte. Ltd
Nguoi d?i di~n la cac ong: - 6ng Ong Whatt Soon Ronald, va - 6ng James Bidlake
- Chu tich HDQT
-Thanh vien HDQT
Gi~y dang k)1 kinh doanh s6 199900625D
- HQ chi~u s6: E1363243H
- H(l chi~u s6 50 I0535
Cap ngay 05 thang 02 nam 1999
- cap ngay 20 thang 08 nam 2009 - C~p ngay 14 thang 1 1 nam 2011
Singapore
- Singapore
- Vuang qu6c Anh
One Marina Boulevard
# 28-00, Singapore 018989
-IIOJalan Pari Burong, Picardy Garden, Singapore 448750 - 17B Monmouth
14.700.000 c6 phi~u
49%
.
2
~ 0)/ "
~
CTTNHH Thanh Ba
rf. (if,
v ' C
CHU ~,~~'eri d?i
; r' 7: , en hung
- Thanh vien HDQT
Giay chung nh~n Dang ky kinh doanh s6 4102031522
- CMT s6: 011645664
Cap ngay 07 /07/2005
- C~p ngay 10 thang 01 nam 2002
So' Ke ho?ch va D§u tu TP. H6 Chi Minh
Ha NQi
Villa, Monmouth Terrace, Wanchai, Hong Kong
318 Ap Go Cong, Nguy~n Xi~n , Phu'erng Long TIWnh My, Qu~n 9, TpHCM
S6 nha 39 Ngo 2 PhU011g Mai , qu~n D6ng Da, Ha NQi
9,300.000 c6 phi€u
31%
3 Ba TO Minh Huo'ng
Thanh vien HDQT
CMTso: 011701660
Cap ngay 25 thang 12 nam 2012
Ha NQi So nha 201, D3 Trung TIl, phuerng Trung TIl, qu~n D6ng Da, Ha NQi
6.000.000 c6 phi~u
20%
2. Giao djch co phieu: Khong c6
Stt Ngu'iri th\fc Quan h~ vo; co So co phieu so' sa co phieu so' Ly do tang, giam (mua, ban, hi~n giao
dich -
dong nQi bQ hu'u d~u ky hu'u cu6i ky chuy~n dBi, thU'o·ng ... ) So ~o I Ty I~ phieu
So ~o I T)119 phieu
3. Cac giao djch khac (cac giao djch clla c6 dong nQi bQI c6 dong l6'n va nguai lien quan v6'i chinh Cong ty) (Bao cao nam 2016): Khong c6
v. Cac vfin d~ c~n luu y khac (Bao cao nam 2016): Khong c6