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NGAN HANG TMCP CONG HOA XA HO! CHU NGHIA VII' NAM KIEN LONG Dc 14p — Ti' do —14nh phtic

S6: 4.94 /NHKL Rach Gith, ngay 09 thang 04 mini 2019

CONG BO THONG TIN TREN CONG THONG TIN DIN TI CUA UY BAN CHUNG KHOAN NHA Mick

Kinh girl: - ty ban Chñng khoin Nha ntrOt, - So. Giao dich Cluing khoan Ha NW,

Cong ty: Ngan hang TMCP Kien Long

Try ser chinh: Se 40-42-44 Dtrang Pham Heng Thai, phuong Vinh Thanh Van, Tp. Rach Gia, tinh Kien Giang.

Di'en thoai: 0297 3869 950

Fax: 0297 3877 538

Ngtreii thuc hien cong be thong tin: TRAN TUAN ANH

Dia chi: D35 KDC Nam Long, phi/Ong Phu Thuan, quan 07, Tp. He Chi Minh.

Dien thoai: Di Ong 0908 38 1988; Ca quan: 0297 3869 950

Fax: 0297 3877 538

Loai thong tin cong be: U 24h 0 72h 0 Yeu cau N Bat thuong 0 Dinh ky

(c6ng ty denh dau X vao muc can cong be)

Nei dung thong tin cong

1. Tai lieu hop Dai hi deng c. clang thuong nien nam 2019 (Dinh kern Tai lieu hop).

2. Bao cao thithng nien nam 2018 (Dinh kern Bao cao).

Th6ng tin nay dã duvc ding be tren trang thong tin din tir cüa Ngan hang TMCP Kien Long vao ngdy 09 /4/2019 tai dtrong dan https://kienlongbank.com/nha-dau-tu/thong-bao/cong-bo-thong-tin/cong-bo-thong-tin.

Chung toi xin cam ket thong tin cong b tren day la dung sir that va hoan toan chiu trach nhiem truov phap luat ve nei dung cac thong tin da ding Kim,

nhem: - Nhtr tren; - Ltru P. HC-QT.

THUCINGMAIC

0001977e

NGAN NANO •

CIS POW-II

; KleN LONG

CHUtiNG TRiNH HQP flI Ea BONG CO BONG THONG NIEN NAM 2019 NGAN HANG TMCP MEN LONG (NO)/ 12/4/2019)

NQI DUNG CHISONG TRiNH PHI; TRACH STT

I THU TUC KHAI MAC

I

2

CO thing lam tha tvc danglq hop, Nhan phiau bieu quyet. Ban kiam tra tu

cach ce (long

Tuyen be ly do, giesi thieu thanh phan tham clvh9p. MC '

3

4

Bac, carp kat qua tham tra Ur cach c9 &mg tham du h9p (lan I).

Truarng Ban kiem tra tu cach

c6 dong -

Giai thiau \fa biau quyet thong qua:

+ Chucrng trinh hcp DHDCD nam 2019; MC

+ Danh sach cha t9a doan, Ban thulc5r, Ban kiem phieu; MC

+ Nei quy h9p; MC

+ The le bieu quyet. MC

5 . Mai Chil tqa doan, Ban thu kY.vao ban lam viec. MC

II NQI DUNG

6 - Phat bieu khai mac Phien h9p DHDCD thubng nien nam 2019. CIM tich FIDQT

7 Bao cao hoat Ong caa }lei d9ng quail tri nam 2018 vã Dinh huong hog Ong Wei thing quail tri nam 2019.

HDQT

8

9

Bao cao ka qua hoat Ong kinh doanh nam 2018 va Ke hoach kinh doanh nam 2019.

BEM

Bao cao hog Ong nam 2018 va Ka hoach hog Ong nam 2019 ciia Ban Kiem soat.

BKS

10 To• trinh Bao cab kiem toan bao cao tai chinh hgp nhat.nam 2018. HDQT

11 Ti trinh Phuang an phan phei lgi nhuan %lam 2018. HDQT

HDQT 12 Ter trinh va viec chi tra din lao HDQT, BKS nam 2018 va de xuat tha lao HDQT, BKS Warn 2019.

,_Trang 1

STT NOI DUNG CIIIIONG TRINH PHI; TRAGH

13 Ter trinh ve viec fly quyen cho HDQT qnyet clinh 1ga chon C6ng ty , kiem toan cho nam tai chinh 2019. HDQT

14

15

Ter trinh ve viec situ doi, bo sung Quy che To chirc va hog Ong dm HDQT va sfra dOi, be sung Quy che Te chat Ira hog. Ong dm BKS. HDQT

HDQT TO trinh ve viec mie'n nhiem chirc danh thanh vien HDQT nhiem kY . 2018 - 2022.

16 Ter trinh ve viec fly quyen cho HDQT quyet dinh mOt só vAn de' thuOc quyen hp cil a DO hOi &mg co thing. HDQT

17 Thao luan cac nOi dung tn. rnuc 7 den trine 16. Chu toa cloan

18 Bao cao lc& qua thain tra tu each ce (long tham du hop (lAn 2). Truang Ban

kiem tra tu each co clang

19

i, • .20

21

B6 phieu bieu guy& cac nOi dung tir muc 7 den mix 16. Truemg Ban • kiem phieu

Ban kiem phieu - Kiem phieu; - Nghi giai lao.

Cong be) lc& qua kiem phieu bieu quyet. Truang Ban kiem phial

22 Phat bieu dm dai dien Ngan hang Nha nuerc Viet Nam - Chi nhanh tinh Kieft Giang. NT-INN

23 CH toa doan ti'ep thu y kin chi dao cila NT-INN. Chfi toa doan

III TONG KET

24 Th6ng qua Bien ban hop DHDCD nam 2019. Ban thu ky

25 Ph& bieu be mac. Cho tich HDQT

BAN TO CHITC

ttv Trang 2

co'

*

9• 77J)

HANG TMCP EN LONG

CQNG BOA XA HOJ CHU NGI-11A VIVT NAM Doc lap — Tu. do — Hanh phut

4* ‘41 NGAN HANG — IMP:MG Nt

c6 PHAN

KleN LONG 4r es% s Ruch Gici, ngay 12 thang 4 nani 2019 *04

NOI QUY HcIP BA! HOI BONG CO BONG MEN NAM 2019

Kinh gill: Dai hi dang c dong

Can at' Ludt Doanh nghiep sa 68/2014/QHI3 ngay 26/11/2014 va coc van bon hirOng den thi hank

Can cif Luat Cdc td chic tin chrtng (Luat Ccic TCTD) main 2010 vii Luat Sim ho sung mOt sO cheu cza Ludt Coc TCTD nam 2017;

Can cu. Diu l Ngan hang TMCP Kier? Long;

Can cU Thong bao mai hap DO hOi clong co clang thwOng nien ;lam 2019 Ngan hang TMCP Kien Long so 15/TB-1-IDQT ngay 02/4/2019,

Ban t6 chac Phien hop Dai hi clang ea d8ng thuang nien (DHDCD) nam 2019 cüa Ngan hang TMCP Kien Long (Kienlongbank) tran tryng th6ng bao NOi guy hyp, nhu sau:

Dieu I. Hinh that bi'eu guyet cac ,n0i dung trong DHDCD nam 2019 gam bleu quyet cong khai và bieu guyet bang each b6 phieu kin.

Dieu 2. Trong thai gian Wen ra phien 129p, c6 gong tham do' khong dugc hut thuac trong phOng hop, khong mang vat d'e chay no, vat cling c6 kha nang lam hung khi vao phOng hop; khong noi chuyen rieng, khong de chuong din thoai, khong dat tre em vao phOng hop.

Dieu 3. Co dong dv hop phai tuan thU theo su dieu hanh chucrng trinh cUa ChU tya doan. ChU toa cloan dugc phep mai cac thanh vien c6 lien guan trong Hi dang guan trj, Ban dieu hanh va cac Don vj c6 lien guan tharn gia tr, lai, giai trinh cac van de ma co (long guan tam. Chit toa doan dugc guyen nhac 11116(1194 yeu cau cac ca nhan vi pham NOi guy hyp rai kh6i phong hop 9 guyen, bieu guyet cna co dong vi pham NOi guy hop së khong ducrc tinh vao ket qua bieu guyet.

Dieu 4. CO dong tap trung ughien elm tai lieu va tham gia gOp kien. Moi phat bleu trong phien hop den mang tinh chat gOp xay dung cho Kienlongbank; khOng cla ,kich, mac pham; khong dUng !äi le kich dOng, cO hanh vi can tra, gay roi mat trat tu; gOp phai lich sir, climg hinh thirc guy dinh (bang Phieu dOng gOp kien hoac Oat bieu khi dugc Chi') tya mai).

Diu 5. C6 dong ,den ,clu hop DHDCD nam 2019 sau khi .phien hyp cia khai, mac CO guyen bieu guyet ngay sau khi 1am xong thU toc clang ky.,Nhting van de da bieu guyet truck do va dang,bieu guyet van khong thay cloi gia trj. CO clang chi dugc bieu guyet nhilng van de tiep theo.

Dieu 6. CO dong, Ban Kiem phieu Uwe hien bleu guyet va kiem phieu trung that, c6 tract' nhiem vi sr phat trien cUa Kienlongbank.

Dieu 7. Chti tga doan c6 trach nhiem tra Jai, giài thich cac cau hoi, thac mac dUng guy cliuh cIta c6 (long tham dtr phien hop hoc tra lai bang van ban sau phien hop (neu c6).

BAN TO CHUC V5/

NGAN HANG TMCP CQNG HOA XA Hol CHU NGHiA VIVI' NAM KIEN LONG Dc lp — Ty. do —14nh phtic

Rach Giá, ngay 12 thang 4 nom 2019

THE LE BIEU QUYET PHIEN HQP 0 3 1 HQ' BONG CO BONG THUtiNG MEN NAM 2019

Kinh giii: Dai hOi &nig ca citing

- Can ca. Luat Doanh nghiep 68/2014/QH13 ngay 26/11/2014 va cdc van ban Throng d -dn thi hemh;

Can ca- Lut Coo td clthc tin dyng (Ludt Cac TCTD) nam 2010 viz Luat Sim bó sung mOt so cheu cta Luat Cac TCTD nam 2017;

- Can cit. Dieu leNgán hang TMCP Kien Long,

HOLd6ng quan trj Ngan hang TMCP Kieft Long (Kienlongbank) kinh trinh D NI clang c6 &mg thuang nien nam 2019 th8ng qua Thel bi'eu quyet tai Phien hop Dal hOi dong co dong thuang nien nam 2019 dirge quy dinh flint sau:

I. Nguyen the bieu quyet:

Khi clang k9 tham dkr Phien h9p Dai NI thing co d'Ong thuang Men nam 2019, rn6i c6 (long vd/hoac ngtrai dugc c6 dong fly quyen se dugc nhan mot The bieu quyet và mOt Phieu bieu quyet dai din cho so co phan se( hcru,va s8 co phan dirge ôy quyen. MOt co phan Wang dating mOt quyen bieu quyet.

Khi tin hanh bieu quyet ding khai, Quy c6 dons tham gia bieu,quyet bang each gia The bieu,quyet/Gia tay de Ban kiem phieu ghi nhan Idi so phieu bleu quyet. Trinhyu bieu,quyet nhu sau: Co dong tan thanh gia The bieu quyet/Gia tay trutc; ke den co (long khong tan thanh gia,The bieu quyet/Gia tay; tiep theo là co &mg khong kien gia The bieu quyet/Gia tay.

Khi tin hdnh Neu quyet bang each b6 phieu kin, Qu9 c6 (long tham gia Neu quyet bang each danh dau "," hoc dau "x" Iva chon cilia minh vdo mOt trong ba phuang an trong tirng nOi dung al a Phieu bieu quyet: Tan thanh hoc kh6ng tan thanh hoac kh8ng kien cho cac nOi dung 6( Phieu bieu quyet vã 116 vao thing phieu.

Cac co dong da lam thii tvc tham du Phien hap Dai hOi (long c6 Wang thuang nien nam 2019 nhung rave sem, khong tham gia bieu quyet cac Bao cao, Ta trinh cilia Phien hop Dai hOi dong c8 (long thuang nien nam 2019 dirge xem nhu "Tan thanh" vai tat ca cac nOi dung ,xin kien co (long.

Truang hgp co 'Jong khong chgn phuang an bieu quyet nao tren Phieu Neu guy& thi dugc xem Id bieu quyet "Tan thanh" veri tat cã cac nOi dung xin kien c8 (long.

Twang hgp c6 dong khong chgn phuang an bieu quyet dm mot hoac it se) nOi dung tren Phieu bieu quyet thi dugc xem là bieu quyet "Tan thanh" vai cac nOi dung do.

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NGAN HA, THU9NG tr

Co Pith KIN LOII

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2. Cach that bi'eu guy& bang Phieu bieu quyet:

Trutng htyp chon phltang in tin thanh: Qu9 c8 (long danh dAu "V" hoc dau "x" vao o trong truerc phuang an "Tan thanh". Xem thi dy minh hoa:

2 Tan thanh D Khong tan thanh 0 Khong 9 kien

Trtrtrng imp ban du chcin phtrung in "Tin thinh", sau de bii phtrang an "Tin thanh" vã chip phwang in "Killing tin thanh": Trong truang hcrp nay, Qu9 co,dong khoanh trim vao o "Tan that'll" de b6 va d8ng theri danh dau "V" hoac dau "x" vao O trong truerc phucrng an "KhOng tin thanh" de chgn. Xem thi du minh hya:

(121 Tan thanh 2 Kitting tan thanh 0 Khong 9 kin

Truirng Imp ban dfiu chip) phtrung An "Tin thanh", sau do 116 phirang in "Tin thanli", ya chip Swung An "Kitting tin thanh". Tuy nhien sau do, Co (long muiln be plwang an "Killing, tin thanh" vã chip lit phtrang in "Tan thanh": Trong twang nay, Qu9 cO (long khoanh trOn vao o "Khong tan thanh" de 1)6 va clang thai boi den vao ô "Tin thanh" de chon.

Tan thanh Khong tan thanh 0 Khong 9 kin

3. Phieu bieu guy& hqp

Phieu Neu quyet do Ban tO chirc Phien hop Di hei &Ong c8 thing thuang nien nam 2019 phat hanh, c6 dong dau treo càa Kienlongbank; kh6ng tay x6a, cao, sUa; khong viet them cac nOi dung khac vao phieu; khong rach red, cOn nguyen ven; rnZii nOi dung bleu quyet chi chon 1 phuang an bleu quyet.

Phieu bieu guy& c6 nOi dung khong hgp 1e thi chi nOi dung dO Hieing hgp le, cac nOi dung can lai hap I.

4. Thong qua the quyet dinh:

— Cac quyet dinh cua et') dong,dugc thong qua khi c6 SO CO thing dai dien tren 51% tOng so phieu bleu quyet dm tat ca CO dong du hop tan thanh.

Ket qua kiem phieu bieu quyet theo nOi dung, bleu guy& dutyc cong 136 ngay tar& khi be mac Phien hop DO hei don& co dong thuang nien nam 2019, trong truang hgp CO 9 kien tilde mac ye ket qua Neu quyet, Chit toa Dal Wei së xem xet Ira quyet djnh ngay tai Phien hop Dai hei &Ong co !Jong thtrang nien nam 2019.

5. Cic net dung xin 9 Men cO dOng duve tilling qua bang caeh bieu quyet gb

The bieu quyet:

Chuang trinh hop Dal hOi dOng c8 &mg thuang nien nam 2019.

Danh sich Chu toa cloan, Ban thu k9, Ban kiem phieu.

Nei quy hop.

The le bieu quyet.

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Tran trgng! Foy

Nui nh4n: - Nhutren; - Luu VP. HDQT.

a4; 14GAN NANO re THUCING M+I

*..,„ C6 PHiN

1,1,

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ONG QUAN TR! TtCH

Agr 1111[9].

1.0

Cac nOi dung xin kin co (long dirge thong qua bang each be phieu kin:

Bao cat) hog dang coa H6i0Ong..qttap tri nam 2018 va Dinh htrang boat dang HOi china quail tri nam 2019':

Bao cao ket qua boat Ong kinh doanh nAm 2018 va Ke hoach kinh doanh nam 2019.

Bao cao hog dOng nam .2018 \fa Ke hoach boat Ong nam 2019 ca Ban Kiem soat.

TO trinh Bao cao kiem toan bao cao tai chinh hgp nhat nam 2018.

TO trinh Phuang an phan phei lgi nhuon Warn 2018.

TO trinh ve viec chi tra thu lao HOi dang gnarl tri, Ban Kiem soat nam 2018 vã de xuat tha lao HOi dong quan tri, Ban Kiem sok nam 2019.

TO trinh ve viec Uy quyen cho HOi dong quan tri quyet dinh 1ga chgn cong ty kiem toan cho nam tai chinh 2019.

TO trinh ve viec sga dai, ba sung Quy che T6 chnt va hog dOng cna HDQT; SCm doi, bet sung Quy che TO chirc va boat Ong cilia BKS.

TO trinh v viec miern nhiem chat danh thanh vien HDQT .nhiem kY 2018 — 2022.

TO trinh v viec üy quyen cho HOi clang quail tri quyet dinh mat s6 van de thuac quyen han cüa Dai hei &Ong c6 d6ng.

Ni dung xin kin cO &Ong dtrot thong qua bang each tay:

Bien ban hop Dal hOi clang ca dong thuang ni'en nam 2019.

Le .Khie Gia Ban

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NGAN HANG TMCP ONG HOA XA HQI CHE NGHIA VIET NAM KIEN LONG Di)c 14p — Tn. do — linnh phtic

SO: 20/BC-HDQT Rgch Gio, ngray 12 Mang 4 nam 2019

BAO CAO HOAT BONG CEA HQI BONG QUAN TRI NAM 2018

Kinh hi)i Wing do thing

Ket tit& nam 2018, kinh tA Viet Nam tang trueng An tucmg dat 7,08%, cao nhat trong vong 10 nam tres lai. Mat bang lai suat, t9 gia on dinh, tang truang tin dung dugc kiem soat chat che duei 16%.

Hog dOng kinh doanh cüa Ngan hang TMCP Kien Long (Kienlongbank) da dat dugc nhiling,ket qua On dinh, gop phan tich cut vao ket qua chung cna toan nganh ngan hang. HOi (long quan tri Kienlongbank bao cao voi Dai hi dong c6 dong ket qua hoat &Ong ala HOi (Jong quart tri nam 2018, thing th6i xin 9 kien Dai hi Tong c6 'Jong ye dinh hugng chien lugc hoat dOng Kienlongbank nam 2019.

I. VE KET QUA HOST BONG KIENLONGBANK NAM 2018 Kienlongbank la th chIrc tin dung thuOc kh6i cac Ngan hang thuang mai c6 phan

trong nu& dà dOng g6p tich cut vao ket qua chung cOa than nganh. Diem noi bat trong boat dOng kinh doanh nam 2018 la Kienlongbank tich cuc thuc hien Phuang an ccr cau lai Ngan hang giai dogn 2016 — 2020,, day manh c6ng tac thu hoi ng, 'tang cao chat lugng c6ng tac tin dung, ti le ng xau kiem soat a mot 0,94%, hoan thanh tang von diet' I e Kienlongbank len 3.237 t9 ,dong, lien ket veri TO chdc The quoc. te JCB (Nhat Ban) phat hanh the tin dung quoc th •Kienlongbank JCB, k9 ket thera thuan hgp tac \Teri Cling ty TNHH Thue va. Tu van KPMG tu van trien khai chien lugc quart tri rüi ro, ding co N thong kiem soat nOi b0 phn hgp vOl cac quy dinh phap lust va chien lugc kinh doanh cUa Kienlongbank.

Tinh den 31/12/2018, cac chi s6 kinh doanh cna Kienlongbank deu tang trusting tot so yeti nam 2017:

Von di'eu le: 3.236.957.960.000 &mg.

TOng tai san dat 42.310 t9 dOng, tang 13,35%.

- Mang 1u6i float dOng tang them 17 chi nhanh, phong giao dich, nang t6ng só diem giao dich Kienlongbank tren toan quoc la 134 don vi.

TOng huy dOng v6n lig 37.499 t9 dOng, tang 13,11%.

Dtr ng tin dung dat 29.472 t9 dOng, tang 19,39%.

T9 l'e ng xau er mire thap 0,94%.

Lgi nhuan truac thue dat 290,08 t9 &Ong, dat 71,62% ke hoach.

II. DANH GIA HOAT BONG HO! BONG QUAN TRI

1. Nam 2018, HOi diing quail tri Kienlongbank da c6 mOt s6 thay d6i nhan str cha eh& nhu sau:

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Pi/

- Tinh den ngay 26/4/2018, HOi &mg quart tri Kienlongbank Om 06 (sau) thanh vien:

TT Ho va ten attic vii

trong HDQT ,Ngay

bo nhi@n

Ong VO Quoc ThAng Chil tich 25/4/2013

Ong Mai Him Tin Ph6 Chit tich Thanh vien dOc lap

25/4/2013

Ong VO Van Chau Ph6 Cho tich , kiem Tong Giarn doe

13/2/2018

Ong Pham TrAn Duy Huyen ThAnh vien 25/4/2013

Ong Biti Thanh Hai Thanh vien 25/4/2013

Nguyen Thu)/ Quynh

BA Huang

Thanh vien 15/4/2014

- Ngay, 24/02/2018, HOi dilmg quail tri Kienlongbank mien nhiem chat danh Tong Giam doe va la nguai dai din theo phap lust doi v6i Ong VO Van Chau va b8 nhiem bà Tran Tuan Anh — PhO Tong Giam doe gift chat vij Quyen Tong Giam doe Kienlongbank \fa IA nguai dai din theo phap luat.

- Ngay 23/4/2018, HOi d6ng quart tri Kienlongbank cla b nhiem ba TrAn TuAn Anh gift chirc vu Tong Giam doe va IA ngtrai dai din theo phap luat.

- Ngay 26/4/2018, 'Jai hi d6ng c6 &mg da hop phien throng nien va bau HOi (long quail tri nhiem ky 2018 —2022 Om 08 (tam) thanh vien, trong do cO 01 (m0t) thanh vien clOc lap, 02 (hai) thanh vien kiem nhiem dieu hanh, cc' the nhu sau:

TT HQ va ten Chile vu trong HDQT

,Ngay NI nhiem

Ong Le KhAc Gia Bao Chit tich 26/4/2018

Ong Mai Him Tin Pho Chit tich 26/4/2018

Ong Pham TrAn Duy Huyen Ph6 Chit tich 26/4/2018

Ong TrAn Van Trong Thanh vien dc lap 26/4/2018

Ong Bni Thanh Hai Thanh vien 26/4/2018

Nguyen Thu), Quynh

Ba Huang

Thanh vien 26/4/2018

BA Trait TuAn Anh Thanh vien, kiem TOng Giam clOc

26/4/2018

Ong Le Trung Viet Thanh vien,

, • kiem Ph6 Tong Giam doc

26/4/2018

, 2. 110i &mg quan tri nhiem mai da thAnh lap cac Thy ban/HOi &Ong trtrc thuOc de tham muu, gift') viec cho HOi dong quan tri trong cong,tac quan tri Ngan hang, g6m: Uy ban Thuang true HOi (long quan tri, Uy ban Nhan sr, Uy ban Quart l rid ro, Uy ban Tin dung, HOi dons Dau at, HOi &mg MI l rid ro, H0i, dong Thi dua — Khen thuang. Cac Uy ban, HOi thing true thuOc haat dOng theo Quy che TO chile va hoot dOng da &rat HOi (long quan tri ban hanh.

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&6°-V

Trong nam 2018, HOi clang quart trj da tien hanh 108 phien hgp (bao gam h9p dinh ky, dOt xuat va lay 3% kien bang van bap) nh5m trial khai thgc hien cac ke hoach chien lugc ma Dai hOi thing co dong da giao. Giam sat, theo dOi boat dOng dieu hanh Ngan hang. Dong thai, HOi dong quan trj, ty ban Thuang,trgc HOi (long quail trj cling da thuOng xuyen lam viec dinh ky hang quy, hoc (la xuat vai Ban Dieu hanh de kip thei h6 trg, djnh hueng giai quyet cac van de kh6 khan, vtrang mac phat sinh trong qua trinh thgc hien ke hoach kinh doanh cüa Ngan hang.

Hot dOng giam sat cong tac dieu hanh càa Tong Giant doc va Ban Dieu hanh dugc thkrc hien tuan thO theo Dieu le Kienlongbank va quy dinh cüa phap luat hien hanh. Ong tac giam sat dugc thgc hien qua cac chinh sach, chit ,truang, bg may kiem soat gom Ban Kiem sat, Phong Kiem toan ngi ho. Vic fly quyen/giao nhiem vp gift Hai clang quart trj, Tong Giam doe, Ban Dieu hanh trong thkrc hien nhiem vu, quyen han than thfi quy dinh cUa phap luat \fa Dieu le Kienlongbank.

Met s6 nOi dung trong tam ma HOi clang quart trj, cac fly ban va HOi clang trkrc thugc HOi &mg quart trj chi ciao thgc hien trong nam:

Phe duyet ke hoach kinh doanh nam 2018, cac bao cao, tai lieu trinh Dai hai clang c6 (long thtrang nien rcam 2018.

Quyet dinh chgn don vi kiem toan dgc lap KPMG theo Nghj quyet cüa Dai hOi &Ong cO clang, de thgc hien kiem toan Ngan hang va cong ty con cho nam tai chinh 2018.

Giam sat tinh hinh, ket qua hoat &Ong kinh doanh hang thang, quy, ban nien va nam 2018.

Phe duyet cac d xuAt v dau tu dgi yea cac dkr an thugc tham quyen Fla dang quan trj.

d Phe duyet cac guy& dinh ban hanh meri, guy& dinh sin dOi bO sung cac Quy che, Quy djnh, van ban quy dinh ngi bg cüa Ngan hang; quyet dinh thanh lap cac Chi nhanh, Phong Giao dich, sira dôi, bo sung Quy che To chirc \Id hoat &Ong cila cac Uy ban, HOi &mg trgc thugc, PhOng, Ban, Trung tam flgi ser Ngan hang.

e. Chi dao trien khai thgc hien Phugng an ca eau lai Kienlongbank giai doan 2016 — 2020; kip thai bao cao, xin -32 kien chi ciao cña Ngan hang Nha nuac Via Nam vã Ngan hang Nha nu& Via Nam chi nhanh tinh Kien Giang ye the ngi dung lien quan.

g. Chi dao trial khai thgc hien phtrung an tang von dieu l theo Nghj quyet Dai ha dong co (long thuang nien 2018 da thong qua va hoan thanh viec tang von dieu vao thang 9/2018.

Ii. Phe duyet chit hitting mien/giam IAi vay; ban hanh the g6i 116 trg tin dpng, gai vay uu dai lai suat h6 trg khach hang g5p khó kha'n do thien tai, dich benh; kip thai ban hanh mai, scra doi, bo sung cac chinh sach tin dpng phO hgrilinh hinh

i.Kiên tri chi dao tap trung giai quyet ng xau, tang cueing trich lap di; phOng tich Wy nguon Ire ?dr 19 nil no, dam bao an toan hoat dgng theo thing quy dinh cUa Ngan hang Nha nuac va phap luat lien quan.

97

iN NAN

.:71NG MA ; PHA'N

LONO

T Oce"

Trang 3/5 eitV'

k. Xay dgng mâi, cai tao cac try ses hog dOng. Ma mei 17 Chi nhanh, PhOng Giao dich; cai tao, xay thing mei ,14 try sec Chi nhanh, PhOng giao dich; Hoan thanh ke hoach Oat trien mang nang tong so dan vi kinh doanh tren toan quoc len 134 dan vi.

, 1. Chi ciao nang cao chat lugng quan th rid ro, xay dyng \Id ding co he thong kiem soat nei be, thuang xuyen theo dOi, giam sat, kiem soat hoat Ong Ngan hang darn bao an toan, hieu qua, bao mat va tuan thit dUng quy dinh cUa phap Mat va cUa Ngan hang Nha nuac.

in. Chi dao cong tac kien toan, dinh bien nhan six; phe duyet dieu chinh quy ohe tien Mang, he thong thang bang ltrang, cac chinh sach tien thuang; chi dao nang cao chat lugng nguon nhan lyc thong qua cong tac dao tao, boi duang can be, nhan vien, Ong tac vien.

n. Tip tyc chia se trach nhiem vari xã hei thong qua cac hog dOng he try xay dyng cau n6ng then, tham va tang qua gia dinh c6 hoan canh (lac bit kh6 khan, trao hpc bong "Chia se trot ma" cho cac hoc sinh ngheo, hoc giOi, tai trg cac hog dOng van h6a — the thao,...

III. DINH HUONG HOST BONG HO! BONG QUAN TRI NAM 2019

1. Can dr ket qua hog Ong narn 2018 dm Kienlongbank, tred,ca s& danh gia nang lye hien tai elm Ngan hang, ca.hei, thach thdc doi v6i nen kinh te trong nu& va anh huàng elm tinh hinh kinh te chinh tri the giOi trong nam 2019, FIgi &mg quan tri dinh huang boat Ong kinh doanh nam 2019 cfia Kienlongbank, nhu sau:

a. Ve kinh doanh: Tip tyc thgc hien 10 trinh Phuang an ca cau lai Kienlongbank giai clop 2016 — 2020 theo phe duyet caa Ngan hang Nha nuerc. Tap trung day manh cac giai pita!) thyc hien Ngan hang so, da clang h6a cac san pham dich vy thanh toan khong clang tien mat, tang cuffing lien ket, phoi hgp vai cac dOi the de Oat trien sari pham, dich vu mei dap ung nhu cãu cho khach hang; then khai than hang tap trung kinh doanh hieu qua san pham mei lien ket vai,Cong ty TNHH Bao hiem AIA Viet Nam. Tang tY trpng thu nhap phi tin dyng trong tong thu nhap.

14 phon, khac khcich hang: Tap trung phat then khach hang mai, xay dyng chinh sach san pham, chinh sach ban hang cho kith hang ban lé, doanh nghiep \nth va nh6. Xay dyng cac chuang trinh kich cau, chuang trinh khuyen mai cham s6c khach hang hien him va chuang trinh thu hat khach hang in6i.

V phat trie'n thwang hiCu: On dinh va nang cao chat lugng hoat deng 134 Chi nhanh, PhOng giao dich; ra mat trang thong tin din tir mai elm Kienlongbank; thong qua hoat clang xä hOi, Oat then thuang hieu Kienlongbank den gan han vat khach hang, g6p phan dua Kienlongbank tra thanh 1 trong 15 ngan hang ban le hang clau Viet Nam.

Tre nhan sa: Chuan h6a dOi nga Tian 1Y, xay Ong dOi nga nhan str chuyen nghiep, nang Ong, hien dai phu hap yeti cau cling viec; dao tao dôi nga ke thin cho the vi tri quail 1Y cap cao, cap trung; sap xep, be tn nhãn sy phU hgp nang ltrc, chuyen mon va 'pang lai hieu qua cho Ngan hang; doi mad the chinh sach thu nhap, chinh sach thuang kich thich nang suat lam viec, thu hut nhan tai.

Ve anon tri rat ro: Moan Mien va nang cap he thong guar, tri rid ro phO hgp vai the nguyen the, chuan mgc caa ty ban Basel WI 10 trinh then khai Basel II; ban

Trang 4/5

hanh mai Quy che To chat va hogt:40ng cna.H0i Clang quail trj nham phn hgp vei Luat Doanh nghiep 2014, Luat Cac to chirc ttriLslimg,riatp 2010 (Luat Cac TCTD 2010) \fa Luat Sfra doi, bg sung mgt so dieu Lust Cac TC145 ttaiettrac TCTD 2017), cac van ban phap luat khac va Dieu le Kienlongbank; soat xet Quy che hot dOng cüa dic Oy ban, Hi Tong true thu0c; tiep tuc phoi hop vai doi tac Cong ty TNITH Thue va Tu van KPMG hoan chinh he thong plan trj rüi ro cüa Ngan hang.

g. vS tthi chinh: Tip hie nang cao !fang lye tai chinh theo Phuang an co cau lai Kienlongbank giai doan 2016 — 2020; tap trung tang truang von huy‘dOng thi truang 1; tang twang tin dung an toan, hieu qua, phn hop guy mO, co cau nguon von va nang lac quail trj rOi ro.

2. 1-10i dang,quan tri da th6ng nhat vai Ban Dieu hanh du kin k honch kinh doanh nam 2019 gom nhung chi tint] trong yeu cv the se trinh Dai hOi dong cO dong trong Bao cao va ke boach kinh d6anh Kienlongbank ham 2019 cna Ban Dieu hanh.

Tren day la bao cao hoot dOng cüa HOi dong pan trj nam 2018 va dinh huang hoat dOng Kienlongbank,, cong tac quart trj Ngan hang nain 2019. 1-10i dOng quail trj kinh trinh Di hOi clong co &mg xem xet va quyet djnh.

Kinh chnc Quy vj cO (long sire khae va thanh ding! pr—

Nol nhO:

BONG QUAN TR1 TICH

01 „It 4 NC1AN KANO\

- Nhu teen; at THLICING1 M41 - Lau VP. 1-1DQT. * c6 ;pais

KIN LONG ca*

fin

Le Khae Gia Bao

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NGAN HANG TMCP CQNG BOA XA HQI CHU NGH1A VIFT NAM KIEN LONG Dc Ip — Tr do — I14nh phtic

s6: 15 /BC-BKS Rgch Gio, ngay 12 thong 4 main 2019

BAO CAO CUA BAN MEM SOAT NAM 2018 (Trinh P31 hOi diing ci) clong thuirng nien dam 2019)

Kinh girl: Pi hi dang cO (long

Can cur Dieu le Ngein hang TMCP Kien Long;

Can cir Boo coo tài chinh hQp nheit niim 2018 cz,ia Ngan hang TMCP Kien Long cid cluvrc kiem toen bat Gang ty .TNHH KPMG Viet Nam;

Can c& tinh hinh hog t ,clang cilia Ngon hang TMCP Kien Long, ,belo cao cOa Hai clang quail tri, Ban Dieu hanh va ket qua hogt clOng cilia Ban Kiem soot trong that gian qua,

PHAN I: BAO CAO HOAT BONG CiJA BAN MEM SOAT NAM 2018

Thoc hien chirc rang Ira nhiem vo, Ban Kim soat cid trien khai k hoach boat dOng nam 2018 nhu.sau:

I. Thoc hien the Bao cao gui Ngan hang Nha nuot Via Nam (NI-INN) va Ca quan Thanh tra Giam sat NI-INN theo luat dinh. .

Thoc hien nhiem vo kiem tra, giam sat viec tuan th6 cac quy dinh cUa pita') luat \fa Dieu lé cUa Ngan hang TMCP Kien Long trong via quart tri, diêu hanh.

Thkrc hien chirc nang chi ciao va giam sat 1104 Ong Kim loan nOi b0 nham phat hien, ngan chan kip thai‘nhang sai sot va xtr IY cac cá than, tap the c6 lien quan tai cac dun vi toe thuOc (Bao gôm cac Chi nhanh, Phong giao dich va Phong, Ban, Trung tam HOi so).

Tham tra bao cao tai chinh (BCTC) hang guy, ban nien va BCTC nam de phan tich, (faith gia tinh hop ly cña cac chi tieu WI chi so an toan tai chinh theo quy dinh cila NI-INN.

PhOi hop, h8 tra Ban Dieu hanh lam viec vai C8ng ty kiem toan a lp trong qua trinh kiem toan BCTC ban nien, BCTC nam nham xem xet anh htrang ella the van de trong yen lien quan den ding viec kiem toan va lap bao cao tat chinh nam.

Cap nhat, nghien dru cac van ban phip luat, chinh sach cita Nha nuac lien quan den boat Ong, ngan hang. Tir do, thkrc hien cong lac ra soat, soat xet cac quy che, quy dinh nOi b0; kien nghi sita doi, bo sung cac quy dinh nOi 110 cho pita hop.

Tham do cac cuec hop cua HOi 'Sang quan tri va Ban Dieu hanh theo dinh va dOt xuat nham nam bat tinh hinh boat Ong kinh doanh dux te dlla ngan hang vá clang gop kien vài HOi dong quail tri va Ban Dieu hanh trong viec thkrc hien cac mvc tieu ke hoach ducfc Dai hei 'Jong co (long thong qua.

Thkrc hien met sO chirc nang va nhiem vu khac theo quy dinh.

Viec kiem tra, kiem soat va giam sat &roc phan cong cho cac thanh vien Ban Kiem soat thkrc hien met each true tiep,,phoi hop \Jai Kiem toan nOi b0, thong qua hinh tit& kiem tra ho so chung tir va gian tiep thong qua bao cao theo dinh k5i cita Ban Dieu hanh.

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Ban Kim soat Ngan hang TMCP Kien Long (Kienlongbank) bac) ea° QuY c6 (long ye tinh hinh hoat dOng va ket qua kinh doanh nam 2018, nhu saw

I. TINH HINH TAI CHINH VA KET QUA KINH DOANH NAM 2018

Truac h&, Ban Kiem soat nhat tn vOi Bao cao lc& qua hoat dOng kinh doanh nam 2018 dm Ban Dieu hanh da trinh tai Dai hOi.

ye tinh hint' tai chinh da the hien dAy dü, rO rang trong Bao cao tai chinh hyp nhit nAm 2018 dm Kienlongbank va da dugc Cong ty TNHH KPMG Viet Nam thuc hien kiem toan, dugc dinh kern trong Bao cao thu6ng nien nam 2018 va tai lieu hop. Ban Kiem soat xin dugc bao cao mOt so chi tieu tai chinh quan trong, nhu sau:

1. Ket qua kinh doanh nAm 2018

DVT: Ty d6ng

STT Chi tieu Nam 2017

Nam 2018

TAng/giam so \Tel 2017

SO tien TST le (%)

I. Thu nhap lai thuan 1.041,63 974,87 (66,76) (6,41)

2 T6ng chi phi hoat Ong 806,20 928,44 122,24 15,16

Chi phi du pheng rid ro tin dung 68,76 37,64 (31,12) (45,25)

Tting lgi nhuAn truck thu6 252,19 290,08 37,89 15,03

Thud TNDN 50,50 58,19 7,69 15,23

T6ng Igi nhuAn sau thue 201,69 231,89 30,20 14,97

2. ye chi hen tai chinh co • bin:

DVT: TST d6ng

TT Chi tieu

Thtyc hi'en nAm 2017

Ke hooch nAm 2018

Thlyc hien nAm 2018

0/0

Roan thanh

ke hoich nAm 2018

TAng/giam so vtil 2017

sii tih Ts, l'e (0/0)

V6n dieu 1'e 3.000 3.236 3.237 100,03 237 7,90 T6ng tai sari 37.327 44.000 42.310 96,16 4.983 13,35

Tong huy Ong vtin 33.152 39.500 37.499 94,93 4.346 13,11

Du ncy cAp tin dung 24.686 30.206 29.472 97,57 4.786 19,39

S. TY le ng xAu (%) 0,84 <2,50 0,94 - - -

Lgi nhulan trait thue 252,19 405,00 290,08 71,62 37,89 15,02 Mang bred Chi nhanh

Aid PhOng giao dich 117 134 134 100,00 17 14,53

ROA (%) 0,54 - 0,55 - - ROE (%) 5,68 - 6,18 - -

Trang 2/7

Nhin chung cac chi so tai chinh ca ban kha tot va tang truerng cao trong nam 2018 so,voi nam 2017 khi tong tai san.tang 13,35%, tong huy dOng von tang 13,1,1% va du ng cap tin dung tang 19,39% lai nhuan,truoc.thue tang 15,02%. Ve tY le ncr xau nam - • 2018 van darn bao duai 3%.

1.

Vai co cdu tai san c6 va tY le tang truang neu troll chang to su phat trien ben yang cüa Kienlongbank.

3. Cac chi s an toan tinh den ngay 31/12/2018

STT CHI TIEU Don

vi tin'h

Thyt hitn Nam 2018

Quy dinh NHNN (/0)

TY le an toan von toi thieu % 16,62 >9

Ty le du ng cap tin dung d&vai 1 khach hang so vai Von tu c6

% 10,52 <15

Ty' le du rig cap tin dung doi vai I nhOm khach hang so vai Von tkr c6

% 10,52 < 25

TY le du trir thanh khoan % 11,82 > 10

Ty le tOng mac dau tu, gOp vOn mua co phan so vai VDL va quy DTBSVDL

% 15,84 < 40

S6 lugng TCTD Kienlongbank mua cox phan

s6 lugng -

< 2 TCTD ma Kienlongbank

dau tu, gOp von mua co phan

Ty le nguon von ngan han cho vay %

33,31 <45 trung dai han

8.

.

TY le du ng cho vay so vai tong tien giii

% 78,29 < 80

, Qua cac tieu chi danh giã tOng the, Kienlongbank tfing buoy tang,truang va phat trien on dinh, ben yang, luon tuan thn va chap ,hanh tat ty lean toan von, giai han tin dung, kha nang chi tra, gioi han gOp von mua co phan,,tY le daup tai san co dinh, t5' le nguon von ngan han cho vay trung dai ty le ng xdu luon kiem soat er mire clued 3%.

Kienlongbank da thuc hien Mt viec duy tri cac tY le an toan vOn tai ding thai diem boat dOng diing theo quy clinh cUa NHNN Ira cac pita]) luat co lien quan.

II. CONG TAC QUAN Lit VA DIEU HANH

1. Hot &mg cfia 110i clang quan

a. Trong nam 2018,,HOi dOng quail tri da tin hart 108 phien hop (Bao gem hop dinh kY, dot xuat va lay-Y-kien bang van ban). Trong do, HOi docrig quan tri nhiem ky 2013 - 2017 c6 29 phien hop va Hi dong quan tri nhiem ky 2018 - 2022 c6 79 phien hop. NOi dung cac phien hop nham trien khai thkic hien k8 hoach kinh doanh dirge Dai hOi dong co dong giao; tap trung giai quyet va did° gä flitting lath khan cho Ban Dieu hanh \id ban hanh kip thai cac chinh sach kinh doanh linh boat; thAnh lap Chi nhanh, Phong,giao,dich theo phuang An phat trien mpg luoi; xay dung ca che, chinh sach >dr ly ng xau; dau hi

mua sant tai san, xay dung co sa vat chat mOt s6 dart vi kinh doanh; bo nhiem va tai 136 nhiem it* sO nhan sir chit' chôt dm Ban Dieu hanh; thong qua phuong an tai ca cau

oo,

AN irom 5' Pr

N L

Trang 3/7

.Kienlongbank giai doan 2016— 2020, dOng thOi thong qua mOt só vAn d'e quan tryng lchac trong quan tri va dieu hanh. Cy the:

Giam sat thitc day viec thvc hien ke hoach kinh doanh hang thang, quy va co chi ciao cu the, sat thkrc de tang tinh kha thi, hieu qua trong boat &ling ngan hang.

- Phan ding nhiem vi thanh vien HOi d6ng quan tri nhiem ky 2018 — 2022.

- Tie') tyc hoan thin co che quart tri dieu hanh; dieu chinh, b6 sung va ban hanh moi cac quy che, quy dinh n'Oi be cho phi' hop veri quy dinh cüa phap luat va tinh hinh thkrc ti6n.

Quyet dinh tier, tyc dau tu thy dung co sa vat chat cho cac Chi nhanh va Pheng giao dich.

- Quyet dinh thay dOi mOt s6 dia diem try so. cilia Chi nhanh, Pheng giao dich tai cue vi tri thuan lgi.

Quyet dinh cac chinh sach kinh doanh, chinh sach mien giam lai win vay, lai phat doi voi khach hang kilo khan va cac giai phap xü lY no qua han.

Quyet dinh thanh lap Chi nhanh, Pheng giao dich theo phuong an phat trier' mang hied.

, • - Thyc hien phat hanh c6 phieu tang vo'n dieu l theo Nghi quyet cüa Dai hOi thing co tong nam 2018.

Co eau tei chirc lai va chuan boa cac Phong, Ban chIrc nang Fthi sâ theo huang chuyen mon, chuyen nghiep.

Bo nhiem Tong Giam doe va tai be nhiem nhan sr cap cao.

VA quyet dinh nit s6 van de quan trong khac.

b. Cac boat clOng cüa Kienlongbank dtryt giam sat chat che, chi tieu fiat kiem, citing quy dinh.

2. Hot 'gong ciia Ban Kie"m seat

Veri chIrc nang,,nhiem vi duqc giao, Ban Klein soat da thvc hien hieu qua. cong Mc nam 2018, gOp phan dam bao an toan trong hoat Ong kinh doanh Ngan hang. Cy the nhu sau:

Tham dkr, giam sat \TA c6 kin d cong tac th chat hyp/lay kin bang van ban va ban hAnh Nghi quyet cüa HOi dong quan tri &roc thvc hien pha hop guy dinh phap luat, Dieu le Kienlongbank. Deng thai, giam sat viec trien khai, thkrc hien cac Nghi quyet cua Dai hci &mg c6 'Jong, càa HOi (long .quan tri va Ban Dieu harth.

Thvc hien cac Bao cao cho NHNN va Co quan Thanh tra Giam sat NHNN theo luat dinh..

Tham tra cac bao cao tai chinh hang quy, ban nien d phan tichva danh gia tinh hop ly cna cac chi tieu và chi so an toan tai chinh; phoi hop lam viec vOi kiem toan dc lap trong qua trinh kiem toan nham xem xet anh hutng ella cac van de tryng yeu lien quan den ding viec kiem toan NM lap bao cao tài chinh.

Trkrc tip chi dao Kim toan rthi b thkrc hien nhiem vv kiem toan tai cac don vital HO so v6 cac don vi kinh doanh trong he thong. Viec kiem•toan nOi b0 da g6p phan hO tra hieu qua cho HOi deng quan tri, Ban Dieu hanh trong viec hoan thien he thong kiem tra, kiem soett nOi b0, citing !heti cha dOng phat hien, ngan ngfra va xfr ly flitting sai pham trong he thong, Op phan dam bao sv an toan vã hieu qua boat dOng dm he thong, cy the:

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- Kiem toan nOi b0 da thuc hien three 09 cuOt kiem toan, bao 05 cuOc kiem toan tai Chi nhanh, Phong giao .dich true thu0c; vii 04 cuOc kiem toan chuyen de tai cac PhOng, Ban, Trung tam nghiepliu Hoke.

To chac giant sat tir xa lien quan den hog dOng cap tin dung, tren ca se do do luemg va xep loai mire dOni ro cac dcrn vi, sam phat hien vii ngan than cac hanh vi, dau hieu bat thueng de,yeu cau giai trinh, chinh sa va thong bao teri cac ben cO lien quan phoi hop giai quyet, kip thei ngan chan cac ru ro phat sinh.

- Giam sat, danh gia viec thue hien cac quy trinh, quy dinh phap 1114, cac ty le an toan yen, ty le trich lap du phOng theo quy dinh cita NI-INN ding nhu cila Kienlongbank.

Thueng xuyen theo dOi, don dee viec khac plum cila cac don vi sau kiem thanh tra, dam bao cac ton tai, khuyen nghi dtrec xii 1 triet de, nhanh chong. Doi

yeti cac van de can ton tai, chua khac plum kip uteri deu dirge thong tin, bao cao day da len cac cap c6 tham quyen de phoi hop giai quyet.

e. Trong qua trinh hoat Ong kiem Moan, theo dOi khAc plum, gum sat cac don vi, Kiem toan nOi b0 da cO nhieu khuyen nghi ye situ dei cac quy dinh, quy trinh, bin phap,quan 132 tti ro, &mg theri,tham gia &Mg gem kien xay dung cac quy trinh nghiep \Ty de giam thieu cac nil ro, bat cap trong cac quy che, quy trinh ala Kienlongbank.

3. Nhan sv Ban Kiem snit

Trong nam 2018, nhan sr Ban Kiem soat co sty thay d6i nhu sau:

Ban Kiem sok nhiem kY 2013 —2017 (co 04 thanh vien) da ket thee nhiem sau khi Ban Kiem soat nhiem kY 2018 —2022 duce Di hOi &Ong co (long thueng

nien nam 2018 bau tai hop thueng nien vao ngdy 26/4/2018:

Tinh den ngay 31/12/2018 Ban Kiem sok co 3 thanh vien, gem:

Ong Nguyten Cao Cueng — Truerng ban (Thanh vien chuyen trach).

Ong Dang Minh Quart — Thanh vien chuyen trach.

Ong Nguyetn Thanh Minh — Thanh vien khong chuyen trach.

4. V6n di'eu té

VOn dieu l ala Kienlongbank tai ngay 31/12/2018 la 3.236.957.960.000 dOng, tang 236.957.960.000 dOng so Arai nam 2017.

III. TiNH HINH THVC HIgN TUAN THIJ CAC CHINH SACH, QUY DINH

1. Ve cling Mc tai chinh ke toan

- Kienlongbank da tuan that day du yeu eau ciia cac Chuan nurc ke toan Ara Chez dO ke than hien hanh theo quy dinh ala NHNN trong viec hach toan va lap Bao cao tai chinh.

Kienlongbank trich lap day du cac khoan du phOng theo quy dinh hien hanh.

Tinh hinh se ,sach, chimg tfr, bao cao tai chinh r0 rang, luu tni dAy

Cong tac kiem ke tai san, citing cv dung cu, hang hoa, kho qu'y then mat vii cong tac di chieu ding nor dirge num hien dung theo quy dinh.

2. Cling tac chip berth phi!) Mal ctia Nha ntr6c vi Dieu le

Trong ding tic quan ly va dieu hanh host &Ong kinh doanh, Kienlongbank da chap hanh dAY dit cac quy dinh ala cac Luat: Lust Cac TO chirc tin dung, Lust Doanh

•

;1ANC-a MA

ONC

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k/i/

nghiep, Be luat Lao ding, Lust Thu, Luat Thuong mai, Lust Chang khoan va cac luat khac...va thoc hien day flack quy dinh theo Dieu le Kienlongbank.

Theo Dieu le, cac Thanh vien .HDQT, Ban Dieu hanh da thgc hien nhiem vg coa minh vi lqi ich cao nhat cna Kienlongbank.

PHAN 11: KE HOACH HOAT BOG GOA BAN KIEM SOAT NAM 2019

1. NhiOn vv trvng tam

Giam sat viec tuan thu cac quy dinh cna phap luSt va Dieu I Kienlongbank trong viec quan tri, dieu hanh.

- Thoc hien chirc 'fang chi dao va dinh twang cong tac kiem toan nOi be chuyen trong nam 2019.

Thkrc hien chi ciao Ara theo dOi khac phc sau thanh tra, kiem tra tai cac don vi.

Chi dao thkrc hien kiem toan h theng ki'em soat nei be v nghiep vu tin dung; an toan kho quy; tinh hinh xir ly no xau tai cac don vi; chinh sach an ninh mpg va Oat trien ang dung ceng nghe thong tin; hoat dOng dau tu xay Ong ca ban; cong tac phOng cheng Kra tien va quan lY rüi ro;

- Chi dao thoc hien kiem toan viec trien khai thvc hien phuung an cu cdtt lai Kienlongbank.

Tang cuOng cong the kiem tra giam sat ve quan lY se het kiem nham dam bao an toan ti'en gni cüa khach hang.

- Kiem soat che do thu chi tai chinh, dAu tu mua sam tai san cüa Kienlongbank.

Xac dinh cac linh voc rni ro va tfurc hien kiem Loan nOi b6 tren ca sa xac dinh rüi ro float deng cna ngan hang.

- Tham dinh bao cao tai chinh dinh quy, ban nien va bao cao tai chinh nam.

Kim tra viec, dux hien nghi quyet, guy& dinh cüa Hei deng quail tri; giam sat hog dOng cnal-10i (long quan tri, Tong Giam dec.

- Kim tra hog dOng tài chinh, giam sat viec chap hanh che do ke toan, phan phoi thu nhap, sir dyng cac guy, giam sat an toan trong hog dOng cüa ngan hang.

Tip nhan, giai guy& theo tham quyen ve khieu nai, t6 cao cia lien quan den hog dOng cna ngan hang.

2. Cong tac kim Wan n(il b nam 2019

Ke hoach kiem toan nei be nam 2019 da dugc Ban Kim soat phe duyet bao g6m: 10,cuOc kiem toan tai cac Chi nhanh/PhOng giao dich, Phong Ban, Trung tam HOi ser va kiem toan chuyen de.

Ngodi ra, trong qua trinh thkrc hien, khi c6 cac vAn d phat sinh, Ban Kim sok së tien hanh chi dap be phan Kiem toan nei be thkrc hien them cdc et* kiem toan ngoai ke ho4ch de dap ling phU hcrp voi tinh hinh thkrc te.

PHAN HI: KIEN NCH!

1. Kienlongbank can quan tam thuOng xuyen hon dOi ngii nhan skr; cei chinh sach dai ng0 pha hop de gill nguai lao Ong ce nang Ivy và thu lint nhan tai; c8ng tac dao tao can chuyen sau, cO danh gia nghiep vy dinh ky, nham nang cao trinh dO chuyen mon nghiep vu cho nhan vien va cac cap quail ly.

Trang 6/7 WI/

Nguyen Cao Cuomg

Nab NAN THUMP KV

CO' PHA'

Kik LO 0

N KIEM SOAT ONG BAN

Kienlongbank can thuOng‘xuyen xay dgng cac chinh sach kinh doanh linh hoat dé on dinh khach hang truyeiFthongya mOi goi them khach hang tiem nang.

Kienlongbank can tang ctrangcang,tac giam sat tinh hinh thgc hien ke hoach kinh doanh, thu hoi no cña cac don vi; day manh hem nita six phoi hgp, ho trg giüa cac PhOng, Ban, Trung tam TIOi sâ \Pa clic don vi kinh doanh.

Kienlongbank can thuiyng xuyen ra sok, chuhn boa he thong quy che, quy dinh n01130 cho phü hgp yeti quy dinhuphap luat va thgc tiên kinh doanh.

Kinh thuia QuYc &mg,

Ban Kiem sok vira trinh bay Bao cao hoat &ling Wain 2018 \id Ke hoach hoat Ong nam 2019 dm Ban Kiem soat Kienlongbank.

Kinh trinh Quy ce) (long xem xet, guy& dinh.

Tran trong.

Noi nh411: - Nha tit; - Luu: VP. HDQT, BKS.

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136V

NGAN HANG TMCP COG floA XA HQI CHU NGHIA VII' NAM KIEN LONG DO lap — Tr do — Hanh phOc

Soz : 21/TTr-HDQT Roch Gia, ngay 12 thang 4 neim 2019

TO MINH BA! HO! BONG CO BONG THUONG NIEN NAM 2019

Bao cao kim than bao cao tai chinh hop nhat nam 2018

Kinh girl: Dai hoi (long c6 thing

-Can cu. Luat Doanh nghiep sa 68/2014/QH13 ngety 26/11/2014 vet coc - vein ban lutang dan thi hanh;

Can ca Luat Cac ta chac tin dung (Luat Cac•TCTD) nam 2010 vii Luat Stiv cloi, 66 sung mOt so clieu cita Luat Ccic TCTD mini 2017;

- Can ca Diu le Ngan hang TMCP Kien Long,

HOi dOng quan tri Ngdn . hang TMCP Kien Long kinh trinh Dai hi clOng cO dong thuOng nien nam 2019 thong qua Bao cdo kiem todn bao cao tai chinh hop nhat Ngan hang TMCP Kien Long ndm 2018 (Bao cao tai chinh kiem toan chi tiet dd dugc in trong Bao cao thuang nien nam 2018).

Kinh trinh Ddi hOi dOng cif') citing xem xet, guy& dinh.

Iran trung!

ni4n: - Nhu tit; - Luu VP. Hf)QT.

6 c., c 01 BONG QUAN TI!

c) NGAN HANG To 10. • , C?

. \10° 87 , HtI TtCH

_k c6 P allitl * THUCING MIP .0

11 KIN L flu rOr

Si OA ê KhAc Gia Bao

NGAN HANG TMCP ONG HOA xA HQI CHU NGHIA VIVT NAM KIEN LONG Dc lap — Ty. do —Hanh phric

Sa: 22/TTr-IADQT Bach GM, ngay 12 %hang 4 man 2019

To TRINH DAI HOI HONG CO BONG THIYONG MEN NAM 2019

Phiamg an phan phi nhu'an nam 2018

Kinh Dai hoi deng c (long

- Can cif Nghi clinh so' 93/2017/ND-CF ngay 07/08/20.17 va chef d tai chinh dal veri 16 chat tin clang, chi nhonh ngon,hang ntrot ngooi va glom sat tai chinh, danh gia hiftt qua dau tic von Nha nuar tai 10 char tin dung do Nha ntrov nám gift 100% von clieu le vi, to char tin clung có von Nha mak;

Can ca. Thong ttr sa 16/2018/TT-BTC ngay 07/02/2018 va htrang drin mOt s a chin' ye cha dO tai chinh dal vai ra char tin clang, chi nhcinh ngon hang ntrac ngoaL

Can ca BO° cao tai chinh hop nhat nam 2018 caa Ngan hang TMCP Klan Long del Apr kiam loan dOc lap bai (Tong ty.TNHH KPMG Vi0 Nam,

Hai clang quail tri Ngan hang TMCP'Kien Long kinh trinh Dai hat clang ca dong thuang nien nam 2019 thong qua Phuong an phan phoi Igi nhuon nam 2018, nhu sau:

Dan vi tinh: clan

Stt Chi tieu sii tien Ghi cho

I. Loi nhuan trutc thue 290.081.156.650

2 Thud thu nha'p doanh nghiep 58.192.684.653

Loi nhua'n sau thud 231.888.471.997 (1) - (2)

Trich 14p cac guy 60.749.421.997 (a)+(b)+(c)

a. QaP dg Vif bo sung van diau M 11.594.423.600 (3) x 5%

h. Quji da plaing tai chinh 23.188.847.200 (3) x 10%

c. Qui) khac 25.966.151.197 (3) x 11,20%

Lcli nhtfan con lai sau khi trich cac quy 171.139.050.000 (3) -(4)

Loi nhtfan con lai aim cac nam trutc 88.860.950.000

Ven dieu q (Tr& cei phieu quy) 3.198.957.960.000

8 Chia du tot nam 2018 -

9. IA;li nhua'n con lai lay ke 260.000.000.000 (5) + (6)

Sau khi trich cac quytü Igi nhuan sau thua nam 2018 theo quy dinh, lai nhuan Ngan hang TMCP Ki'en Long can 171.139.050.000 clang ,(Mat tram bay muoi mat tY mat tram ha muoi chin triau khang tram nam muoi ngan dons), so Lai nhuan c6n lai caa cac nam trate la 88.860.950.000 clang (Tam ritual tam ty tam tram sau muai trieu chin

Trang 1/2

91 BONG QUAN TRI CHU TICH 0018770

.6! t. MOAN HANG Co' THUONG tql

ccl P wrogIal KlmN

- Nhu tren; - Luu VP. FIDQT.

tram nam muoi ngan ding), Ving se) lgi nhuan cOn lai lay ke la 260.000.000.000 dog (Hai tram sau muoi thing).

Tuy nhien, nhamtiO sung nguem von nj co, nang cao Mang lgc tai chinh, Man thn giOi han ye an toan von theo quy dinh‘caa Ngan hang Nha nuerc va dap (mg nhu cau pith trien giai doan 2016 — 2020, Wei &Mg quail tri de xuat khong thgc hien chia co tirc nam 2018.

Kinh trinh Dal hei dOng cO thing xem xet, quyet dinh.

Tran trgng! FA/

Le Khic Gia Bao

Trang 2/2

T. NaAti h il THUTING M31

C6 PHA.N KIEN L.

BONG QUAN TR1 T1CH

1. Le Khic Gia Bac,

NGAN HANG TMCP ONG HOA XA 1101 CHIJ NGHIA VI :ET NAM K1EN LONG Dc Ifip — Ty do — HAnh phtic

SA: 23/TTr-HDQT Rgch Gia, ngay 12 tiding 4 nom 2019

TO TRiNll Dig HQ! BONG CO BONG THIAING MEN NAM 2019

Ve viec chi tra thu lao 110i‘dtmg quail tri, Ban Kim sofit nfim 2018 va de xufit thu lao 110i dong quail tri, Ban Kiem sofit nam 2019

Kinh Dai hoi diing Co /long

Can ca Luat Doanh nghiep so' 68/2014/QH13 ngay 26/11/2014 va cac van ban Mitring dan thi hanh;

- Can ca Lu6t Ciac tá chat tin clung (Lu6t Cac TCTD) nam 2010 va Ludt Saa (Lai, bO sung mat so clieu La Ludt Cdc TCTD nam 2017;

Can ca. Dieu le Ngcln hang TMCP Kien Long,

Hi dOng quail tri Ngfin hang TMCP Kien Long kinh trinh Dal hi dAng c6 (long th6ng qua viec chi tra thit .lao Hi dong quart tri (HDQT), Ban Kiem soat (BKS) nam 2018 Aid de xuat thn lao HDQT, BKS nam 2019, nhu sau:

1. Chi tra thu lao HDQT vA BKS nam 2018:

Thu lao HDQT vã BKS nam 2018 (Tic thang 01 den thang 12 nam 2018) da clugc Dai hOi dAng cO (long thuang nien nam 2018 .phe duyet: 10.800.000.000 dong, tuang ducrng 900.000.000 dAng/thang.

Thg lao HDQT vã BKS thgc chi nam 2018: 9.580.714.153 dAng, Wong &rang 798.392.846 d6ng/thang.

Thit lao HDQT vã BKS nam 2018 con lai khong chi: 1.219.285.847 dAng.

2. De xuAt thñ lao vã thirerng cho HDQT \TA BKS nAm 2019:

De xuat tha lao cho HDQT va BKS nam 2019:

Thu lao cho HDQT va BKS nam 2019 (TU. thang 01 den thang 12 nam 2019): 10.800.000.000 &Ong, tucrng duang 900.000.000 d6ng/thang.

De xuat thuerng vugt Ice hoach hi nhuan cho HDQT va. BKS nam 2019:

Can dr vàok hoach lçi nhuan truerc thud nam 2019 duct Dai hi d6ng c6 'tong thong qua, neu visit ,ke hoach lgi nhuan thi mirc thuerng cho HDQT, BKS la 3% x (Lai nhuan truot thue thgc te - Lgi nhuan truck thue ke hoach).

Oy quyen cho Chia' tich HDQT:

Thgc hien viec chi tra thit lao, thuerng (nu c6) cho thanh vien HDQT va BKS trong nam 2019.

Kinh trinh Dai hi dAng c6 dong xem xet, guy& dinh.

Trfin

Noi nh4n: - Nhu uen; - Luu VP. HDQT.

NGAN HANG TMCP KIEN LONG

ONG HOA XA 119I CHIJ NGHIA VIP' NAM DOc lap — Tv do — Hanh 'Attic

SO: 24/TTr-HDQT Rych GM, ngoy 12 (hang 4 nelm 2019

'tO TRINH DAI MN BONG CO BONG THEYONG NIEN NAM 2019

vifc tly qiiyen cho mi 'rang quail tri quytt dinh Iva chat' cong ty kiem toan cho n'am tai chinh 2019

Kinh Hai hi dimg cO thing

- Can Cif Luat Doanh nghiep sa 68/2014/QH13 ngay 26/11/2014 va ccic van ban hgang dein (hi himh;

Can ca. Ludt Cac to char tin dung (Ludt Cac TCTD) nam 2010 va Ludt Saa deli, ba sung mdt so chez! caa Luat Cac TCTD nom 2017;

Can ca Thong ta sa 39/201 I/TT-NHNN ngay 15/12/2011 caa Ngon hang Nha mak Viet Nam ye viec Quy clinh ye kiem loan clac lap cloi voi to char tin dyng, chi nhonh ngcin hang nuar

Can ca Thong tic sá I55/2015/TT-BTC ngay 06/10/2015 caa BO Tôi chinh ye Hwang den cong ba thong tin ti-en thi truang chang khoon,

Theo quy dinh tai Khoan 8 Dieu 11, dm Thong tu SO 39/2011/TT-NHNN ngay 15/12/2011 ye dieu,kien doi vai to chat kiem toan dOc "Khong kiem loan ddc lap chinh ngiin hong, to char tin dung phi ngan hang, chi nhonh ngein hang nu& ngoai clo trong the," gian 05 nam lien tiep lien ke at-ac nam kiem toon".

Cong ty TNHH KPMG Viet Nam da thuc hien kiem toan Ngan hang TMCP Kien Long (Kienlongbank) trong 5 nam lien tue (tix nam 2013 den nam 2018). Do do, Kienlongbank phai lua.chon mOt to chi:re kiem toan dOc lap khac de kiem toan cho nam tai chinh 2019.

,Nham chit dOng lua chon Cong ty kiem toan ved the dieu kin hgp lY nhat, darn bao tin dO kiem toan bao cao tai‘ chinh dugc hodn tat kip thai, 140i dong quan tri Kienlongbank kinh trinh Di hOi (long co dong thuang nien nam ,2019 Oy quyen cho HOi clang quart tri quyet . dinh, chon mOt trong so the Cong ty kiem toan dugc Ngan hang Nha nude Via Nam va Uy ban Chung khoan Nha nude Via Nam chap thuan de soat 'cot bao cao tai chinh ban nien (06 thang), kiem toan bao cao tai chinh va hog dOng cita he thong kiem soat nOi b0 nam 2019 dm Kienlongbank va Ong ty TNHH MTV Quail 1 no va Khai tilde tai san — Kienlongbank, nhu sau:

Gong ty TNHH PwC Via Nam.

Cong ty TNHH DELOITTE Via Nam.

Gong ty TNHH ERNST & YOUNG Viet Nam.

Cong ty TNHH Kiem toan va Tu van A&C.

Cling ty TNHH Kiem toan CPA Viet Nam.

Trang 1/2 13157

'BONG QUAN TR! Hi] TICH L"\

Kinh trinh Dai hOi diing c6 'Jong xem xet, quyet dinh.

Tran . trcmg! {3-

A f/

A)10 :1 • 41

go" NGAN NANO *. THVONO MAP * cei PH 1,4,KIEN L

‘Vt‘ QM 1.4. Khic Gia Bac,

Noi nhlan: - Nhu tren; - Luu VP. FIDQT.

Trang 2/2

CQNG HOA XA HQ1 CHU NGH1A VIP' NAM Dc lap — Tv do — Hanh pink

. &itch Gia, ngay 12 thang 4 nom 2019

TO TRiNH BA! HQ! BONG CO BONG THVONG NIEN NAM 2019

ve AO Siva di, b6 sung Quy ch6 Ti ant va hog dOng cüa MN clang quan tri, Stia dôi, bo sung Quy the To chin ya hog &Ong dm Ban Kiem soat

Ngan hang TMCP Kien Long

Kinh giri: Dal MN dOng c6 dOng

Can ca. Ludt Doanh nghiOp s 68/2014/QH13 ngay 26/11/2014 va cac van ban &rang clan thi hanh;

Can ar Ludt Cac ta chtir tin dung (Ludt Cac TCTD) nam 2010 va Ludt Sim ddi, bó sung tn6t so di:Ou cita Ludt Cac TCTD nom 2017;

Can ca. Nghi dinh so 71/2017/ND-CP ngay 06/6/2017 cna Chinh pha lurdng den vO quail tri cong ty ap clang ddi vOl cong ty dgi chfing;

Can cite Thong ttr 95/20I7/TT-BTC ngay 22/9/2017 cita B6 Tai chinh &rang den m6t so diL caa Nghi dinh sO 7I/2017/ND-CP ngay 06/6/2017 hwang den lid quan tri cong ty Op dung doi veri ding ty ddi cluing;

- Can a? Diu l Ngan hang TMCP Kien Long,

, 110i dOng quail tri Ngan hang TMCP Kien Long (Kienlongbank) kinh trinh Dai hOi d8ng c8 dons thuang nien Kienlongbank nam 2019 th6ng qua viec Sim doi, bo sung Quy che To chirc va hoat dOng cUa HOi 'Song quail tri va sCra doi, be) sung Quy che To chirc va hoat dOng caa Ban Kiem soat Kienlongbank, nhu sau:

1. Myc dich ya ban hanh:

Quy che TO chirc va hoat Ong cüa Hi clang quail tri, Quy che TO chat va hoat &Ong dm Ban Mem soat hien hanh cüa Kienlongbank dirge xay clung va ban hanh tren co so' quy dinh càa Lust Doanh nghiep nam 2005, LuSt Cac TCTD nam 2010 va mOt so van ban guy pham phap luat lien quap.

Tuy nhien;. den thai diem hien tai mOt so quy dinh cüa Quy che T6 chirc \id hoat dOng cda 110i dong quail tri, Quy phe TO chat va Float dOng dm Ban Kiem soat Kienlongbank da khong cOn-pha bap vai thvc te quan tri tai Kienlongbank \fa cac van ban quy pham phap luat niài dirge ban hanh, cu the nhu:

- BO luSt Dan sv s6 91/2015/Q1-113 dugc Quac hOi ntrac COng hôa XHCN Viet Nam thong qua ngdy 24/11/2015;

Lust Doanh nghiep so 68/201.4/QH13.. dugc Quac hOi nu& COng h6a XHCN Viet Nam thong qua ngay 26/11/2014;

Luat Cac TCTD s6 47/2010/QH12 dugc QuOc hi nu& COng h6a XHCN Viet Nam thong qua ngay 16/06/2010;

- Lust sira dal, b0 sung Luat Cac TCTD s6 17/2017/QH14 ve viec sCra d6i, 1)6 sung LuSt. cac TCTD nam 2010 dugc Quoc hOi nuac COng h6a XHCN Viet Nam thong qua ngdy 20/11/2017;

gis7 Trang 1/2

NGAN HANG TMCP KILN LONG

S6: 25/TTr-HDQT

91 BONG QUAN TRI TICH ,47

10

r

NGAN HANG THU'ONO M411

C6 pa KIN

- Nghi dinh s6 71/2017/ND-CP, ngdy 06/6/2017 cila Chinh phü hueng dAn ve quan trj ding ty ap dung doi voi cong ty dai cluing;

Thong tu 95/2017/TT-BTC ngay 22/9/2017 dm BO Tai chinh hueng (an inOt so dial cfla Nghi dinh so 71/2017/ND-CP ngay 06/6/2017 huerng dan ye quan tri ding ty ap dung doi vOl cong ty dai chang;

- Thong tu s6 155/2015/IT-BTC ngay 06/10/2015 ell a 110 Tai chinh huOng d'an cong bo thong tin tren thi truerng chirng khodn;

- Th6ng tu s6 13/2018/TT-NHNN ngay 18/5/2018 dm Thong d6c Ngan hang Nha mac Quy dinh ye he thong kiem soat nth 130 caa ngan hang thucrng mai, chi nhanh ngan hang nuerc ngodi va Thong tu s6 40/2018/TT7NHNN ngay 28/12/2018 ca Thong doc Ngan hang Nha nuac saa dôi, bo,sung inOt s6 diêu oh Thong tu so 13/2018/TI-Nil-INN ngay 18/5/2018 dm Thong doe Ngan hang Nha nude Quy dinh ye he thong kiem soat nOt b0 ctia ngan hang thuang mai, chi nhanh ngan hang nuec ngoai;

- MOt s6 van ban phap luAt khdc có lien quan.

2. Nil dung a nghi sfra IA sung:

HOi clOng quail tri Kienlongbank kinh trinh Dal hOi clOng c6 dong thuang nien Kienlongbank narm 2019 xem xet vã quyet dinh:

Thong qua nOi dung sira dth, bo sung Quy cher T6 chirc ya:hoat dOng cüa Hth deng quail tri Ngan hang TMCP Kien Long (theo chf• thew clinh kern).

Thong qua nth dung siTa d6i, be. sung Quy che T6 chat \fa hoat 'long cila Ban Kiem soat Ngan hang TMCP Kien Long (theo dy• thew clinh kern).

Oy quyen cho Bei &mg quail tri, Ban Kiem soat tier) thu, hoan thin Quy che TO chat ya hoat dOng cüa HOi dong quail tri, Quy che TO chirc va,hoat dOng cüa Ban Kiem soat phit hem huerng dan cüa co quan Nha nuere cO tham quyen (neu co), 1(1 ban hanh \fa cong bo thong tin theo dung quy dinh cüa phap luat.

Kinh trinh Dai hOi ding ce dong xem xet, quyet dinh.

Iran trong!stv

Nol nh4n: - Nhu tren; - Luu VP. HDQT.

1.04 Le Khac Gia Bao

rker

Trang 2/2

e KhAc Gia Bao

NGAN HANG THLAING teup

c6PHEN Kit N

BONG QUAN TR! IHU TICH

NGAN HANG TMCP KIEN LONG

CQNG HOA XA HQ! CHU NGHIA VIFF NAM DO rap — Tv do — Hanh ph&

26/TTr-HDQT Rgch Gia, ngay 12 (hang 4 nom 2019

TO TRiNH BA! HO! BONG CO BONG THUONG NIEN NAM 2019

Ye vi'ec mien nhiem chile danh thanh viên 110i dtmg quail tri nhi'em lijf 2018 — 2022

Kinh girl: Dai hi dong co dong

- Can cer Luat Doanh nghiep sá 68/2014/QH13 ngdy 26/11/2014 va cac van ban Inrang thin thi hanh;

- Can cer Ludt Cric to char tin dung (Ludt Cac TCTD) nom 2010 viz Luat Sera cl di, bo sung mOt so cheu La Ludt Ccic TCTD nom 2017;

Can ctr Diu le Ngan hang TMCP Kien Long;

Can cu • Nghl quyet Dal hOi (long co do/1g thtrang Men so 24/NQ-DHDCD ngay 26/4/2018 va viec bau Hai clang quint' tri Kienlongbank nhiem kji 2018 — 2022;

Can cn. Dan xin ter nhiem chnr danh thanh vien HOi (long quan trj Ngan hang TMCP Kien Long cna Ong Bite Thanh Hai ngay 01/10/2018;

Can cer Nghl guy& sá 17/NQ-HDQT ngay 04/4/2019 cna Hai cl'ong quell? tri Ng& hang TMCP Keen Long,

HOi dong quart tri Ngan hang TMCP Kien Long (Kienlongbank) kinh trinh Dai hOi clang co thing thuang nien nam 2019 thong qua viec mien nhiem chat danh thanh vien HDQT nhiemk572018 —2022, nhtr sau:

- Mien nhiem elide ,danh thanh vien Hi dOng quail tri Kienlongbank dOi voi Ong Bbi Thanh Hai ke tir thai diem duvc Di hOi Eng co &mg thuang nien Kienlongbank nam 2019 thong nhat th8ng qua.

Kinh trinh Dai hOi &mg co (long xem xet, guy& dinh.

Tran trong!pv

Nal nh4n: Nhu tren; Luu VP. HDQT.

BONG QUAN TRE 11 .1.1 TECH

Le Khac Gia Sao

NGAN HANG TMCP CONG Hem XA HOI CHIJ NGHIA WET NAM KIEN LONG •D8c. lap 7" Ty' do — Hanh ph&

S6: 27/TTr-HDQT Rgch Gia, ngay 12 tilting 4 nam 2019

TO TRINH BA! HOI BONG CO BONG THIXONG NIEN,NAM 2019

Ve viec fly quyen cho &mg quail tri quyet dinh mOt so van de' thu8c quyen hn cua Elai h8i (long c8 (long

Kinh gill: Dai hi deng c6 thing

Can ca. Luat Doanh nghiep so' 68/2014/QH13 ngay 26/11/2014 vet cac van ban huang den thi hanh;

Can cfr Luat Cetc to chew tin dyng (Luat Cac TCTD) nam 2010 vet Luat Sera cloi bo sung mat so (lieu cika Luat Coc TCTD neim 2017;

Can ca. Dieu le Ngcin hang TMCP Kien Long,

Hei ,dOng quan trj Ngan hang TMCP Kien Long (Kienlongbank) kinh trinh Dai hi dong c6 dong thuemg nien nam 2019 thong qua viec fly quyen cho HOi dong quail tri quyet dinh mOt so van de thuOc quy'en han cUa Dai hOi dong co dong, nhu sau:

Ni dung üy quyen:

De ding tac quan trj, dieu hanh, kiem soat Ngan hang dirge thuc hien lien tuc, kip tiled va hieu qua, HOi dong quan tri kinh trinh Dai hei Tong co dong thuang Men nam 2019 fly quyen cho HOi &Mg quan tri guy& dinh met so van de thuOc quyen han càa Dai hei &mg co &mg, nhu sau:

, a. ty quyen cho HOi deng quan trj quyet dinh cac van de lien quan den co cAu to chIrc, be may quan lY dieu hanh Ngan hang TMCP Kien Long.

b. Can cü tinh hinh hoat dOng thuc t6 vã nett ducyc Ngan hang Nha nu& Viet Nam cho phep, uy quyen cho Hi dong quan trj &rot dieu chinh ke hoach kinh doanh nam 2019 nhung khong thap hcrn cac chi tieu ma Dai hi dong cO &Ong thutmg nien nam 2019 da thong qua.

Thol gian fly quyen:

Tit ngay Dai hei deng ce &mg thuOng nien nam 2019 thong qua den ngay t6 chat phien h9p Dai hoi dong co (long thuerng nien nam 2020.

Kinh trinh Dal hei dong c6 dong xem xet, quyet dinh.

Tran tr9ng! utv

Nal nh4n: - Mu tr'en; - Lau VP. HDQT.

HANG TMCP IEN LONG

CQNG HOA XA HQI CHIJNGHIA VIET NAM Dc Ip — Ty. do — Hynh phtic

/QD-HDQT Rgch Gia, nggy timing nom 2019

thdo QUYET DINH

Ban hanh Quy cht T6 chat NIA hoat clang cua Hai dang quail Ngfin,hang TMCP Kien Long

HO BONG QUAN TRJ NGAN HANG THUONG MI CO PHAN KIEN LONG

Can dr Luat Doanh nghiep se 68/2014/QH13 duce Quec hoi nude Ceng hoa xã hei cha nghia Viet Nam thong qua ngay 26/11/2014;

Can cir Lust Cac to chirc tin dung so 47/2010/QH12 ban hanh ngay 16/6/2010, Luat Sfra d6i, b6 sung mOt se dieu cüa Luat Cac to chi:re tin dung se 17/2017/QH14 ban hanh ngay 20/11/2017;

Can cit Dieu 1e Ngan hang TMCP Kien Long;

Can cir Nghi guy& cüa Dai hei diing c6 dong ngay thang nam 2019,

QUYET DINH:

Dieu 1. Ban hanh kern theo Quyet dinh nay "Quy cht To chtit vi hot Ong ciia Hai ding quail tri" Ngan hang TMCP Kien Long.

Di&I 2. Thanh vien HOi d8ng quan tri, Ban Tong Giam dc, cac PhOng, Ban 110i sey, cac Chi nhanh va PhOng Giao dich chiu trach nhiem thi hanh Quyet dinh nay.

Ditu 3. Quyet dinh nay có hieu luc thi hanh k tit ngay / /2019 vã thay the cho Quyet dinh s6 07/QD-HDQT ngay 15/4/2014 oh HOi dong quail tri Ngan hang TMCP Kien Long ve viec ban hanh Quy the T6 chirc va host dOng cfia HOi dong quan tr.

TM. HOI BONG QUAN TRI CHU TICH

Noi nh4n: - Ban Klein soat (bao do); - Nhu Dieu 2 (thvc hien); - Luu VP.HDQT

Le Khic Gia Bao

ViV

Quy ch Ta elide va haat dang HO clang quan tri

QUY CHE TO CHliC VA HOAT BONG CIJA HO BONG QUAN TRI NGAN HANG TMCP KIEN LONG

(Ban hi:111h kern theo Quyer t clinh s /QD-HDQT ngery thong neim 2019 cria 1107 tong quirn 01 Ng án hang TMCP Kien Long)

CIRIONG I QUY DINH CHUNG

Dieu 1. Doi tulyng di'eu chinh va pliant vi Ai) dung

, 1. Quy che nay quy dinh ve co eau t6 chirc, chirc nang, nhiem vçi, quyen hart, co che boat &ling va cac moi quan h cong tac cüa HOi &mg quan tri Ngan hang TMCP Kien Long.

2. Quy die nay dugc áp dung thong nhat tren toan N thong Ngan hang TMCP Kien Long.

Dieu 2. Dia vi pita') 1Y ctia HOi diong quail tri

, 1. HOi d6ng quan tri la co quan quail ly Ngan hang TMCP Kien Long, c6 day du guyen han de thgc hien quyen ,va nglica vu cUa Ngan hang TMCP Kien Long, trir nhang tham quyen thuOc ye Dai hOi dong c6 (long.

2. HOi ching quan tri do Dai hOi d6ng c6 thing bau, miJn nhiem, bai nhiem.

Dieu 3. Nguyen the hoat dOng cüa HOi ding quail tri

HOi (long quan tri hoat dOng theo nguyen tac tap the, phi hgp giUa Chit tich va cac thanh vien trong HOi d6ng quan tri. Cac thanh vien cüa HOi d6ng quan tri chiu trach nhiem tar& Dai hOi dong co (long và phap luat khi thkrc hien chirc nang, nhiem u, quyen han cna minh vi sg phat trien cüa Ngan hang TMCP Kien Long.

HOi dung quan tri boat dOng tren co sâ tuan tint cac quy dinh cüa Ngan hang TMCP Kien Long vã guy dinh cüa phap luat, dam bao boat Ong kinh doanh duce trien khai kip tiled, an toan, hieu qua..

Tny theo nOi dung dm cac cuOc hyp, Chti tich 1-10i ding quan tri c6 the mai cac thanh vien c6 lien quan tham du cuOc hop yeti HOi (long quan tn. Thanh vien Co lien quan tham dv cO quyen thao luan cac van de trong phien hop nhung khong dugc bieu quyet va phai chap hanh nhang quy dinh ve che do ban mat th6ng tin.

Van ban, nghi quyet/quyat dinh cOa HOi d6ng quail tri c6 tinh chat bat buOc thi hanlytrong toan he thong Kienlongbank.

Dieu 4. Giai thich tir nfl

Kienlongbank: LA Ngan hang TMCP Kien Long.

Lu'att Doanh nghi'ep:.La Luat Doanh nghiep s6 68/2014/QH13 duce Quoc hOi nuot COng hea xa hOi chit nghia Viet Nam thong qua ngay 26/11/2014 bao gôm van ban sna (led, bo sung, thay the Luat nay trong tang thai ky.

, 3. Luat Cac t chot tin dung: La Luat Cac tO chdc tin dung se 47/20,10/QH12 dugc Quoc,h0i nuOc CHXHC,N Viet Nam thong qua ngay 16/6/2010 va Luat situ doi, bo sung mn't

dieu Luat Cac to chac tin dung so 17/2017/QHI 4 dugc QuOc hOi nuarc CHXHCN Viet Nam thong qua ngay 20/11/2017 bao gOrn van ban sna doi, Ho sung, thay the Luat nay trong tnng thai kY.

‘,V Luu hanh nai b'a Trang U23 1/g

Quy cha TO chirc va haat Ong cia Hôi d6ng quail tri

Phil:1 .1114: La tat cã Luat, Phap lenh, Nghi dinh, Quyet dinh, Th6ng tu va che van ban quy pham pháp luat khac duce cac co quan Nha nu& Viet Nam ban hanh theo timg thai bao g6m cá cac van ban sira doi, bo sung, hoac thay the (neu c6).

Ngfin hang MA nut: La Ngan hang Nha nuerc Viet Nam.

Dai‘hOi dng c6 thing: La dai hOi deng cO dong cga Ngan hang TMCP Kien Long bao gOrn tat ca cac c6 thing c6 quyen bleu quyet.

C6 Mug: .La t6 chirc hoac cá nhan sor ,hau mOt hoac mOt sO c6 phan cua Ngan hang TMCP Kien Long \fa dang kY ten trong so clang ky co clang càa Ngan hang TMCP Kien Long.

, 8. Nguiri quail 1: G6m Chu tich 1-10i d6ng quan tri, thanh vien HOi d6ng quan tri; Tong Giam doc va cac chirc danh khac theo quy dinh tai Dieu le Kienlongbank.

9. Ngirel dieu hanh: La T6ng Giam dc, PhO Tong Giam doc, Ke toan truerng, Glenn dOc Chi nhanh va cac chile danh Wang duang khac do Hi d6ng quan tri quyet dinh.

10. Ban dieu hanh: La Tong Giam doc, cac Pith Tong Giam doe va KC toan truerng cga Ngan hang TMCP Kien Long dirge Hi d6ng.quan tri b6 nhiem. •

11. Nguti do lien quan: La th chirc, ca nhan c6 quan h trtrc tip hoac gian tie)) vol to chirc, ca nhan khac thu6c mOt trong cac twang hgp sau day:

Cong ty my vai ding ty con va. ngugc lai; TO chirc tin dgng vai cong ty con cga to chire tin dung va ngugc lai; Cac cong ty con cga ding inOt ding ty my hoac cga clang mOt t6 chitc tin dung vOi nhau; Ngueri quan 157, thanh vien Ban ,kiem sok cila cong ty my hoac dm to chire tin dung, ca. nhan hoac to chat c6 tham quyen bo nhiem nhang nguti nay vâi cong ty con va ngtrgc lai;

Cong ty hoac t6 eh& tin dung vai ngued quart ,ly, thanh vien Ban ki'em soat cOa cong ty hoac to chat tin dung (16 hoac vOi cong ty, to cluirc co tham quyen bo nhiem nhang nguai do vã ngugc lai;

Cong ty hoac t6 chirc tin clang vai t6 chirc, cá nhan ser Mu tir 5% (nam phAn tram) von dieu le hoac von co phan cO quyen bieu quyet trer len tai cong ty hoac to chirc tin dung dO va ngutc lai;

• Ca nhan vài vg, chong, cha, my, con, anh, chi, em cOa nguai nay;

Cong ty hoac t6 chirc tin dims vai cá nhan theo quy dinh tai diem (iv) khoan nay cita ngueri quan 157, thanh vien Ban Kiem,soat, thanh vien gop von hoac ,c6 dong ser Mu ttr 5% (nam, phan tram) von 'dieu 1 hoac von co phan c6 quyen !Dieu guy& Ira len ena cong ty hoac to chile tin dpng.do va ngugc lai;

Ca nhan dugc ay quyen clai din cho t6 chirc, ca. nhan quy dinh tai cac diem (i), (ii), (iii), (iv) va (v) khoan nay voi to chirc, ca nhan ày quyen; Cac cá nhan dugc gy quyen dai dien phan vOn g6p dm. cling mOt to chire vài nhau;

Phap nhan, cá nhan khac c6 mOi quan he tiem An rgi ro cho hog dOng cüa Kienlongbank clugc xac dinh theo quy dinh ngi bOcOa Kienlongbank hoac theo you cau bang van ban cila Ngan hang Nha nutc thong qua haat &ling thanh tra, giam sat doi voi timg twang hgp cv the.

12. SO' hut gian tip: La viec t6 chüc, ca nhan s& him von dieu,le, v6n c6 phan cita Kienlongbank thong qua ngueri ceo lien quan hoac thong qua tly thac dâu tu.

Lau hanh nai ba

Trang 2/24

Quy cIi TO chi:re \fa hog dOng cua I-10i clang quasi tri

, 13. Co (long Ion: La co &Ong ser hilq truc. tiep hoac gian tiep tir 5% (nam phan tram) von co phan c6 quyen Neu quyet tra laCifeKienlongbank.

14. Ciing ty con cfia Kienlongbank: La cong ty thuec met trong cac tru6ng hop sau:

Kienlongbank hoac Kienlorigbank vã ngueri c6 lien quan cüa Kienlongbank sâ him tren 50% (nammuai phan, tram) von dieu le hoac tren 50% (nam mucri phan tram) von co phan co quyen bieu quyet;

Kienlongbank ce, quyen true tip hoac gian 7tiep 136 nhiem da sO hoac tat ca thanh vien Hi 'long quan tri, 140i (tong thanh vien hoac T6ng giam doe (Giam doe) dm &Ong ty con;

Kienlongbank co quyen situ dei, b6 sung dieu l cüa c6ng ty con;

7 (iv) Kienlongbank va ngtrai c6 lien, quan cüa Kienlongbank tivc tiep hoac gian tiep kiem soat viec thong qua nghi quyet, quyet dinh cCia Dai hi (tong co (long, Hi dong quail tri, HOi (long thanh vien cha &mg ty con.

15. Cling ty lien ket cüa Kienlongbank: Là ding ty trong dO Kienlongbank hoac Kienlongbank va ngueri c6 lien quan cua Kienlongbank sa him tren 11% (mueri mOt phan tram) von dieu le hoac trait 11% (mixed met phan tram) von co phan c6 quyen Hen quyet, nhung khong phai ding ty con dm Kienlongbank.

16. Gong ty Iciem sok: La cong ty dang sa him true tiep7 hoac gian tiep tren 20% (hai muai phan tram) von dieu le hoac von co phan c6 quyen Neu quyet hoac nam quyen kiem soat cüa Kienlongbank.

17. Dan vi trtyc thut) c: La cac don vi hach toan phv thuec Kienlongbank, bao Chi nhanh, Ph6ng giao dich, Van phOng dal din va cac Trung tam khac.

18: Dieu le Kienlongbank: La Dieu le Kienlongbank bao gm cac ban sira dei, 1,6 sung Dieu le.

19. Cac thuat ngcr khac sir dung trong Quy che nay co nghia nhu trong Dieu le Kienlongbank.

CHVONG II Co CAU, TO CHGC CiJA HQI BONG QUAN

Dieu 5. Thinh plan Nth nhiem dang plan tri

Si lugng thanh vien 1-10i deng quan tri khong it hcrn 05 (nam) thanh vien va khong qua 11 (mu6i mOt) thanh vien, trong do c6 it nhat 01 (mOt) thanh vien dOc lap. Nhiem kY etia HOi &mg quan tri khong qua7nam 05 (nam) nam. Nhiem k3t 7cha thanh vien 140i &Ong quart tri theo nhiem ky cita 71-10i &mg quail tri. Thanh viên HOi (long quail tri c6 the dugc bau hoac bo nhiem7 lai vai so nhiem khong han che. FlOi dong quan tri phai c6 It nhat 1/2 (melt phan hai) tong s8 thanh vien la thanh vien dOc lap va thanh vien khOng phai la ngueri dieu hanhtienlongbank.

Ca7 nhan va nguti co lien quan cfla ca nhan d6 hoac nhang ngtrai dal dien von Op cua mOt c6 &Ong la to elm:1.c va nguiri,c6 lien quan cCia nhang ngueri nay dugc tham gia I-10i dong quan tri, nhung khong dugc vucrt qua 1/3 (mOt .phan ba) t6ng so7thanh vien 140i Ong quart tri cOa Kienlongbank, trir truerng hop la ngtrai dAi din phan von g6p cOa Nha nu& (neu co).

Luu hanh nOi 130 Bev Trang 3/23

Quy ch6' T6 chirc ya hoat dOng cua H61 d6ng quail tri

Hi deng quan tri eOa nhiem vim k'et thirc tiep tic hog deng cho den khi Hei (long quail tri mei dugc bau va tiep quail ceng viec.

Trixeng hop s6 thanh vien Hei deng quan tri khong dit' 2/3 (hai phAn ba) teng se thanh vien eUa nhiem kY hoac khong du so thanh vien tOi thieu theo quy dinh tai Dieu le Kienlongbank thi trong theri han 60 (sau mucri) ngay, ké tir ngay khong chi so lugng thanh vien, Kienlongbank phai bo sung dO so lugng thanh vien Mei dong quart tn.

Trilling hop c6 thanh vien duce bau be sung hoac thay the thanh vien bi min nhiem, bai nhiem trong theri han nhiem ky thi nhiem cita thanh vien de la dial han con lai cOa nhiem ky Hi (long quail tri.

ThAnh vien Hi (long quail tri khong nhat thiet phai là co d8ng cOa Kienlongbank.

Viec be nhiem cac thanh vienHi deng quan tri phai dugc cong be thong tin theo cac quy dinh elm Quy che nay, Dieu le Kienlongbank va phap luat c6 lien quan.

Dieu 6. Tien chufin va dieu kin de duvc bfiu thanh vien Hi dong quan tn

1. Thanh vien Hi &mg quail tri phai co 40 cac tieu chuan, dieu kien sau day:

Khong thuec dei Wong quy dinh tai Dieu 7 Quy che nay;

CO dao dire nghe nghiep;

CO bang dai hoc tre len;

Co it nhat 03 (ha) nam là ngueri quan 15', ngtrai dieu hanh cOa te chIrc tin dung hoac ea it nhat 05 (nam) nam la nguai quan 15', dieu hanh ccia doanh nghiep hoat cleng trong nganh tai chinh,,ngan hang, ke toan, kiem toan hoac cOa doanh nghiep khac c6 von chit sit hau toi thieu bang mire von pita]) dinh doi veri loai hinh to chat tin dung hoac c6 it nhat 05 (nAm) nam lam viec true tiep tai be phan nghiep \Tv tai chinh, ngan hang, ke toan, kiem toan.

2. Thanh vien dc lap 1-18i dong quan tri phai co du cac lieu chuan, dieu kin quy dinh tai khoan 1 Dieu nay va cac lieu chuan, diéu kin sau day:

Khong phai la nguei clang lam viec cho Kienlongbank hoac cong ty con cda Kienlongbank hoac da lam vi'ec cho Kienlongbank hoac cong ty con dm Kienlongbank trong 03 (ha) nam lien ke tarot de;

Khong phai, la ngtrei hueng liscrng,‘thir lao thuang xuyen cOa Kienlongbank ngoai nhang khoiln php cap dm thAnh vien Hi (long quan tri duet htremg theo quy dinh;

Khong phai là ngueri c6 vg, cheng, cha, me, con, anh, chi, em vA vo, chong elm

nfiling ngtrai nay IA co d8ng ltn cua Kienlongbank, ngtrai quart ly hoac thanh vien Ban Kim soat cUa Kienlongbank hoac c6ng ty con ctla Kienlongbank;

d: Kitting true tip, gian tiep sit hau hoac dal din sit him tit 1% (met phan tram) vOn dieu le hoac von co phan c6 quyen bieu quyet trer len caa Kienlongbank, khong cling ngueri cO,lien quan se Mu tit 5% (nam phan tram) von dieu le hoac von co phan co quyen bieu quyet frt len elm Kienlongbank;

Kh6ng phai IA ngtrei quan ly, thanh,vien Ban Kim Kohl cilia Kienlongbank tai bAt kST thai diem nao trong 05 (nam) nam lien ke truac d6.

Dieu 7. Nh&ng truirng hiyp khong duvc dam nhiem chirc vu thanh vier' Hi clang quail tri

1. Ngueri chua thanh nien, nguei bi han the hoac bi mAt nang lye hanh vi dan str;

1_,Lru hanh nOi b6 itopvi Trang 4/24

Quy eh O TO °hue ya boat dOng efia .HOi dang quart tr.!

2. Nguai dang bi truy cfru trach hhierrijiinh sg, dang chap hanh ban an, quyet dinh ve hinh sg dia Toa an;

, 3. Nguai dal bi ket an ve cac tei xam pham an ninh quoc gia; ngirgi da timg bi ket an ve cac tOi tin ti pham nghiem trgng tra. len;

4. Ngtrai dä bi ket an veti xam pham so. Mu;

S. Can b0,, ding chirc, ngtrai quan 19 tin cap phong tit len trong cac doanh nghiep ma Nha ntrot nam tin 50% (nam much phan tram) von dieu le tit len, trir ngtiti dirge dr lam dai din quan 19 phan von gOp cüa Nha mrot tai Kienlongbank;

sy quan, ha sy quan, quan nhan chuyen nghiep, c6ng nhan quoc ph6ng trong cac ca quan, don vi thuec Quan dOi nhan clan Viet Nam; sy quan, ha sy quan chuyen nghiep trong cdc co quan, don vi thuOc Cong an nhan dan Via Nam, tmt. ngued dirge dr lam dai din quan 19 phan von gOp cüa Nha nude tai Kienlongbank;

Nguti thuOc d& tugng kh8ng dugc tham gia quan 19, dieu hanh theo quy dinh cüa phap luat ye can be, ding chide va phap luat ye phOng, cluing tham nhang;

Ngtrai da tirng la chh doanh nghiep tu nhan, thanh vi'en hgp danh cha cong ty hap danh, T8ng Giam doc (Giam doe), thanh vien HOi dong quail tri, thanh vien HOi &mg thanh vien, thanh vien Ban Kiem soat cha doanh nghiep, Cho nhiem va the thanh vien Ban quan tri hap tac xa tai theri diem doanh nghiep, hgp tac )(a bi, tuyen 136 pha san, frit truang hgp doanh nghiep, hgp tac )(a bi tuyen 136 pha san vi 19 do bat kha khang;

Nguai dai din theo phaplut ctla doanh nghiep tai tiled diem doanh nghiep bi dinh chi hoat deng, bi bugc giai the do vi pham phap luat nghiem,trgng,, trix twang hgp la dai dien theo de nghi dm co quan nha mint c6 tham quyen nham chan chinh, ding co doanh nghiep do;

, 10. Ngued da timg bi dinh, chi chine danh Cho tich Hi dOng,quan tri, thanh vien Hi dong quan tri, Chü tich HOi Wing thanh vien,, thanh viên HOi (long thanh viên, Truerng Ban Kim sok, thanh vien Ban Kiem soat, T6ng Giam doe (Giam doe) dm to chgc tin dung theo quy dinh eña Luat Cac to chine tin dung hoc bi ca quan , c6 tham quyen xac dinh ngued do co vi pham an den viec to chirc tin dung bi thu hoi Giay phep thanh lap va boat (long;

Ngtrai phai chiu trach nhiem theo ket luan thanh tra dAn den viec Kienlongbank bi )(ft phat vi pham hanh chinh trong linh vgc tien t va ngan hang a khung phat mien cao nhat doi ved hanh vi vi pham quy dinh ve giay phop, ,quan tri, dieu hanh, c6 phan, co phieu, gap ven, mua co phan, cap tin dung, mua trai phieu doanh nghiep, t9 l bao,dam an toan theo quy dinh cüa phap luat ve xtr 19 vi pham hanh chinh trong linh vgc tien t va ngan hang;

Cac twang hgp khac theo quy dinh oh Dieu le Kiehlongbank va phap luat trong timg then kY.

Dieu 8. Nhimg truing hçp killing ding dam nhqm chat vii' 11(ii dtmg quãn tri

1. Chfi tich HOi 'Jong quan tri Kienlongbank khong dugc dong tiled la ngtrai dieu hanh ala Kienlongbank va t6 chine tin dung khac.

Ltru haat nOi bo

Trang 5/23

Quy 6110 T6 °bac va hoat d6ng cüa HOi d6ng quan trj

, 2. Chil tich 146i clang guan trj •Kienlongbank khong dugc &mg theri IA Chit tichOi (long guan trj, thanh vien HOi clang quan trj. ChO tich Cong ty, T6ng Giam cloc (Giam d6c), PhO Tong Giam doe (Pho giant cloc) hoe cac chic dart tuang cluing cOa doanh nghiep khac.

Thant' ,vien HOi (long quan trj Kienlongbank khong dugc (long thai nguoi guan cua to chirc tin thing khac, trir truing hgp tO cline nay la cong ty con ciia Kienlongbank hoc la thanh vien Ban Kiem soat dm to chi:re tin (long khac.

Thanh vien HOi clOng (plan trj Kienlongbank khong dugc clang thoi IA thanh vien Ban Mem soat cita Kienlongbank.

Ditu 9. Difung nhien mAt Dr each thanh vien HAi dAng plan trj

1. Coe truing hgp cluing nhien mAt tu each thanh vien HOi clang guan trj:

MAt nang luc hanh vi dan sir, chet;

Vi pham cac guy djnh tai Dieu 7 Quy che nay ve nhang truerng. hgp kh8ng dugc dam nhiem chirc vu thanh vien Hei (long guan trj;

LA nguii dai din phAn v6n gOp ella mOt t6 chic IA e6 &Ong hoac thanh vien gop von cda to chirc tin dung khac khi to chirc dO bj cham dirt tu each phap nhan;

Khong cOn là nguti clai din phAn v8n g6p theo ity guyen ella ea dong IA ta chic;

d. Bi trpc xuat khoi lanh th6 nu& COng boa xa hi chit nghia Viet Nam;

Khi Kienlongbank bi thu hi Giay phep hoac bi chAm dirt tu each phap nhan.

2. HOi clang quart trj Kienlongbank phai c6 van ban bao ea° kern tai lieu chi:mg minh ye vice cac d8i arcing cluing nhien mat tu each theo guy djnh tai khoan 1 Dieu nay giri Ngan hang NU nixie trong thii hp 05 (nam) ngay lam viec, ke tir ngAy xac djnh dugc doi tugng tren cluing nhi'en mat tu each Aid chju trach nhiem ve tinh chinh xac, trung thuc ella bao can nay; thuc hien cac tha We bau, bo sung thanh vien bi khuyet theo guy djnh ciia phap luat co lien guan va theo Di'eu le cita Kienlongbank.

3. Sau khi ducrng nhien mat tu each, thanh vien HOi clang quail trj van phai chju trach nhiem ve cac guyet djnh cit' a minh trong thii gian cluing nhiem.

Ditu 10. Mien nhiem, bAi nhiem thanh vien HOi dAng quail tri

1. Chit tjch, thanh vien Hai d8ng guan trj bi min nhiem, bai nhiem trong cac truing hgp sau:

Bj han eh e nang bye hanh. vi dfin str;

CO don xin ti chic gun HOi clang guan trj;

Khong tham gia cac hoat dOng ella HOi 'Jong quan trj trong 06 (sau) thang lien tpc, trir truing hgp bAt kha khang;

Khong dam bao tieu chuan, dieu kin theo guy djnh tai Dieu 6 Quy cite nay;

d. Thanh vien doe lap HOi clang quart trj khong darn bao yeu cAu ye tinh dee lop;

Cac truing hap Ude do DO hOi clang c6 dong guy& djnh hoc guy djnh trong Dieu le Kienlongbank.

2. Sau khi bi mien nhiem, bai nhiem, Chit tich, thanh vien HOi clang quail tri vAn phai chju trach nhiem ve cac guyet dinh ella minh trong thii gian cluing nhiem.

Luu hanh n6i b0 Big,/ Trang 6/24

Quy the' Ta chirc va boat Ong cua 1-101 dAng quan tri

Trong th6i hp 10 (mixed) ngaY Jant • Vi'ec, ke tir ngdy thong qua quyet dinh mien nhiem, bai nhiem dôi vài cac doi tuoiiefileO'quy dinh tai khoan 1 Dieu nay, HOi thing quan tri phai c6 van ban kern tai lieu lien quan bao cao Ngan hang Nha nude và thuc hien ding bo thong tin theo quy dinh cña phap luat.

Dieu 11. Thay the thanh vien Hi deng gnat' tri

Trong th6i han Vol da 15 (mtrai lam) ngay lam viec k tir ngay Chi) tich 140i (long quail tri bi throng nhien mat tu each thanh vien,HO &Ong quan tri, cac thanh vien Hi dong quan tri c6 trach nhiem to chirc hop HOi (long quan tri de bau mOt thanh vien lam Chit tich HOi dong quan tri.

, • Trong thai han Mi da 60 (sau muoi) ngdy ke lit ngay nhan don xin tn. ,chirc cUa

Chit' tich HOi !long quan tri, HOi dong quart tri phai to chirc hop de xem xet quyet (filth Ira tien hanh cac thit tnc mien nhiem.

Truang hop Chit tich HOi deng quan tri tir chirc hoac bi bai nhiem, HOi deng (pan. tri phai bau nguti thay the trong thai flan 10 (mtrai) ngay.

Truerng hop ChU tich Hi deng quail tri yang mat thi fry quyen bAng van ban cho mOt thanh vien khac de dux hien cac quyen Ira nhiem Iry cilia Chit tich HOi (long quan tri theo quy dinh. Truerng hop Chit tich HOi dong quail tri yang mat ma khong c6 ngtx6i dirge uy quyen hoac ChU tich H6i thing quan tri khong lam viec dugc thi cac thanh vien con lai bau mOt nguai trong sO cac thanh vien tam tiled gift chirc Chili tich H6i dong quan tri theo nguyen tac da so qua ban.

, 5. DO vai cac twang hop mren nhiem, bai nhiem thanh vien H6i dong quan tri, HOi dong quan tri co the , to chat hop Dai hOi (long cô dong bat thuang hoac trinh Dal hOi dong co 'long gân nhat quyet dinh.

6. HOi d6ng quart tri tri'eu tap hop Dal hOi (tong c6 dong d bait b6 sung thanh vien Hoi &Ong quart tri trong thai Ilan 60 (sau intro) ngay, ke tir ngay kh8ng darn bao so lucrng thanh vien HDQT thu6c cac truang hop sau day:

SO thanh vien HOi deng quan tri kh8ng dit 2/3 (hai phan ba) teng só thanh, vien cilia nhiem k hoac kh8ng at so thanh vien t6i thieu theo quy dinh tai Dieu le' Kienlongbank.

SO lugng thanh vien dOc lap HOi deng quan tri khong bao dam tY l theo quy dinh tai Dieu le Kienlongbank va phap luat c6 lien quan hien hanh.

7. Ngueri dirge bau gift chirc Chit tich vã thanh vien HOi deng quan tri cep trach nhiem tiep ,nhan va dam nhiem ngay cong viec cilia chirc danh dirge bau. Chit tich, thanh vien HOi d8ng quan tri hi mien nhiem, bai nhiem co•trach nhiem ban giao c6ng viec cho Chit tich, thanh vien H6i (long quan tri med dugc bau xir IY.

Diu 12. Thu lao, teen .thireng cüa thAnh vien Hi diing quail till

Thanh vien HOi dOng quan tri throe than thit lao ding viec dinh kY hang thang vá tin thuong theo ket qua, hieu qua kinh doanh cilia Kienlongbank.

Hot deng quantri du tinh mire thir lao cho Urng thanh vien HOi &mg quan tri theo nguyen the nhat tn. Tong mire tha lao cilia HOi &rig quail tri do Dai hOi (long c6 'long quyet dinh tai cac cu6c hop thuOng nien.

Lru hanh nai 1)0 FAV

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Quy eh T6 chirc ya hog dOng cUa HOi Mug quail tri

Ngoai tien thit lao, tien thithng noi tren, thanh vien Hi Ong quail tri c6 quyen large thanh toan cac chi phi an, â,.di lai va chi phi hop ly khde ma ho chi tra khi dive hien nhiem Nig dugc giao.

Thu lao cita thanh vien HOi dong quail trj dugc tinh vao chi phi kinh doanh efia Kienlongbank theo quy dinh ella phap luat ve thue thuihap doanh nghiep; phap luat c6 lien quan \fa phai dugc the hien thanh intic rieng trong bao cao tai chinh hang nam ella Kienlongbank, phai bao eao Dai 110i &mg co Tong tai cuec hçp thuang nien.

Thanh vien HOi &mg quart tri nam gift chat va dieu hanh hoc thanh vién HO thing (man tri lam viec tai cac ty ban/WI (long ciia HO &mg quart tri hoe that hien nhang c6ng viec khac ma theo HOi &mg pan tri là nam ngoai pham vi nhiem va thong thuerng ella mOt thanh vien HOi (long quail tri, c6 the dirge tra them tien thu lao clued clang mOt khoan lien cong tr9n gói theo timg Ian, luong, hoa hong, phan tram 10 nhuan hoc dueri hinh tilde khac theo quyet dinh ella HOi thing quan tri.

Dieu 13. Co cu Hi ding quan tri

1. HOi clang quan tri gm c6: cha tich, cac PhO chit tich, cac thanh thanh vien, Van phOng HOi 'long quan tri vá cac fJy ban/HOi dong true thu0c, g6m:

ty ban Quart 11 rh ro;

ty ban Nhan ski.;

Cae ty ban/H0i d6ng true thuec tham muu, giim viec cho Hei d6ng quart tri thgc hien met so nhiem vg, quyen han ella HOi (long quan tri khi dugc lly quyen.

2. Ngoai ‘cac ty ban/H0i, ding noi,tren Hi d6ng quan tri c6 the thanh,lap them cac fly ban/ HOi &mg khac neu thay can thiet de' tham muu/ giCip vice cho Hoi.dong quan

3.,Cac, ty ban/HOi clang true thuOc HOi d6ng quan tri c6 chCre nang giim viec, tham muu, de xuat HOi (long quan tri thuc hien cac mac tieu, chien luge, ke hoach, nghi quyet do I-16i dong quan tri ban hanh.

Co eau t6 chirc, chire nang, nhiem vu, quyen han va co eh e hoat ,dOng ella tirng ty ban/Hi dong true thuOc 140i Ong quail tri do H0i ,dong quan tri quyet dinh tai Quy che TO chirc \fa hoat dOng ella timg ty ban/Hi 'long, phi' hok veri quy dinh ella Kienlongbank va quy dinh dha phap lust.

Van phOng Hi d6ng quan tri

Van phong Hi thing quart tri IA co quan giap viec, this ky cho HOi (long quan tri vA cac ty ban/ HOi demg true thuec Hi thing quart tri.

, Co eau tochUc, chirc nang, ,nhiem vv, quyen,han va co che boat deng dm Van

phOng HOi thing quart tri do Hi dong quan tri quyet dinh phit hgp vai quy dinh cua Kienlongbank va quy dinh ciia. Phap lust.

Van ph6ng HOi dong quart tri c6 trach nhiem bao mat thong tin theo quy dinh ella Kienlongbank vá quy dinh ella Phap !Wt.

Dieu 14. Chip thuin danh sach dior ki'en nhitng nguiri dully ban lam thank vien Hi demg qua!' tri

Lau hanh nOi bo

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Quy ch6 T6 chirc ya hoar dOng d6ng quan trj

I. Danh sach dij kien nhang ngtrai ,duct bau lam thanh vien HOi dong quan trj Kienlongbank phai dugc Ngan hang Nha'ititikthap thuan bang van ban truot khi bau cac chi:re danh nay. Nhung ngtrai dugc bau lam thanh vien HOi clang quan trj Kienlongbank phai thuOc danh sach da dugc Ngan hang Nha nuerc chap thuan.

Thu tpc, hO so chap thuan danh sach du kin bAu, b6 nhiem thanh vien HOi dOng qua tri phai tuan theo quy dinh cüa Ngan hang Nha nuot tai theri diem bau, bo nhiem.

Kienlongbank phai thong bao va gin bao cao danh sach nhiring ngtrai duct bau thanh vien HOi dOng quart trj ctio Ngan hang Nha nutc, Oy ban Chung khoan Nha nuac, SO Giao dich Chung khoan Ha NOi theo thing quy djnh cita phdp luat trong timg Uteri Ity.

CHUONG III NHIVM VIJ VA QUYEN HAN ClJA HQI BONG QUAN TRj

Dieu 15. Nhiem sin vã quyen hn cfia Hi deng quãn trj

I. Hog &Ong kinh doanh va cac cong viec cña Kienlongbank phai chiu,su giam sat va chi, dao cüa HOi dong quan tn. HOi dong quan tri la co quan quan trj co day du quyen han de thtrc hien tat cá cac quyen nhan danh Kienlongbank, tit nhang van de thuOc tham quyen cüa Dai hi dong co (tong.

HOi 'Song quan trj c6 trach nhiem giam sat Tong Giam doc va cac can b0 quan ly khac.

HOi deng quart trj c6 nhung quyen han và nhiem \fp sau:

a. Chju trach nhiem trien khai viec thanh lap, khai twang hoat dOng cüa Kienlongbank sau cuOc hcp Dai hi clang c8 dOng dau tien;

, b. Chili trach nhiem fru& Dai hOi deng c (long trong viec thtrc hien nhiem \Ty, quyen han dugc giao;

Trinhpai hOi ding ca dOng quyet dinh, thong qua cac van de thuOc tham quyen cüa Dai hoi 'Jong co &Ong quy dinh tai Dieu le Kienlongbank va phap luOt ca lien quan;

Quyet dinh yiec thanh lap, chia, tach, sap nhap cac HOi dOng, Phong, Ban, Trung tam tai HOi quyet dinh thanh lap Chi nhanh, PhOng giao dich, Van phOng dai din;

d. BO nhiem, min nhiem, luat, diet' chuyen, dinh, chi va guy& dinh mirc lucrng, lgi ich khac doi v6i cac chat danh Tong Giam doc, Ph6 Tong Giam doe, Ke toan truang, Chanh Van phong HOi clang quan tri, Thu ky HOi Ong quart tri vá nguai quan lY, ngtrai dieu hanh khac theo quy djnh nOi bOcüa HOi (Tong quan trj;

Thong qua phuong an g6p von, mua CO phan cita doanh nghiep, t6 chirc tin dung khac c6 gia trj duel 20% (hai muoi phan tram) van dieu l cUa Kienlongbank ghi trong bao cao tai chinh da duct kiem toan gán nhat;

CO ngtrai dai din quan ly van gop cüa Kienlongbank tai doanh nghiep, tO chirc tin dung khac;

Quyet dinh &au Ur, giao dich, mua, ban tai san cita Kienlongbank dual 20% (hal mut' phan tram) so vai von dial lecüa Kienlongbank ghi trong bao cao tai chinh da dugc kiem toan gan nhat, trir cac khoan dau tu, giao dich,. mua, ban tai san cita Kienlongbank thtfac tham quyen cua Dai hi 'tong co thing hoac cac khoan dau tu da duct Dai hi dong co (long phe duyet;

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Quy ch6 TO chile va boat ring eña HOi &big quan tri

i. Quyet dinh cac khoan cap tin dung theo dieu khoan che cAp tin dpng quy dinh tai Dieu le Kienlongbank, trir cac giao dich thuec tham quyen quyet dinh cña Dai hi dong co 'long quy dinh tai Lust Cac To chat tin dung \Tali* luat khac eel lien quan;

k. Thong qua cac hap dong ctia Kienlongbank vOi cong ty con, cong ty lien ket cna Kienlongbank; cac hgp„ dong càa Kienlongbank vOi thanh vien HOi &rig quart tri, thanh vien Ban Kiem soat, Tong Giam doc, co (long lOn, ngueri cO lien quan ciia ho cO gia tri bang hoc nhO bun 20% (hai intrui phan tram) von dieu lecüa Kienlongbank ghi trong bao cao tai chinh da dugc kiem toan gan nhat. Trong twang hgp nay, thanh vien có lien quan khong co quyen bieu quyet;

I. Kiem tra, giam sat, chi dao 1-6ng Giam d6c thgc hien nhiem vp dugc phan ding; danh gia hang nam ve hieu qua lam viec coa Tong Giam doc;

Ban hanh cac quy dinh nei be lien quan den Co chirc, quan tri va hoat &ling dm Kienlongbank phb, hop vOi cac guy dinh elm Dieu le Kienlongbank va phap luat cO lien quan, trir nhung van de thuec tliam quyen ctia Ban Kiem sok hoc cua Dal hi (long co dong;

Quyet dinh chinh sach quan l rUi ro va giam sat viec thuc thi cac bin phap phOng ngira nit ro cüa Kienlongbank;

Xem xet, phe duyet bao cao thuang nien;

Quyet dinh viec danh gid tai san gop von hoc dugc quyen Iva chon to chat dinh gia chuyen nghiep de dinh gia tai san gOp von khong phai la tien Viet Nam, ngoai t tu do chuyen doi, yang theo quy dinh cüa phap luat;

De nghi Thong. doc Ngan hang Nha ntrOc chap thuan cac van de theo quy dinh cna pita!) luat;

Quyet dinh chao ban co phan mOi trong pham vi c6 ph5n dugc quyen chao ban;

Quyet dinh gia chao ban co . phan va trai phieu chuyen doi cOa Kienlongbank;

t:Quyet dinh mua lai hoc thu 116i ce phan cüa Kienlongbank theo quy dinh cUa Dieu le .Kienlongbank va phap luat co lien quan;

u. Kin nghi phuong an phan phei lgi nhuan, mire Co tire dugc tra; guy& dinh the" han va thfi tpc tra co tirc hoc x& lY 18 phat sinh trong qua trinh kinh doanh;

v..Chu5n bi nOi dung, tai li'eu lien quan de trinh Dai hei dong co dong quyet dinh cac van de thuec tham guyen cUa Dai hei dong co 'Jong, tra nhang nei dung thuOc nhiem vu, quyen ban dm Ban Kiem soat;

Duy'et chtrung trinh, ke hoach hoat deng cUa Hei &Ong quan tri; chtrung trinh, nei dung, tai lieu phpc vu hop Dai hei dOng c6 d8ng; trieu tap hop Dai hOi &Ong c8 &rig hoac lay Y kien c8 (long bang van ban de thong qua nghi quyet, quyet dinh cua Dai hei (long co 'long;

TO chirc trien khai, kiem tra, giam sat viec thpc hien nghi quyet, quyet dinh cUa Dai hQi &mg c6 dong va HOi d8ng quan tri;

aa. ThOng bao kip thai cho Ngän hang Nha nuet th6ng tin anh laving tieu cue den ttr each thanh vien Hei (long quart tri, Ban Kiem soat, T'Ong Giarri doc;

Luu hanh nOi b0 Trang 10/24

Quy ch6 T6 chfic va bout clOng elm Hi dong quan tri

ab. Quyet dinh the khoan vay %)tyiet thuc hien the khoan the chap, bao dam, bao lanh va boi thubng cua KienlonhaliWee guy - dinh ctla Dieu Ic Kienlongbank va phap luat c6 lien quan;

ac. Quyet dinh thanh lap the Illy ban/HOi dong, 1)0 phan giüp viec khac theo quy dinh cila Dieu le Kienlongbank va phap luat c6 lien quan;

ad. Cac nhiem vp, quyen ban khac theo quy dinh tai Dieu le Kienlongbank va Phap luat c6 lien quan.

1-10i doing quan tri phai bao cao Dai hei (tong co (Jong ve boat dOng cüa minh, cu the IA ve viee giam sat cua HOi dOng quail tri d6i voi TOng Giam dbc diet' hanh va nhi-mg can 130 quan 15, khac trong nam tai chinh. Trubng hop HOi dong quail tri khong bao cao cho Dai hOi dong co dong, bao cao tai chinh nam cüa Kienlongbank bi coi la thong c6 gia tri va chin dixoc HOi (tong guar' tri thong qua.

HOi dOng quan tri c6 quyen fly quyen lai cho cac tJ' y ban/HOi dOng quyet dinh met,s8 van de thuec tham quyen cilia HOi (tong quan tri, hoac Hi &mg quail tri c6 the fly quyen cho thanh vien HOi dong quan tri, Nguoi quan khac dai din xit 157 c8ng viec thay mat cho Kienlongbank.

, 6. Thanh vien cüa Uy ban/HOi dOng c6 the Om met hoac,nhieu thanh vien cüa HOi (long quan tri va mOt hoac nhieu thanh vien ben ngoai theo quyet dinh cilia Hei Mug quan tri. Trong qua trinh thuc hien quyen han dugc ily thac, cac ty ban/ HOi clang phai tuan thil cac quy dinh nOi b0 ma HOi dong quan tri da ban hanh. Cac quy dinh nay c6 the dieu chinh hoac cho phep ket pap them nhang ngubi thong phai là thanh vien HOi (long quan tri \Tao cac Uy ban/HOi &Ong neu trail va cho pita]) ngubi d6 dugc quyen bleu quyet at each thanh vien dm Hy ban/ HOi d8ng nhung:

, a. Phai dam bao sO lugng thanh vien ben ngoai t8i da bang 1/2 (met phAn hai) tOng so thanh vien elm Oy ban/1-I0i d8ng; va

b. Nghi quyet cUa cac Hy ban/ HOi &ling chi c6 hieu lye khi:

S6 lugng thanh vien tham du: Co toi thiC'u bang 1/2 (nOt phan hai) thanh vien tly ban/ HOi d8ng tham chr h9p; va.

Bieu quyet tai phien h9p cilia Hy ban/HOi dOng: Phai c6 da so" thanh vien dy hop chap thuan va d8ng thin phai c6 da so thanh vien thanh vien Hi thing quan tri chap thuan; Trong throng hop so phieu ngang nhau thi quyet dinh cuoi cling thuOc ye phia,c6 kien cilia Chit tich Hy ban/H0i dong hoac ngubi dugc Chit tich tiy ban/ HOi 'Jong ily quyen.

7. Vic dux thi guy& dinh cilia Hi dOng quan tri, hoac elm fiy ban/Hi dOng true thuOc HOi &Ong quan tri, hoac cilia nguai c6 tir each thanh vien Hy ban/HOi dong cilia Wei d8ng quail tri duge coi IA c6 gia tri phap ke ca trong twang hop vice bau, chi dinh thanh vien cilia tJ' y ban/H0i thing hoac 1-10i (long quan tri c6 the c6 sai sOt.

Dieu 16. Nhi'01 Ng) N/A quyen hn ciia Chii tich Hi (long quail tri

HOi dOng quail tri phai Iva ch9n trong sO cac thanh vien Hoi. dOng quan tn dE bau ra mOt Chili tich HOi d8ng quan tri.

Chili tich FlOi &Ong quail tri co nhang quyen va trach nhiem quy dinh nhu sau:

a. Lap chuang trinh, ke hoach hoat dOng cilia 1-10i deng quan tri;

Luu hanh nôi bU

kuty

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Quy chA TA chat và hoat dAng elm I-10i dAng quail tri

Chuan bi chuang trinh, nei dung, tai lieu phoc vu cuQc hop; trieu tap va thu tga cuOc h9p HOi &mg quan tri;

TO chIrc viec thong qua guy& dinh cüa HOi deng .quan tri;

Giam sat qua trinh tO chirc thuc hien cac guy& dinh ctia Hei d'Ong quail tri;

d. Chit tya cuOc hop Dai hOi dOng ce dong;

Bao dam cac thanh vien HOi dOng quart tri nhan dirge thong tin day dü, khach quan, chinh xac va ea do theri gian thao luan cac van de ma HOi dong pan tri phai xem xet;

Phan cong nhiem vii cho cue thanh vien HOi &mg quail tri;

Giam sat cac ,thanh vien Hei deng quan tri trong vi'ec thuc hien nhi'em vu duce phan cong vã cac quyen, nghia \Ty chung;

it nhat m6i nam met Mn. danh gia hieu qua lam viec cOa timg thanh vien, cac.0y ban/HOi dong true thuec HOi dong quan tri va bao cao Dai hOi (long c8 &mg ye ket qua danh gia nay;

k. Cac quyen, nghia vy khac theo quy dinh tai Dieu le Kienlongbank va phap lust c6 lien quan.

3. Chit tich HOi d6ng quan tri phai cO trach nhiem dam . bao viec HOi dang quan tri gUi bao cao tai chinh nam, bao cao boat &Ong cua Kienlongbank, bao cao ki'em toan vã bao cao kiem tra cua HOi d8ng quail tri cho cac co dong tai Dai hOi thing co &mg.

Diu 17. Nhiem \Ai va quyen hn cfia thanh viên WU dang quail tri

Thgc hien quyen, nghia \RI cUa thanh vien 110i d6ng quail tri theo dOng quy che nei be cilia 1-10i &mg quan tri vá su phan cong cila Chit tich HQi citing quan tri mOt each trung dux vi lgi ich cña Kienlongbank \fa co &mg;

Xem,xet bao cao tai chinh do kiem toan vien dOc lap chuan bi, cO 2 kin hoc yeu cau nguai dieu,hanh Kienlongbank, kiem toan vien dOc lap vá kiem toan vien nei be giai trinh cac van de el:5 lien quan den bao cao;

De nghi Chu tich HOi clang quan tri trieu tap et* h9p HOi &Ong quan tri bat thuang;

Tham du cac elf& h9p HOi dOng quan tri, that.) luan \fa bieu guy& v cac van de thuOc nhiem vu, quyen ban coa HOi d8ng quail tri, theo quy dinh tai Dieu le Kienlongbank, trir truang hap kh8ng dtrgc bieu quyet vi van de xung dOt lgi ich voi thanh vien dO. Chiu trach nhiem truck Dai hOi &mg co (long vá HOi (long (pan tri ve quyet dinh cOa minh;

, 5. Trien khai dux hien nghi quyet, quyet dinh elm Dai hOi dOng c0 dong vã flei (long quan tri;

CO trach nhiem giai trinh truot Dai hOi dOng e6 &mg, HOi d6ng quan tri ve viec duly hien nhiem vu dirge giao khi c6 you cau;

Cac nhiem vi va quyen han khac theo quy dinh tai Dieu le Kienlongbank vá phap luat cO lien quan.

Dieu 18. Trach nhiem cong khai cac Jqi ich co lien quan

1. Thanh vien HOi dOng quan tri phai cong khai veri Kienlongbank cac thong tin sau day:

btu hanh nAi bA

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Quy che Ta chirc va hot &ling dm Hai clang quan tri

Ten, dia chi try sâ chinh; ngtnh,.ng1ie kinh doanh, so va ngdy cap Giay chirng nhen dang k9 doanh nghiep, nai dang"Olilaindoanh cüa doanh nghiep, to chirc kinh te ma minh va nguoi co- lien quan dung ten sof him phan von g6p, cO phen,hoac ay guyen, ity thac cho cá nhan, to chirc khac thing ten tir 5% (nam phan tram) von dieu le tra len;

Ten, dia chi try sof chinh, nganh, nghe kinh doanh, s va ngdy cAp Giey chi:mg nhan dang k doanh nghiep, nai dang k9 kinh doanh cUa doanh nghiep ma minh va ngueri c6 lien quan dang la thanh vien HOi dong quart tri, thanh vien HOi (long thanh vien, thanh vien Ban Kiem soat, Tong Giam doc (Giam Mc).

Vic Ong khai th6ng tin ,guy dinh tai Khoan I Dieu nay va viec thay dOi thong tin lien quan phai dugc thgc hien, bang van ban trong thai han bay (07) ngay lam viec, ke tir ngay phat sinh hoac c6 thay d8i thong tin.

Kienlongbank phai ding khai thong tin guy dinh tai Khoan I Dieu nay dinh hang nam cho Dai hOi (long co (long cüa Kienlongbank va dirge niem yet, km giii tai try sâ chinh cUa Kienlongbank.

Kienlongbank phai,thong bao bang van ban cho Ngan hang Nha nuac cac thong tin guy dinh tai khoan 1 Dieu nay trong thai ban 07 (bay) ngay, ke tir ngay Kienlongbank nhen duce thong tin Ong khai theo guy dinh tai khoan 2 Dieu nay.

A Dieu 19. Trach nhqm can trinig

Thanh vien HOi &Ong quan tri c6 trach nhiem thgc hien cac nhiem vu cüa minh, ke ca flitting nhiem vu vgi tu each thanh vien cac Uy Ban/HOi 'long cUa HOi &mg quan tri, in6t each trung thgc vi lgi ich cao nhat ctia Kienlongbank va voi mire do can tryng ma mOt ngueri then trcong phai co khi dam nhiem vi tri Wong duang va trong hoan canh tuang tg.

Diu 20. Trach nhqm trung thgc Ara tranh cac xung dOt ye quyen lcri

Thanh vien HOi dtmg quail tri khong dirge phop sir dung flitting ca h6i kinh doanh co the mang lai lgi ich cho Kienlongbank vi myc dich cá nhan, dong thai khong dirge sir dyng flitting th8ng tin c6 dime nha chirc vu cilia minh de tu lgi cá nhan hay de phye vy lgi ich eUa to chat hoac cá nhan khac.

Thanh vién HOi d8ng quan tri c6 nghia vy thong bao cho HOi ding quail tri tat ca cac lgi ich co the gay xung dOt vai lgi ich cilia Kienlongbank ma hg c6 the dirge huemg thong qua cac phap nhan kinh te, cac giao dich hoac cá nhan khac.

, 3. Hap dOng hoac giao dich glib Kienlongbank mOt hoac nhieu thanh vien HOi (long quan tri hoac nhiing ngued lien quan den hg hoac cong ty, dôi tac, hip h6i, hoac to chirc ma thanh vien HOi &mg pan tri hoac nhting nguai lien quan den hg la thanh vien, hoac c6 lien quan lgi ich tai chinh khong bi vo hieu hoa trong cac trugng hgp sau day:

a. Doi vgi hgp &Ong co gia tri tir duai 20% (hai muai phan tram) tong gia tri tai san duce ghi trong bao cao tai chinh gAn nhat, flitting y'eu to. pan trong ye hgp d8ng hoac giao dich cling nhu cac moi quan h va lgi ich cilia can bo quan 19 hoac thanh vien HOi (king quail tri da dirge bao cao cho 146i &Ong quan tri hoc Uy Ban/HOi dong lien quan. 'Jong thai, HOi &mg quan tri hoac Uy Ban/HOi dong do da cho phep thgc hien hgp (long hoac giao dich d6 mOt each trung thgc bang da s6 phieu tan thanh cUa nhiing thanh vien Oy ban/ HOi (long kh8ng c6 lgi ich lien quan;

Luu hanh nai ha Trang 13/23 05/

Quy ch6 T6' chile ya bout clOng elm 1-10i eking quan trj

b. DOi vori flitting hgp &mg c6 gia trj 16n hun 20% (hai mucri phan tram) dm, tOng gia tri tai san dugc ghi trong bao cao tai chinh gan nhat, flitting yeu to quan tryng ye hgp &mg hoac giao djch nay cling nhu moi quan he va Içii ich cOa can 1)0 quan 1Y hoac thanh vien HOi ,dong quart tri ,da dugc ding ho cho cac cô 'Jong khong c6 lgi ich lien quan, c6 quyen Mat quyet ye van de do, va flitting co dong do da bo phi'eu tan thinh hgp dOng hoac giao djch nay;

C. Hgp &Mg hoac giao djch do dugc mOt to chtic tu van dOc lap cho La ding bang va hap IY xet tren myi plurang dien lien quan den, cac CO dong wa Kienlongbank vdo thai diem giao djch hoac hgp (long nay dugc HOi dong pan trj hoac mOt ty Ban/Hi Dong tryc thuOc HOi &mg quan tri hay cac CO dong cho phep thtrc hien.

4. Thanh vien HOi dong quart trj va nhang nguai CO lien quan khong dugc sir dyng cac thong tin chua dugc phep ding be) cua Kienlongbank hoac tiet 10 cho ngtrai khac de thyc hien cac giao djch CO hen quan.

5., Thanh vie!) Hci deng quan trj phai bao dam km tit 118 sa caa Kienlongbank de cung cap dugc cac so lieu phyc vy cho hog dOng quart dieu hanh, kiem soat myi hog dOng caa Kienlongbank, hoat dOng thanh tra, giam sat, kiem tra caa Ngan hang Nha nude.

Thanh vien Hi (long quail tri phai am hieu ye chc Loa' rai ro trong hoat dOng càa . Kienlongbank.

Thanh vien HOi dOng quail tri, thong bao kip theri, day , do, chinh xac cho Kienlongbank ve quyen Igi caa . minh tai to chirp khac, giao 'djch vol to chirc, cá nhan khac CO the gay xung dOt vOl Igi ich cua Kienlongbank va chi dtrgc tham gia vao giao dich do khi dugc HOi 'Jong quan trj - chap thuan.

Thanh vien HOi deng, quart trj khong dugc tao dieu kin a ban than hoac nguai CO lien quan ,coa minh vay von, st'r dyng cac djch vy ngan hang khac cüa Kienlongbank veri nhiing diéu kien uu dai, thuon Igi„hern so vai quy dinh chung cUa Kienlongbank.

Thanh vier' HOi &Ong quan trj khong duge tang lucrng, tha Lao hoac yeu eau tra thu6ng khi Kienlongbank bj 18.

Thanh vien HOi deng quail trj CO nghia vy thong ban cho HOi dOng quart trj ye cac giao djch gifra cong ty, c6ng ty con, cong ty,do Kienlongbank nam guy& kiem soat tren 50% (nam mucri phan tram) to. Len von dieu Fe veri chinh thanh vien dO hoac veri nhang nguai CO lien quan Cua thanh vien do theo guy dinh cua phap luat. Doi veri cac giao dich neu tren do Dai hOi &Mg co (long hoac HOi 'Jong quail trj chap thuan, Kienlongbank Phai thyc hien cong bo thong tin ye cac nghj quyet nay theo quy•dinh caa phap luat chang khoan ye cong 'be) thong tin. •

Thanh vin HOi clOng pan trj khong dugc bleu guy& di vOi giao djch mang lai lgi, ich cho thanh vien d6 hoac ngtrOi c6 lien quan cüa thanh vien do theo quy dinh caa Dieu 1 Kienlongbank va phap luat c6 lien quan.

Cac nghia vu khac quy dinh tai Quy ch& nay, Dieu le Kienlongbank va phap Mat cO lien quan.

Di'eu 21. Trach nhi0114 thqt hi vA bid thutng

I. Thanh vitt HOi ding quail trj vi pham nghia \fp, trach nhiem trung thyc va can tryng, khong hoan thanh nghia minh vei su man can va nang lyc chuyen mon phai chju trach nhiem ye nhang thiet hai do hanh vi vi pham cüa minh gay ra.

Lau haul] nOi 130 Btf-7- Trang 14/24

Quy chE T6 chirc va hog dOng cua HOi thing gnarl tri

2. Kienlongbank bed thuerng cho tlianh yien HOi deng quail tri da, dang hoc có the tra thanh met ben lien quan trong cac Nig kheri to (bao g6m cac vv,viec clan sib hanh chinh va khong phai la cac vii kin do Kienlongbank la nguai khan kin) neu thanh vien HOi dong quan trj de da hoc dang lam theo yeu cau etla Hi Ong quan tri Kienlongbank \Teri hanh dOng trung that, can treng, Man can vi Igi ich hoc 'thong chong lai loi ich cao nhAt cUa Kienlongbank, ten ca se tuan thfi luat phap va khong co bang chimg xac nhan rang thanh vien Hi thing quan tri do da vi pham nhang trach nhiem cOa minh.

3. Khi thvc hien chirc nang, nhiem vv hoc thvc thi cac ding viec theo Cry quyen cüa Kienlongbank, thanh vien Hi #clong quan tri dugc Kienlongbank b6i thuang khi trer thanh met ben lien quan trong cac \iv khieu nai, kin, khoi to (trir cac vv kin do Kienlongbank là ngueri kheri kin) trong cac twang hcyp sau:

Da hanh deng trung thvc, can treng, mdn can vi Igi ich va khong mau than vdi lqi ich dia Kienlongbank;

Tuan thn luat phap va kh6ng c6 bang chi:mg xac nhan cia khong thvc hien trach nhiem coa minh.

4. Chi phi bei thuang bao gem cac chi phi phat sinh (Ice cã phi thue luat sir), chi phi phan quyet, cac Ichoan den phat, cac, khoan phai thanh toan phat sinh trong thvc te hoc duge coi la mac hop ly khi, giai guy& nhang vv viec nay trong khuon khO lust phap cho phop. Kienlongbank có the mua bao hiem cho nhang ngtrai do de tranh nhang trach nhiem boi thuerng neu tren.

CHISONG IV HOAT BONG CI:JA WO BONG QUAN TRI

Dieu 22. Cac cue)c hyp cüa Hi dOng quan tn

Truerng hop, HOi doting quan tri bau Chu tich thi cuOc hop dau tien cua nhie'm ky Hei (long quan tri d'e bau Chü tich va ra cac quyet clinh khac thu'ec tham quyen phai dugc tien hanh trong tiled han 07 (bay) ngay lam viec, Ice tü ngay ket thilc bau cO [lei clang quan tri nhiem IcY dO. CuOc hop nay do thanh vien c6 so phieu bau cao nhattrieu tap. Truang hap c6 nhieu horn 01 (net) thanh vien ce so phieu bau hoc ty le phieu bau cao nhat va ngang nhau thi cac thanh vien bau theo nguyen tac da so de ellen 1 (met) nguai trong se he trieu tap hop HOi deng quan tri.

Thai gian hop:

Cuec hop thuang ky: Hi deng quail tri hep xet khi thay can thiet, nhung it nhAt rnOi quy phai h9p 01 (met) Ian.

CuOc hop bAt thuang: Chit tich Hi clang quan tri phai trieu tap hop HOi deng quan tri khi cO met trong cac truerng hop sau day:

Co de nghi dia.p.an kiem soat hoac thanh vien d0c1ap;

CO de ngh cüa Teng giam dec hoc it nhAt 05 (nam) ngtrai quan l khac;

Co de nghi coa it nhAt 02 (hai) thanh vien dieu hanh ctia HOi deng quan tri;

Cac twang hop khac theo quy dinh cUa phap lust.

De nghi phai duqc lap thanh van ban, trong do neu re mac dich \fa van de cAn thao luan, quyet dinh thuOc tham quyen cna HOi citing quan tri.

Lau hanh nE5i bô irtv Trang I 5/23

Quy ch6 T6 elide \fa hoat dOng &la Hi d6ng qt.& tri

Chit tjch HOi &mg quan trj phai trieu tap hop Hai thing quan trj trong tiled hart 07 (bay) ngay lam viec, ke tit ngay nhan dugc de nghi quy djnh tai diem b, khoan 2 Dieu nay. Truang hyp Chu tjch HOi (long quan trj khong trieu tap hop theo de nghj thi,Chn tjch phai, chju trach nhiem ye nhung thiet hai xay ra doi veri Kienlongbank; Nguai de nghj cO quyen thay the Chit tjch Hai (long quail tn trieu tap hop HOi dong quart trj.

Chit tjch HOi dong quan trj hoac nguai trieu tap hop HOi clang quart trj phai gun thong bao mai hop cham nhat 03 (ha) ngay lam viec fru& ngay hop, trir truerng hap hop dOt xuat. Thong,bao,mai hop xac djnh or' the thai gian, dja diem hop, nOi dung chuang trinh hop, cac van de thao luan va quyet djnh. Kern theo thong bao mai hop phai c6 tai lieu sir dung tpi cuac hop va phieu bieu quyet ctia thanh vien (neu cO). Thong bao mâi hop dirge gni bang bin dien, fax, thu din tfr hoac phuang tin khac, nhung phai bao darn den duyc dja chi coa ding thanh vien HOi dong quan trj dirge dang kY tai Kienlongbank.

d. Chit tjch Hi dang quart trj hoac ngtrai trieu tap phai ggi thong bao meri hop va cac tai lieu kern theo den cac thanh vien Ban Kiem soat nhu doi vol cac thanh vien Hi dong quan trj. Thanh vien Ban Kiem soat co quy'en du cac cuec h9p cüa Hai clang quart tri, co quyen thao luan nhung khong dugc quyen Heti quyet.

3. Hinh thirc hop:

CuOc hyp Hi dang quart trj &rot tin hanh theo mOt trong so cac hinh thirc sau day:

Flop tap trung:. LA cuOc hop ma cac thanh vien Hai 'tang quan trj va cac cd than c6 lien quan ding tap trung tai m6t dja diem, true tiep thao Juan, trao doi 9 kien girra cac thanh vien ma khong phai thong qua m6t phuong tin truyen thong va/ hoac vin thong nao khac.

Hop khong tap trung: La cuac hop ma cac thanh vien HOi dong quail tri va cac ca nhan lien quan c6 the co mat tai cac vi tri dja 19 khde nhau, viec trao doi 9 kien gicra cac thanh vi'en dugc thgc hien thong qua cac phuang tin h6 try truyen thong va/hoac vijn thong.

Thanh vien Hai dOng quail tri tham gia cuOc hop nhu tren dirge ,coi la "co mat" tai cuOc hop dO. Dia diem hop dirge to chirc trong Huang hap nay IA dja diem ma Chu tya hop hien dien.

4. Oy quyen,dtr hop: Thanh vien HOi thing quan trj khong tham du hop cO quyen chi djnh hoac tly quyen bang van ban cho thanh vien khac du hop neu dirge da se thanh vien HOi (long quart trj chap thuan.

5. Bieu quyet bang van ban: Thanh vien khong true tip du hyp c6 quyen bieu quyet thong qua be, phieu bang van ban. Phieu bieu quyet phai dung trong phong bi dan kin va &rot chuyen den Chill tjch Hai'dong'quan trj cham nhat,01 (mOt) gia truac gia khai mac. Phieu bieu quyet chi dirge ma truac su chi:mg kien ctia tat ca nhcmg ngueri du hop.

6. Chia tya cuac hop: Chn tjch Hai clang quail trj là Chit' t9a cuac .hyp. Truang hgp khong du hop, Chili tjch Hai Tong quart trj chi djnh bang van ban cho mat thanh vien Ichac ctia Hai (Jong quart trj lam chit toa cuac hop HOi &mg quail trj.

7. Dieu kin tien hanh cuac hop: CuOc hop cua Hai thing quail trj theo giay trieu tap Ian thir nhAt clime lien hanh khi cO tin 3/4 (ba .phan tu) tong so thAnh vien,trer len du hop. Twang hap cuOc hop dirge trieu tap theo quy dinh nhtr tren khong dü sO thanh vien dtr hop theo quy ,dinh thi dirge trieu tap Ian thd hai trong then han 07 (bay) ngay ke tin ngay dy djnh hop Ian thir nhat. CuOc hyp trieu tap lai dirge tien hanh neu c6 hcrn 1/2 (mOt phan hai) sa thanh vien HOi dong quan trj du hop.

Luu hanh n6i bô

Ikeet Trang 16/24

Quy chE 1-6 chCrc va hog dOng cua Heil cliing quail tri

...„ Quyet dinh cua Hai (long gnat! tri dugc,thong qua neu dugc da sO thanh vien du

hop‘chap thuan bao gam ca .phieu bieTqWleitbang van ban va phieu bieu quyet theo ny quyen; truang hap s6 phieu ngang nhau thi quyet dinh cu6i ding thuOc ve phia co y kien cila Chu' tich HOi (long quan tri.

Cac nOi dung khac phat sinh ngodi du kin trong Inc hop hoac nghi gift gia (nu c6) se &rot Thu ky cuOc hop ban cab cac.thanit vien HOi (long quan tri khong tham dtr hyp theo dung trinh ttr, thu tyc trong Quy dinh càa Kienlongbank vã/hoc Dieu Kienlongbank.

Diu 23. Bien ban bow Wu ding quan tri

‘1. Cac cuOc h9p càa HOi dans quan tri phai dugc ghi vào sO hen ban. Bien ban phai lap bang tieng Viet va co the ca bang tieng ntrac ngodi. Bien ban hop HOi clang quart tri c6 cic nai dung chit yeu sau day:

Ten, dia chi try s& chinh, ma s8 doanh nghiep;

Mtic dich, chuong trinh va nOi dung hop;

Thai gian, dia diem h9p;

HQ, ten tirng thanh vien du hop hoac ngtrai &rye ay guy& du hyp; HQ, ten cdc thanh vien Bong du h9p va 11 do;

d. Cac van a &lac thao luan \TA bieu quyet tai cuOc hop;

T6m tat phat bieu 9 kin clia tang thanh vien (iv hop theo trinh ty din bin dm cuOc hop;

Ket qua bieu guy& trong do ghi r8 nhang thanh vien tan thanh, khong tan thanh va kitting c6 9 kien;

Cac guy& dinh da dugc thong qua;

HQ, ten, chil ky càa chn tya va nguai ghi bien ban;

ChU toa va thu k9 ,phai chin trach nhiem ve tinh trung thyc va chinh xac cüa nOi dung hien ban hop HOi dong quan tri.

Bien ban hop dugc thong qua ngay khi ket thac cuOc hyp, cac thanh vien HOi dong quan tn dr hop c6 trach nhiem kY xac nhan trong Bien ban hop HOi (tong pan tri. Bien ban hop ciia Hai (long quan tri dugc lap thanh 03 (ba) ban.

Bien ban hop HOi dong quan tri va tai lieu sir citing trong cuOc hop phai Gilroy luu gift tai try sa chinh cña Kienlongbank.

Bien ban lap bang tieng Viet vA tieng nuac ngodi c6 gia tri phap ly ngang nhau. Trong, truang hop c6 str giai thich khac nhau giita ban tieng viet va tieng nu& ngoai thi ban tieng Viet c6 hieuimc ap dyng. ,:!,5

4. Chit tich HOi (long quan tri c6 trach nhiem chuyen bien ban hyp HOi dong quan tri cho cac thanh vien va Wen ban do IA bang chirng xac ditty ve c8ng viec da dugc tien hanh trong cac cuOc 7hop do trir khi c6 9 kien phan doi ye nOi dung Hen ban trong thai han 10 (mut° ngay ke tix khi chuyen di. Bien ban hop HOi (long quan tri phai c6 chit ky el:1'a tat cà cac thanh vian HOi thing quail tri tham du cuac hyp hoac Bien ban dugc lap thanh nhieu ban \TA moi bien ban c6 chit ky ciia it that 01 (m0t) thanh vien HOi clang quan tri tham gia cuOc hop.

Luu hanh n(3i b(5 Trang 17/23

Quy ch T6 duly va boat dOng cUa HOi clang quan tri

Truang hgp thanh vien trvc tie)) dy hop khong ky vac, Men ban thi phai ghi ro 19 do; neu khong ghi CO 19 do thi bieu quyet cña thanh vien dO d8i veri nhang nei dung tai cuec hop coi nhu khong co gia tri.

Dieu 24. Lay 9 kien bAng van ban

Chit tich HOi dong•quan tri quyet dinh viec lay 9 kien thanh vién Hi dong quan tri bang van ban.

Thu k9 HOi deng,quan tri chuan N .phiL lay 9 kien, kern cac tai lieu c6 lien quan gai den thanh vien Hei (long quan tri qua duang buu din, fax, thu din tit (E-mail) hoc phuang tien khac nhung phai dam bac, den dugc dia chi dm tirng thanh vien HOi clang quan tr.

Phieu thy Y kin phai c6 cac nOi thing chit' yen sau day:

, a. Ten, dia chi try sa chinh, se va ngay cap Giay phop thanh lap va boat Ong, ma so doanh nghiep cOa Kienlongbank;

b. Mpc dich thy 9 kin;

C. Ho, ten va dia chi lien lac clia thanh vien Hôi deng quan tri;

Van de' can lay y kin;

Phuong an bieu quyet, bao gem: Tan thanh, killing tan thanh va kWh* cO 9 kien;

Thai han gin phieu lay y kien da duet tra lai ve Kienlongbank;

d. Ho va ten, chu k9 elm ngtrai t6 chirc thy 9 kien bang van ban.

, 4. Theo thai ban lay y kin, cac thanh vien HOi d8ng quan tri c6 trach nhiem tra lai kien cfia minh, k ten xac nhan va giri ye Van phang HOi dong quan tri hoc qua E-mail

cho Thu k9 HOi d8ng quan tri theo dung thai han quy dinh. Twang hop phan h8i qua E-mail thi sau do thanh vien Wei Tong quart tri co trach nhiem,ky tay vao van ban xin 9 kien va giri lai cho Thu k9 Hi dong•quan tn. )"( kien xac nhan bang van ban khong dugc khac veri 9 kien girt qua E-mail. Qua then han nhan lai 9 kien ma thanh vien HOi dong,quan tri chua c6 9 kien tra lai thi dugc bleu la thanh vien HOi (long quan tri kh8ng c6 9 kien.

Thanh vien Hi dOng quan tri c6 trach nhiem dua ra 9 kien bieu guy& thong qua viec Iva chon met Trong ba 9 kien Tai van ban lay y kien: Tan thanh; Kh6ng tan thanh; Khong c6 9 kien bang each danh dau (X) vao ô tuang (mg. Nhang y‘kion be sung chi c6 tinh tham khao, Thu k9 Hi clang. quan tri c6 trach nhiem bao,cao ye 9 kien nay va Chit tichTTei (long quan tri (hoac thanh vien dugc Chit tich Hi thing quan tri ay quyen) c6 quyen quyet dinh nen dua hay khOng. nen dua vao Bien ban h9p Hi 'Jong quan tri.

Thu k9 Hi (fang quail tri kiem phieu va lap bien ban kiem phieu ,dueri sr giam sat càa toi thieu 01 (met) thanh vien HOi &mg pan tri dee lap. Bien ban kiem phieu phai c6 cac nOi dung chit yeti sau day:

Ten, dia chi try set chinh, se va ngay cap GiAy phep thanh lap va hog Ong, ma se doanh nghiep ctia Kienlongbank;

Myc dich va cac van de can lay 9 kin;

Teng so phieu bieu quyet gfri di, tong so phieu bieu quyet thu ve, se phieu bieu quyet hgp le, s8 phieu bieu quyet khong hop , le. Bien ban .phai cO phy lye danh sach thanh vien HOi (long quail tri dä tham gia Neu quyet;

Ltru hanh n6i b6 #4,./ Trang 18/24

Quy chO TO chirc ya hoat Ong dm HOi dang quan tri

d. Tong so phieu tan thanh, khong tan that-1h va khong c6 9 kien doi veri tang van de duct xin 9 kien;

d. HQ, ten, cher k9 caa ngued phy trach kiem phieu, nguai giant sat.

, 7. Quyet dinh cüa HOi d6ng quart tri ve viec lay 9 kin bang van ban dugc thong qua neu ,thrgc da so thanh vien c6 9 kien chap ,thuan. True:mg hgp so phieu ngang nhau thi quyet clinh cued ding thuOc ve phia c6,9 kien cña Chit tich HOi (long quail tri hoc nguai dugc Chà tich Hi tong quart tri ay quyen.

,8. Thu k9 HOi Tang (plan tri tham gia vao, viec My 9 kien thanh vien HOi clang, quart tri bang van ban va nguai giam sat kiem phieu phai lien ded chiu trach nhiem ve tinh trung thuc, chinh xac cita hien ban kiem phieu; lien ded ,chiu trach nhiem ve tic thiet hi Oat sinh tit cat quyet dinh duct thong qua do kiem phieu kh6ng trung thac, khong chinh xac.

Bien ban ket ,qua kiem phieu, kern nghi quyet, guy& dinh caa HOi dang quan tri thong qua dip tren ket qua kiem phial phai duct gai den cat thinh vien HOi 'long cyan tri trong then hp 15 (ratted lam) ngay, ke tü ngdy ket that kiem

Phieu lay 9 kien da duce tra lai, bien ban kiem phieu, toan van nghi quyet da dugc th6ng qua va tai lieu c6 lien quan girt kern theo phieu lay 9 kien deu phai duct In giü tai tra set. chinh cña Kienlongbank.

, 11. Quyet dinh duct thong qua theo hinh that My 9 kin thanh vien 110i dang quart tri bang van ban c6 gia tri nhu quyet dinh duct thong qua tai cuOc hcp HOi 'Jong quart tri.

CHCONG V CHUtiNG TRINH, DIEU MEN LAM VIEC

VA QUY DINH VE PHAN CAP, UY QUYEN CtJA HOI BONG QUAN TRI

Dieu 25. Chiming trinh ding tic ctia HOi dong quin tri

1. Chuang trinh c6ng tác tin HOi d'ong quan tri:

Can dr mac tieu chung, chuang trinh, k hoach, dinh huerng phat trien hang nam va trong tirng giai doan cilia Kienlongbank, nhiem vv, quyen han,caa HOi dong,quan tri, nhiem va cilia tang thanh vien HOi (long quan tri, Van phang HOi Ong quan tri tong hap chuang trinh c6ng tac cilia Cho tich \fa cat thanh vien Hi dong wan tri, xay dung va trinh Cha tich HOi Tong quan tri phe duyet Chuang trinh c6ng tác dinh kY hang thang, qu9, Mm caa TIOi clang quart tri va theo dal, bao cao tinh hinh, ket qua dux hien Chuang trinh cong tác cilia 1-10i dong plan tri theo dinh kY va bao cao tai kY hap thuang theo quy dinh.

Can cir,Chtrang trinh tong tac chung cilia HOi dang van tri va nhiem vg da duct Cha tich HOi (tong pan tri phan tong, tang thanh vien HOi dong (plan tri cha ding thuc hien Chuang trinh tong tac cüa minh.

2. Chuang trinh c.ong tac cilia Chit tich va cat thanh Vien HOi (long (plan tri: Cac thanh vien HOi dOng quart tri, theo linh vac duct phan cong, chili Ong dang k9 Chuang trinh lam viec cilia minh veri Chili tich HOi (long quan tri. Van phong 1-10i 'Jong quart tri ra thong bac, Chuang trinh tong tac cUa Cha tich va cat thanh vien HOi &Ong quail tri theo chi dao cilia Chit tich HOi (long quan

3. Chuang trinh tong tac cilia cat Hy ban/HOi dOng cilia HOi d6ng quan tri do cat Uy ban/ HOi d6ng xay dung, trinh Chit tich HOi d6ng quan tri phe duyet.

.82°V Trang 19/23 Luu hanh nOi bô

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Quy ch6 T6 chut va hoat dOng cfia HOi dOng quail tri

Dieu 26. Dieu kien lam viec ciia thAnh vier' Hi ding quan tri

Ban Tong•Giam doe, cac PhOng, Ban, Trung tarn HOi sâ, cac Chi nhanh, PhOng giao dich va cac cong ty co lien quan eàa Kienlongbank c6 trach nhiem cung cap day dit, kip theri thong tin can thiet, lien quan den hoat dOng càa Kienlongbank theo you cau ella Chiktich HOi dong quan tri hoac cac thAnh vien HOi 'long quart tri de flute hien nhiem \Tv, quyen han ella minh theo quy dinh caa pith]) luat v4 quy.dinh tai Dieu le Kienlongbank.

Cac van ban dm T8ng Giam d6c va cac PhO Teng Giam de v'e chi dao, dieu hanh có lien quan den viec trien khai dux hien cac chit trucrng, chinh sach theo quy dinh cita Nha nu6c, cac Nghi quyet, quyet dinh, cac co che, quy ?he ella ITOi dong quail tri phai sao giri Chit tich HOi (long quail tri va cac tharih vien HOi dong quan tn.

HOi &Ong quan tri sir dung 130 may dial hanh va con dau ella Kienlongbank thuc hien nhiem cOa minh. Cac PhOng, Ban, Trung tam HOi ser c6 trach nhiem tham muu, giup Hi &Ong quail tri trong quan 19, dieu hanh, dux hien nhiem \id quyen han theo quy dinh ella phap luat va quy dinh cita Kienlongbank.

Dieu 27. Phan cap, ay quyen cüa Hi d6ng quan tri

1. Nguyen the phan cap, ay quyen ella HO dong quail tri:

HOi &mg quan tri c6 the phan cap, ay quyen cho cac tl' y ban/HOi dOng do HOi &Ong quan tri, hoac, ity quyen cho Chit tich Hôi (tong quan tri thuc hien it* so nhiem vu, quyen han thuOc thana quyen cita HOi 'long quan tri, ngoai trir cac van de thuOc nhiem vu, quyen hart cua HOi dong quan tri duce quy dinh tai Dieu le Kienlongbank va quy dinh dlla phap luat lien quan.

Oy ban/HOi dOng dugc Wei &Ong quail tri thanh lap va ay quyen el:5 the ity quyen lai cho Chit tich/Thanh vien ella Oy ban/Hi dong thuc hien gidi quyet mOt so c6ng viec thuOc tham quyen ella minh.

HOi dong quart tri phan cap, ay quyen cho Tong giam doe, Giam doe cac dun vi thanh vien thuc hi'en mOt so nhi'em \Tv, quyen han thuOc tharn quyen cita HOi (long quan tri.

2. Nguyen tac ity quyen ella Chit tich HOi (Jong quan tri:

Chit tich Hi dong •quan tri fly quyen bang van ban cho Pilo Chit tich Hi (long quan tri hoe mOt trong so cac thanh vien HOi 'long quan tri dam nhiem c8ng vice ella minh trong theri gian yang mat tai Kienlongbank va/ hoac khong tham gia xfr 19 ding viec tai Kienlongbank.

Chu tich HOi d6ng quan tri c6 the ity quyen bang van ban cho nguai khac xir 19 cOng viec theo quy dinh phan cap, ity quyen nQi b ella Kienlongbank.

3. Trong qua trinh thuc hien, Chti tich HOi clang quail tri va cac thanh vien HOi deing quan tri cO trach nhiem thuc hien cong vice &TN fly quyen theo diing nOi dung fly quyen, cac quy dinh ella phap luat va cac quy dinh nOi 130ella Kienlongbank.

4. Vic ity quyen phai dugc, the hien bang van ban, nOi dung ity quyen dugc quy dinh chi tiet trong van ban tly quyen va dugc cap c8 tham quyen ban hanh van ban k9 doi vai tirng linh \tut, timg truang hop Oy quyen cu the.

Luu huh nôi bO u (.9 Trang 20/24

Quy ch6T chirc \fa hoat &Ong eüa H51 ding quan trj

5. HOi Jong quan trj phan cAp,..Ity..qayen bang nhung han mac cv the cho Tong Gilm doe thvc hien nhiem vu, dieu itattilitOdOng hang ngay caa Kienlongbank. Vice phan cap, ay quyen dugc Ilap bang van ban duai hinh thac pha hgp vai quy djnh cüa phap luat theo de, nghi dm Tong Giam doc hoac trong ,nhgng twang hgp HOi 'Jong quan trj thay can thiet. Nhting truang hgp khong có phan cap, ay quyen dm Wei (long quan tri thi hp mire toi da thuec pham vi giai quyet caa Tong Giam doe trong dieu hanh la mirc cao nhat ma phap luot, Ngan hang Nha nuac va Dieu le Kienlongbank cho phep.

CHISCING VI MOI QUAN H CONG TAC CUA HQI HONG QUAN TM

Dieu 28. Nguyen tic phoi ho'p trong &Ong tac •

Hi dong quail trj, thanh vien HOi dong quail trj ph6i hgp trong quan he ding tac theo nguyen the sau:

1. Luon trung thanh vi Igi ich cüa Kienlongbank.

2. Tuan tha nghiem tUe cac quy djnh c6 lien quan caa phap luOt, Dieu le va cac quy djnh nOi be caa Kienlongbank.

3. Thvc hien nguy'en the tap trung dan chti, cong khai, minh bach.

4. Ph& hgp c8ng tac ,vai tinh than trach nhiem cao nhAt, trung thgc, hgp tac va thuang xuyen cha deng ph& hgp thao ger cac vuang mac, kh6 khan (neu co) vi 10 ich chung caa Kienlongbank.

Dieu 29. Quan he Oita Hai dOng quail tri veri Dai hai thing co thing

Dai hei dOng c (long c6 quyen bai mien thanh vien HOi d6ng quan tri nu cac thanh vien Wei (long quail trj vi pham phap luOt hoac vi pham Dieu le, quy che Kienlongbank.

HOi &Ong guar' trj la co quan thuang tray caa Doi hei dOng ct (long, chap hanh cac Nghj quyet cua Dai hei (long ca dông HOi d8ng quan trj chju trach nhiem truerc Dai hei dong co thing ye mei float deng cüa Kienlongbank. H'& dong quan trj chuan bi nei dung, tai lieu va trieu tOp hgp Dai hi (long co (long.

Diu 30. Mai quan he gicra cac thinh via Hai thing quail tri

Quan h giera cac thanh vien Hi citing quan trj ha quan he phei hgp, cac thanh vien c6 trach nhiem th8ng tin cho nhau ye van de' c6 lien quan trong qua trinh xfr l c8ng viec dugc phan Cong.

Trong qua trinh xit IY c6ng viec ma thanh vien Hi deng quan tri dugc phan cOng chju trach nhiem chinh, nett c6 van de lien .quan den linh vgc do thanh vien Wei thing quan trj khac phv trach ma can cep Y kien caa thanh vien do, thi thanh vien HOi clang quan trj chju trach nhiem chinh phai cha dOng phoi hop xfr ly. Trong throng hap gicra cac thanh vien Hei dong quan trj con c6 )", kien khac niCau thi thanh viên chju trach nhiem,chinh bao cao Chu tich,H0i dong quan trj xem xet quyet dinh theo tham quyen hoac to chirc‘hgp hoac lay y kien cOa cac thanh vien HOi &Ong quail trj theo quy djnh cUa phap luOt, Dieu le Kienlongbank va Quy che nay.

Lau hanli rn5i be) Trang 21/23

Quy cIT6T chac va hoar dr)ng cüa Hi d6ng quart tri

3. Trong truang hcxp c6 sr phan cong Lai gitta cac thanh vien HOi (long quan tri thi cac thanh vien HOi (long quan tri phai ban giao c6ng viec, h6 so, tai lieu lien gnan., Viec ban giao nay phai dugc lap thanh van ban va bao cao Chñ tich HOi thing quart tri ye viec ban giao (16.

Dieu 31. Quan he lam viec gicra HOi d6ng quail tri va Ban Kim sok

HOit dOng quan tri cO trach nhiem hgp tac chat che và tao myi dieu kien thuan lgi cho Ban Klein soat trong qua trinh thuc hien nhiem vu, quyen han dugc giao.

HOi clang quart tri co trach nhiem chi dip giai quyet, chAn chinh va xä bi,cac sai pham theo kien nghi coa Ban Kiem soat va thong bao bang van ban den Ban Kiem soat ket qua giai quyet cac viec dugc phan anh.

HOi dOng quart tri c6 trach nhiem mai Truang Ban Kim soat tham cac phien hyp dinh Id/ va bat thuang cüa HOi 'Jong quan tri.

Ngodi cac thong tin bao cao dinh ky, Ban Kim soat dugc quyen d nghi Hi dong quan tri cung cap cac thong tin, tai lieu ve cong tac quan ly, dieu hanh float dOng cüa Kienlongbank.

HOi (long quan tri dugc quyen yeu cau Ban Kim soat thkrc hien viec kiem tra, kiem soat cac boat dOng cüa be may dieu hanh va cac str viec can thiet khac de kip thai phat hien va ngdn chan cac hoat d'Ong trai phap lust, trai Dieu le hoac trai vOi lgi ich càa Kienlongbank.

Dieu 32. Quan h lam viec gifra Hi deng quail tn va Ban Dieu hanh

, 1. H6i d6ng quan, tri ,dam bao tao myi dieu kien thuan lot ve ca cif& chinh sach, nguon Luc, ca sec vat chat de Ban Dieu hanh thuc hien nhiem \Tit, quyen han dugc giao.

Cac nghi quyet/quyet dinh caa Hi d6ng quart tri co hieu hie bat buOc thi hanh. Khi to chat thuc Men neu Oat hien van de thong c6 lgi cho Kienlongbank thi Tong Giam dew c6 tacit, nhiem de nghi HOi (long quan tri xem xet, dieu chinh cho phit hgp. Truang hgp Hi &Ong quart tri khong dieu chinh thi Tong Giam doc vn phai duty hien nhung c6 quyen bao Mu 9 kien cOa minh vã kien nghi len cac cap c6 tham quyen.

Chu tich Hei &wig quan tri c6 quyen tham du hoac ity quyen cho thanh vien Hi &Ong quan tri khac tham du cac cuec hyp cUa Ban Dieu hanh.

Trong cac cuOc hyp ala Hi dOng quart tri, Chit tya cuOc hyp co quyen mai cac thanh vien dm Ban Dieu hanh va cac can ki quan lY c6 lien quan du hyp de bao cao, giai trinh \fa c6 9 kien.

Ban Dieu hanh c6 trach nhiem tao dieu kien thuan lgi va cung cap cac thong tin, tai lieu ve cOng tac quan 19, dieu hanh cüa Kienlongbank cho cac thanh vien Hi deng quan tri trong qua trinh thuc hien nhiem dugc giao.

Twang hgp phat hien c6 raj ro hoac cac skr c6 c6 the anh huang den uy tin hoac hoat deng kinh doanh ala Kienlongbank hoac cac skr kien xet thay can thiet khac thi Ban Dieu hanh co trach nhiem bao cao ngay cho Cho tich Hei dong quan tri hoac cac thanh vien trvc tiep phti trach mang cong viec do de biet va chi ciao giai quyet kip that

,7. Chu tich HOi dOng quan tri c6 quyen you cAu TOng Giam doc bao cao, phan anh, thuyet minh ve myi hoat deng, vu viec xay ra ala Kienlongbank hoac c6 lien quan vâi Kienlongbank thu6c pham vi trach nhiem dm Tong Giam doc. Cac thanh vi'en HIOi thing quart tri c6 quyen thuc hien yeu cau nhtr tren thong qua Chit tich 1-16i (long quan tr.

Ltm hanh nOi b(15 BA/ Trang 22/24

Quy eh TO chirc ya ho$ dOng citaOi clang quart tri

, 8. HOi deng ,quan tri thong qua ?ác phien hgp dinh ky hay bat thuang, xem xet de diêu chinh, sira doi hoac hUy be quyetiiih,'•'•iriec lam dm Tong ,Giam doe neu cac float dOng hay viec lam nay trai quy dinh cua phap ludt hoac trai Dieu le cUa Kienlongbank hoac trai nghi quyet oda Dai hei &ring co 'Jong hoac vugt tharn quyen dm Tong Giam doe hoac khong phia hcyp v6i quyen Igi call' a Kienlongbank tren ea se bao cao eüa Chti tich Wei thing quan tri hay cila Truang Ban Kiem soat.

Ditu 33. Quan h lam \TO gicra HOi dOng quan tri voi the hot &Ong hop tic kinh doanh, lien doanh lien ket, tham gia gap von ctia Kienlongbank vas) eac to dint khic

HOi dong quan tri quyet dinh dinh huong dau ttr, hgp the dOi vOi cac hoat Ong kinh doanh ctia Kienlongbank.

Del vai cac truOng hap hap tac, dau tax vai doi tac trong nuerc, HOi dons quan tri c6 the fay quyen cho Tong Giam doe chñ dOng dux hien tren ea ser dinh mirc ye quy me, tarn quan tax:mg, gia tri dv an. .Hi d8ng quan tri quy dinh cac dinh mire nay vã Tong Gidm dee chi' (ging dux hien sau khi c6 str phe duyet caa Chia' tich Hei 'Jong quan

Doi vai cac tru6ng hap hcrp tae, dau tu sled (Jed tac nu& ngoai, Hi (long quan tri c6 the lay nhiem cho Teng Giam dee chU deng tiep Vac, tim hieu vã ky ket nhang ghi nhdn ban dau nhu: Bien ban lam viec, ban ghi nh6 vei diêu kin phai .ghi re trong cac van ban nay nei dung th6a thudn chi co hieu lye sau khi da dugc Mei (long quan tri chap thudn.

Cac Phong, Ban, Trung tam chat nang cfia Kienlongbank c6 trach, nhiem tham muu, giflp viec ,cho HOi (long quan tri, Tong Giam doc trong vice giai quyet cac van de lien quan den von g6p cüa Kienlongbank 0 to chirc khac.

CHUONG VII DIEU KHOAN THI HANH

Di&i 34. Hi0 bre thi hAnh

Quy cite nay c6 hieu lye thi hanh k tit ngay / /2019.

Cac thanh vien Hei deng quan tri va toan the can be, nhan vien Kienlongbank chiu trach nhi'em trien khai thtrc hien Quy che nay.

Vic süa dei, be sung hoac thay the Quy the nay do HOi thing quan tri trinh Di Wei thing c6 &Ong xem xet, quyet dinh.

TM. HOT BONG QUAN CH15 TICH

Le KhAe Gia Bao

Luu hanh noi b0

Trang 23/23

TOM TAT VAN BAN MINH DAI DOI BONG CO BONG

Ten van ban: Quy chi Ta chtit va how di}ng caa illu tang quaff Nga n hang TMCP Kien Long Ca,quan ban hanh Van phang HDQT The loai Thay the Van ban dugc thay the 07/QD- HDQT ngay 15/4/2014

Ngay ban hanh . Ngay hieu lye

NO.)/ het hieu lye Den khi có van bon thay the hock chom dirt hieu ltrc van ban nay

Loai van ban Quy che S6 hieu Nguai kY HDQT

Chin danh can quan tam

1 Ca clang

2 Ban Kiim soot

3 Hai clang quern tri

4 Ban Dieu hanh

5 Leinh cloo Phang, Ban, Trung teim Hai so; Chi nhOnh, Phong Giao dich

6 Toan the Con b15, nhein vien

1.. Tang quan:

Quy che Te chat va hoat &Ong cüa Hei clang quan tri Ngan hang TMCP Kien Long duge sCm di, b6 sung mod pht hop vOi Luat Doanh nghiep 2014,

'Luat Cac te chirc tin dung nam 2010 (Luat Cac TCTD 2010) ye. Luat Süa di, be sung met se di'eu Luat Cac TCTD (Luat Cac TCTD 2017), cac van ban

phap luat khac va Dieu Fe Kienlongbank.

2. Tom tit nhimg thay di chinh cfia van ban mei:

Trang 1/34

Dieu ,

NO dung sira (lei Van ban cii Van ban meri Ly do thay dill

Dieu 2. Dia vi phap IS/ elm 1-1(il tong quail tri

Sim doi Man be,

. HOi dOng quail tri do Dai hoi clOng co dong bau, mien nhiem, bai nhiem; HOi thing quart Ai la CO quan cif) day di) quyen han de flare hien tat

TMCP Kien Long AA nhi-mg tham quyen thuOc ve Dai hOi diing cii dong.

ca cac quyen nhan danh Ngan hafig 2014

1. HOi ding quan tri la CO' quan quail ly Ngan hang TMCP Kien Long, có day dil quyen ban de thge hien quyen va nghia vu cilia Ngan hang TMCP Kien Long, fit .

Oc ve Dai hOi ng nhun- g tham quyen thu &O co; (long.

, , 2, Hi delug quail_ tri do_DailyOi dong

co &Ong bau, mien nhiem, bai nhicm.

la 'oan 1 Dieu 1.cp49

Li* Doanh nglu

Dieu 4. Giii thick tir ngit SAa dot i khoan 2, 3

LuO4 Doanh nghiep: La Luat Doanh hghiep so 60/2005/QH11 throb- Quoc hOi nuec COng Itha xa hOi • chi) nghia Viet Nam thong qua ngay 29/11/2005.

Lu4t cac ta chat tin (long: LA Luat _ Cac th chac tin dung se) 47/2010/QH12 dirge Quoc hei nu& COng hoa xa hOi chi) nghia Viet Nam thong qua ngay 16/6/2010.

Lulat Doanh nghiep: La Luat , Doanh nghiep . s6 68/2014/QH13 dugc Qu6c hOi nuot COng hea xa hOi chit nghia Viet Nam theing qua ngay 26/11/2014 hoac van ban sira d6i, bo sung, thay the Luat nay trong tang thoi kY. -

, Lu4t Cac th chirc tin- dong: La

Luat Cac te) chire tin dung so 47/2010/QH12 a Quec hOi mak CHXTICN Viet Nam iulic

thong qua ngay 16/6/2010 va Lill& sira del, ba sung mot so dieu dm Li* Cac to chi:re tin dung se 17/2017/QH14 dirge Qui& hei nute CHXHCN Viet Nam thong qua ngay 20/11/2017 hoac van ban sin dal, be, sung, thay the Lust nay trong fling theri kY.

, Diem r Dieu 1 Dieu le Kienlongbank 2018

136 sung diem vii khoan 11

(vii) Phap nhan, ca nhan khac CO m6i quan he tiem an rili ro cho Float &ling an Kienlongbank dugc xac dinh theo quy - dinh nOi bO cUa Kienlongbank hoc theo yeu cau bang van ban cna Ngan hang Nha

Khoan 1 Di'eu 1 Dieu le Kienlongbank

nuac thong quan hoat dOng thanh tra, giam sat &Si voi timg truing hop cy the.

eetV Trang 2/34

Diu Ned dung sira di Van ban et Van ban mai Ly do thay di

6: Di hi dang ca (long: LA dai hOi , Tong c8 (long cita Ngan hang TMCP Kien

• Long bao gam tat ca the c6 (king c6 quyen bieu quyet.

7. a thing: LA tó chirc hoac cá nhan sa hitu mOt hoc mOt so co phan dm Ngan

138 sung khoan 6, 7 hang TMCP Kien Long lid dang ky ten Khoan 1 Dieu 18 va 9 trong so clang kY co dong dm Ngan hang Kienlongbank

TMCP Kien Long.

, 9. Nguiri diu hanh: La TOng Giam doe, PIM Tong Giam doe, Ka toan trueng, Giam dOc Chi nhanh \fa cac chi:re danh tucmg ducmg khac do HOi (long quan tri quyet dinh.

a. 13. Cling ty kiem sok: La cong ty dang s8 him mut tiep hoac gian tiep tren 20%

. Diem 1 khoan 1 Dieu 1

13 8 sung khoan 16 (hai muai phan tram) von di 'eu 18 hoAc von c6 phan ce quyen bieu quyet hoc nam quyen kiem soat dm Kienlongbank.

Dieu 18 Kienlongbank 2018

MV Trang 3/34

Diu Ni dung sira dill Van ban cu Van ban meri 14 do thay dot i

. Dieu 5. Thanh

hAn 14 nhiem Pky ciia -Heti -tiling .. quan tri

Sim doi lchoan 1, sin doi khoan 6

thanh khoan 7 -va bo sung lchoan 6 a

Quy che men

Dieu 5. Ccr du, tii chtrc ciia Hi (long quan tri

, 1. Se lugng thanh vien H6i dong quart tri khong it hcm nam (05) thanh vien va khong qua mueri mot (11) thanh vien, trong do c6 it nhat met (01) thanh vien dee lap. Nhiem kY dm Wei dong quail tri khong qua nam (05) nam. Nhiem ky dm thanh vien HOi (long quart tri khong qua nam (05) flan', thanh vien HOi &mg quan tri co the dtrac bau lai veri se nhiem kY kitting han she. HOi ding quan tri phai c6 it nhat met phaln hai (1/2) teng se thanh vien la thanh vien doe lap va thanh vien khong phai la nguoi dieu hanh Kienlongbank.

, 6. Viec bau cac thanh vien HOi (long quail tri phai tuan theo quy dinh ciia Kienlongbank va Phap luat c6du lien quan.

, Diu 5. Thanh &Ian vã nhiem kY da Hi (long quail tri

1. SO lugng thanh vien Hi dong quasi tri kh6ng it hcrn 05 (nam) thanh vien va khOng qua 11 (mixed met) thanh vi'en, trong do c6 it nhat 01 (m0t) thanh vien dee lap. Nhiem ky dm Wei dong quail tri khong qua nam 05 (narti) nam. Nhiem IcY ciia thanh vien HOi ,ciong quan tri theo nhiem Icy cUa HOi clang quart tri. Thanh vien HOi &mg quail tri, c6 the dugc bau hoac b9 nhiem‘lai yen so nhiem lcY khons flan che. HoLdong quantri,phai c6 it nhat

- 1 , 1/2 (met phan hai) tong so thanh vien a thanh vien doe Jap va thanh vial thong Phai la ngtred dieu hanh Kienlongbank.

_ 6. Thanh vien ' Hoi &Ong quail tri thong nhat thiet phai la co d'Ong cUa Kienlongbank.

7. Viec bo nhiem cac thanh vial HOi A ng quan tri phai dugc cling bei thong tin

. theo cac quy dinh dm Quy che nay, Dieu le Kienlongbank va phap luat c6 lien quan.

. - Dieu 64 Dieu le' Kienlongbank 2.0, 18 - Khoan 2 Dieu 43 Luat Cac TCTD nam 2010

04-7 Trang 4/34

Mau Nioi dung sira di Van ban cli Van ban mai 14 do thay diii

Dieu 6. Tiue . chufin vã dieu kin de dime bau thanh vien 1-1(ii dong.quan tri

47'

, fr, S a doi khoan c va O sung b khoan d

1. Thanh yien Hi clang (pan tri phai c6 du cac tieu chuan, dieu kien sau day:

Khong thuOc Jai tueng quy dinh tai Dieu 7 Quy the nay;

Co dao dim nghe nghiep;

LA cd than se: Mtn hoc ngthei dupe fly quyen dai dien so hitu it .nhat 5% (nam) yen dieu le cUa Kienlongbank, tit truang ‘ hpp la thanh vien doe lAp ciia Hi dongsman tri hoc c6 bang dai hoc tr6 len ye met trong cac nganh kinh te, quan tri kinh doanh, luAt hoac CO it that ba (03) nam la nguei quail 15r cim tO chute tin dung hoac doanh nghiap hog( dOng trong nganh bao hien), chung klioan, ke toan, kiem toan hoac c6 it that nam (05) nam lam Nil& tivc flap tai cac be phan nghiep yu trong 11th viic ngau hang, tai chinh, kiem toan hoac ke roan.

1. Thanh vien Hei &Ong quan tri phai co dil cac tieu chuan, dieu kin sau day:

Kh6ng thuec doi tueng quy dinh tai Dieu 7 Quy che' nay;

CO dao dim nghe nghiep;

CO bang dai hpc trar len;

CO it nhat 03 (ba) nam la nguai quan is', ngueri dieu hanh dm to chat tin dung hoac c6 it nhat 05 (nam) nam la nguai quan IT, dieu hanh cita doanh nghiep hoat Ong trong nganh tai chinh, ngan hang, ke toan, kiem toan hoac cOa doanh nghiep khac c6 yen chit se MM. toi thi'eu bang mire Yen phap dinh dOi vai loai hinh tä chute tin dung hoac, c6 it that 05 (nam) nam lam yiec trk.rc tier, tai be phAn nghiap Yu tai chinh, ngan hang, ke toan, kiem toan.

Khoan 1 Diau 65 Dieu le Kienlongbanlc 2018

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Dieu Ish5i dung situ di Van ban cd Van ban m(ri Ly do thay di

Diu 7. Nhfing ho trtrirng v

—

thanh vien Hi &mg quail tri

Sim dai Ichoan 11 thanh 12

Them khoan 11

killing dirge dam Cac nhi'm chat vu -

Ngueri cla timg,bi dinh chi chire danh Chit' tich Hai clong quan tri, thanh vien Hai thing quan tri, Chii tich Hai (long thanh vien, thanh vien Hai dong thanh vien, Truang Ban kiem soat, thanh vien Ban kiem soat, Tong Giam de (Giam dc) dm t6 chirc tin dung theo quy dinh tai Dieu 37 etia Luat cac to chgc tin dung hoac N co quan ca tham quyen xac dinh ngueri do có vi pham elan den viec th chirc tin dung bi thu hi Gray phep.

Cac truang hap khae,theo quy dinh dm Phap luat \fa , Dieu le Kienlongbank.

11. Nguiri phai chiu trach, nhiem theo ket luan thanh tra dan den viec Kienlongbank bi xir phgt vi phgm hanh

- Moan 6 Dieu 1 Luat TCTD 2017,

Dieu 53 Dieu l'e Kienlongbank 2018

chinh trong linh vue tien, te va ngan hang er khung phat tien cao nhat dei veri hanh vi vi pham quy dinh ve giay phop, quan tit dieu hanh, ea phan, ca phieu, gap van, mua ca pi-Ian, cap tin dung, mua trai phieu doanh nghiep, ty le bao dam an toan theo quy dinh cria phap - luat ve xa ly vi pham hanh chinh trong linh we tion te \TA ngan hang;

Cac truryng hap khac theo quy dinh dm Dieu le Kienlongbank va phap luat trong timg thai ky.

Dieu 8. Nhitng truimg hop khong ding dam nhit'm chile vu HO &mg quail tri

Scra dal khoan 2.

2. Thanh vien Hai dong quail tri dm Kienlongbank khong &roc clang thai

.: • „ • la nguai qua'n ly' cu' a to chuc tin dung khac, trir tnremg hop t6 chic nay la cong ty con dm Kienlongbank.

2. Clth tich Hai clang quan tri Kienlongbank khong dirge &Ong theni la Chfi tich Hai &lig quan tri, thanh vien Hai dang quan tri, Chu tich Cong ty, Tong giam doe (Giam doe), Pho

. Tong giam dc (Pha giam doc) hoc cac cbirc danh tucrng throng dm doanh nghiep khac.

- IChodn 7 Dieu 1 Luat cac TCTD nam 2017 - Dieu 54 Dieu le Kienlongbank 2018

Luefr-

V147 Trang 6/34

Dieu ,

Ni dung sin 4M Van ban cu Van ban mth Ly do thay dai

Dieu 9. Dung nhien mat tu' each thanh yien flOi (long quail tri

Sim dei diem c, e khoan 1

, . c. LA nguiri dai din phan von

gOp cilia met tO chirc la co (long khi to chirc ci6 bi chfim dirt tu cach phap

nhani

e. lai Kienlongbank bi thu hei Giay phop hoac bi charn dirt tu each phap nhan.

'La nguai dai din phan' yen gop dm met to chirc la ca dong hoc thanh vien g6p von cita to chuc tin clung khac khi to chirc do bi chant dirt tu each phap nhan;

Khong con la ngueri dai dien phan von Op theo fly quyen dm co; thing la tO chirc;

d. Bi true xuat khOi lanh the) nu& COng hea xa hei chit nghia Viet Nam;

Khi Kienlongbank bi thu hei Giay phep hoc bi cham dirt tu each Oaf) nhan.

- Khoan 1 Dieu 35 Luot cac TCTD nam-2010 , - Dieu 55 Dieu le Kienlongbank 2018 ,

Dien:. : 10. Mien .i-, nhi0i, hal nhi0.1

than*: vier' H0i dongquan tri

- " Sira den diem e

khoan 1

e. Cac truerng hop khac quy dinh trong Dieu le Kienlongbank;

, e., Cac truerng hop khac do Dai hei 'Jong c6 (long quyet dinh hoc quy dinh trong Dieu le Kienlongbank.

- Dieu 56 Dieu le Kienlongbank 2018

gq/ Trang 7/34

Diu ISloi dung sin dal Van ban ca Van ban mai LS, do thay di

Diu 11. Thay the' thanh .Aen Heil tong quart tri

Sita tied khoan 6 thanh khoan 7 va bg sung khoan 6

6. Nhitng nguai dugc bau gift chirc Chn tich va thanh vien HOi &rig quan tri cO filch nhiem nen nhan \fa dam nhiem ngay ding viec cfra chirc danh dugc,bau. cha tich \fa cac thanh vien HOi dOng quail tri bi mien nhiem, bai nhiem cO trach nhieni ban giao cong viec au tich va eac thanh‘ cho

6. Hi &Ong quail tri trieu tap hop Dai hei deng ca , Tong de' bail b6 sung thanh vien Hgi clang quail tri trong thai ban 60 (sau mini) ngay, ke dr ngay khOng dam bac, so luemg thanh vien HDQT thugc

_ Dieu . 156 Luat Doanh.nghiep 2014 - Dieu 64 Dieu 1 'e Kienlongbank 2018

cac twang hgp sau day:

S6 thanh vial HOi clang quail tri khong chi 2/3 (hai ph an ba) tang so' thanh via dm nhi'em ky hoc khong dii so thanh vien tell thieu theo quy dinh tai Dieu le Kienlongbank.

(ii) S6 lugng thanh vien dgelgp Hei do .: ng .quan tri khong bao dam ty le theo quy dinh tai Dieu le Kienlongbank va phap luat cO lien quan hien hanh vien HO &Ong quail tri mai dugc bau

xii ly. 7. Ngued dirge bau gill chirc Chn

tich lid thanh vien HO (2/Ong quan tri co trach nhiem tiep nhan va dam nhiem ngay cong viec cria chirc danh dirge bau. Cho tich, thanh vial HO dong quail ft-1 bi mien nhiem, bai nhiem co trach nhiem ban giao cOng \flee cho Chn tich, ,thanh vien Hei &Ong quail tri mai dugc bau xir ly.

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Di&t,13. cAu HOi::dong quail tri -r'‘ '1,*

Sin den be) sung toan be'

I. Hi citing quart trj gôm có: Chi) tich, Pho chit tich va thanh vien, Uy ban thuang truc Hi ding quan tit; các Uy ban/ Wei thing true thu0c, de tham mini hoac thay mat HOi dong quart tri thgc hien met se nhiem vkl va quyen han cita Wei thing quan trj: Uy ban quart ly raj ro, Uy ban, nhan su, Uy ban tin dung, HOi ding dau tu, Flei dOng thi dua va khen thuang, Wei ding xir 1' nii ro, trong do Uy ban quail 1' rin ro va fly ban than sr la bat bthc; va van ph6ng Het clang quart trj.

Ngoal cac fly ban/ HOi deing nOi tren HO ding than trj ea :the thanh 1Ap them the fly ban/ Hei &ring khac neu thay can thiet dé tham mtru/ ginp viec cho Het ding quan tn.

Uy ban thuerng true Hi clang quan trj

HOi &Ong than trj thanh lap Uy ban thuerng trtrc HOi clang quart trj cle thay mat cho,Hei,dong quan trj giai quyet nhang van de that sinh thuec tham quyen cüa HOi thing quart trj gifra hai (2) Icy hop ciia Hi dthg quail tn.

Ca cau tr.') chic, cline ,nang, nhiem vu, quyen ban va Ca che boat deng cüa Uy ban thuang true HOi ding quan trj se. do Hei ding quan trj quyet dinh phU hop voi quy djnh tha

1. Hi ding quart trj gèm cO: Chit' tich, cac Ph6 chit tich, the thanh thanh vien, Van pheng Hei dOng quan tri Ara cac Uy ban/HOi dOng true thuec,

Uy ban Quan 1 tin ro;

fly ban Nhan str;

Cac Thy ban/110i ding tut thuOc tham mint, ginp viec cho HOi (long quan trj thgc hien mOt se nhiem vu, quyen ban dm Wei ding quart trj khi dugc ay quyen.

2. Ngodi cac Thy ban/HOi ding n6i tren HOi Tong quart tri, CO the thanh lap them cac Uy ban/ Wei dOng khac nett thay can thiet de tham mind giüp viec cho HOi Tong quart trj.

3. Cac Thy ban/HOi &Ong tryc thuOc Wei dOng quart tri CO chirc nang gith viec, tham mint, de xuat Hei,dong quart trj thtrc hien cac nave tieu, chien lugc, ke hoach, nghj quyet do HOi dOng quart trj ban hanh.

4. Ca cau t8 chine, cline nang, nhiem quyen han Ira ca che boat dOng cüa

timg Uy ban/HOi (long true thuOc HOi dOng quan trj do HOi d8ng quan trj quyet dirt tai Quy che TO chine va hoat ding tha timg Uy ban/HOi ding, phi' hop veid quy djnh tha Kienlongbank va guy dinh cUa pita)) LOT

5. Van pheng Hai clang (plan trj

a. Van ph6ng Hei ding quail trj la Ca quan gith viec, thu cho Tfoi dOng quart

- PhU hop thtrc tiern boat deng Kienlongbank

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Trang 9/34

Kienlongbank \fa quy dinh cila Phap luat.

c. Cy ban thuerng true HOi deng quan tri bao cao lai cho Hen den* quan tri ,tai cac cuec hop gan nhat ye cac quyet dinh lien quan den cac van de dugc ity quyen giai quyet.

4. Cac Cy ban/ Hi ding

a. Cy ban quan IY nth ro (UBQLRR):

- tri vã cac Cy ban/ Wei &nig truc thuec HOi thing quail tri.

Ca cu ta chac, chirc nang, nhiem vu, quyen han va CO eh& boat clOng cila Van phOng Hei (long quail tri do Hei (long quan tri quyet dinh phi' hop voi quy dinh ciia Kienlongbank vã quy dinh ea' a Phap luat.

Van phong Hen deng quan id có trach nhiem bao mat thong tin theo quy dinh cila Kienlongbank va quy dinh dm

- Tham mtru cho HDQT trong viec ban hanh cac quy trinh, chinh- sach thuOc tham quyen caa UBQLRR lien quan den quail tri rai ro trong hoat

Phap lust.

Ong cna Kienlongbank theo quy dinh dm Phap luSt va Dieu le Kienlongbank.

- Phan tich, din ra nhang canh bao ve mac dO an toan cila Kienlongbank truac, nhimg nguy ca, tiem an nii ro c6 the anh huOng va bin pilaf) phOng ngira den voi cac nii ro nay trong ngan han ding nhu dai han.

- Xem xet, danh gia tinh phi' hop va hieu qua dm cac quy trinh, chinh sach quail tri riii ro hien hanh dm Kienlongbank , de dua cac ,khuyen nghi, de xuat (lei voi HDQT ve nhimg yeu cau can thay doi quy trinh, chinh sach hien hanh, chien lugc boat dOng.

- Tham muu cho HDQT trong viec quyet dinh phe duyet cac khoan dau

Fel/ Trang 10/34

DiMt Ni dung stia di Van ban Cu Van ban mai Ly do thay den tu, cac giao dich cO lien quan, chinh sach quan tri \TA phucmg an Xl:r 1.5/ rai ro trong •pham vi chnc nang, nhiem ya do HDQT giao.

•

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b. Oy ban nhan sty:

- Thani intru cho HOi dong quart al ye quy ma va ,ca cau Hal ling quart tri, Nguai dieu hanh phi' h9p tied quy, mO boat dOng va chien lugc that trien dia Kienlongbank.

- Tham mau cho HOi clang quart tri xit l5, cac van de ve nhan sty that sinh trong qua trinh tien bath cac thil t9c bau, bo nhiem, bai nhiem, mien nhiem the chac danh thanh vien 110i &Ong quart tri, thanh vien Ban kiem soat \id Ban diet' hanh ngan hang theo dung quy dinh cua Phap luat va Dieu Fe Kienlongbank.

: Nghien ciru, tham mtru cho HOi Tong Tian tri trong viec ban hanh cac quy dinh ni bo dm ,

Kienlongbank thuOc tharn quyen dia. Hi dong quail tri ye the dO tien luang, thn lao, ben thuang, quy che tuyen ch9n than str, dao, tao va cac chinh sach dai ng0 kit doi von nguai dieu hanh, caz can bO, nhan vien ciia. Kienlongbank.

c. lily ban tin dung: Thay mat cho Hi dong quan tri phe duyet cac he so cap tin dung cho khach hang theo quy dlnh ctia Kienlongbank; , , Quyet dinh mOt so van de lien quan den ,hoat dOng tin dung thuOc tham quyen dm Hi Tong quart tr.

Trang 12/34

d. HO clang dau tu: Thay mat cho HOi dong quail tri xem xet va phe duyet cac khoan dau tu: giay 0 co gia, trai phieu doanh nghiep, Op von, mua co phan... theo quy dinh, cila Kienlongbank; Quyet dinh mOt so van de lien quan den hot d'Ong dau fix thuOc tham quyen clia HOi &Mg quart tit

d. Het deing thi dua va khen thuong- Tham mtru va dinh mOt cluyet so van d'e lien quan den cling the thi dua,, lchen thuerng, kY luat thueic tham guy& dm MI &nig quan tn.

. Co cu te) chirc, chirc ,nang,

nhiem Nip, quyen han \fa co,che boat dOng cin cac Uy ban/ HOi clang se do

'cc HO dOng quan tri quyet dinh p10 hop veri quy dinh cua Kienlongbank và quy clinh clia Phap luat.

5. Van phOng HOi clang quan tri

a. Van phong HOi dong quan tri la co quan gialp viec, thu IcY cho HOi dong quail tri va cac fly ban/ Hi dOng; Wong theri dam nhiem vai trO thu IcY cOa Kienlongbank.

It Ca cu te) chirc, chirc ,nang, nhiem vu, quyen ban \TA ca,che hoat dOng dm Van,phong HOi (Jong quan tri se do HOi dOng quart tri quyet dinh phi' hop veri quy dinh dm Kienlongbank vã quy dinh dm Phap luat.

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Dieu NOi dung sira dal Van ban cu , Van ban mai Ly do thay di c. Van phOng HOi dOng guan tri

cO trach nhie‘m bao mat thong tin theo guy din]) dm Kienlongbank và guy dinh oh Phap luat.

Dieu 14. ChAp thuAn danh sach

- dkr kin nhfrug ngiteri dirge bau lam thanh vier' Hi dong quail tri

. Sim dOi khoM) 3 thanh khoan 3, bo sung khoan 2

2. Kienlongbank phai thong bao cho Ngan hang Nha nuac danh. sach nhimg ngueri dugc bau thanh vien Hi

.dOng guar) tri trong thoi han flared

(10) ngay lam viec Ice tir ngay bau.

2. TIM tuc, h6 scr chap thuan danh sach du kin bau, bo nhiem thanh vien HOi &mg qua tri phai tuan theo guy dinh dm Ngan hang Nha nuerc tai then diem bau, b6 nhiem.

, . ,3. KienlongbanIc phai thong bao va _gm bao cao danh sach nhiing ngugi dugc ball thanh vien Hoi clang quart tri cho. ' Ngan hang Nha rook, Uy ban Chung khoan Nha nage, So Giao dich Chung khoan Ha Nei theo dung guy dinh coa phap luattrong timg that kSr.

Dieu 57 Dieu le Kienlongbank 2018 Khoan 1 Dieu 9 Thong

tu 155

Trang 14/34

Dient15. Nhiem yy ya quyen hn ena 1 1161 &mg • quan tri

Sim di, ba sung todn b0

Hoat Ong kinh doanh va cac &Mg yiec cUa Kienlongbank phai chiu sr giam sat va,chi dao cna Hi clOng quan tri. Hi &Ong quail tri la co quan c6 day clit quyen han de thvc hien tat Ca cac quyen nhan danh Kienlongbank trir nheing tham quyen thuOc ye Dai hOi thing co &Ong.

Hi &Mg, quail tri co trach nhiem giam sat TOng Giam doe dieu hanh va cac can b)(:) quail 19 khac.

, 3. Hi cleng quail tri CO nhüng quyen han \TA nhiem vu sau:

:a. Chiu trach nhiem truk Dai hOi thing co &mg trong viec thvc hien nhiem vi, quyen han dugc giao.

, b. Trinh Dai hOi clang ce,dong quyet dinh, th6ng qua cac van de thuk tham quyen cna Dai hOi &mg co citing quy dinh tai Khoan 2, Di'eu 59 cna Lu;at cac TCTD nam 2010.

C. Quyet dinh viec thanh lap chi nhanh, phOng giao dich, van pheng dai dien, don vi sr nghiep.

d. B6 nhiem, mien ,nhiem, bai nhiem,,k9 luat, dieu chuy'en, dinh chi vã quyet dinh mire Wong, lgi ich khac dOi yeti the chi:re danh Tang ,Giam doc, Ph6 Tong Giam doe, Ke toan truong, Thu k9 Hi dOng quail tri, cac chac danh thuOc b phan kiem Man nOi b0 va cac chk danh quan trpng

Hot dOng kinh doanh va cac cOng viec cua Kienlongbank phai chiu skr giam sat ya chi dap cua Hei &Mg quan trj. HOi &Ong quail tnla co quan quail trj c6 day da quyen han dé thvc hien tat ca cac quyen nhan danh Kienlongbank, tra nhiing van dê thuOc tham quyen cira Dai hi &mg cO dong.

Hi ding quan tri c6 trach nhiem giam sat Tong Giam doe va cac can be quail 19 lchac.

HOi deng quart tri co nhfing quyen han ya nhiem vu sau:

a. Chiu trach nhiem trien lchai vik thanh lap, khai trucmg boat dOng cüa Kienlongbank sau cuec h9p Dai hei clang c6 (long dau tien;

b: Chin trkh nhiem tnrerc Dai hOi dong co dong trong viec thvc hien nhiem

quyen han dugc giao;

C. Trinh Dai hOi &rig c6 thing quyet th6ng qua cac van, de thuk tham

quyen:cila Dai hi (long co Wing quy dinh tai Dieu le Kienlongbank va phap luat co lien quan;

d. Quy'et dinh viec thanh lap, chia, tkh, sap nhap cac HOi thing, PhOng, Ban, Trung tam tai HOi so; quyet dinh thanh lap Chi nhanh, Pilot-1g giao dich, Van pheng dai dien;

d. BO nhiem, mien nhiem, k9 luat, dieu chuyen, dinh chi va quyet dinh mire

- Dieu 66 Dieu le Kienlongbank 2018 - Phn hop Luat Cac TCTD hien hanh

J.?

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khac theo quy dinh nei be do Hei (long quart tri ban hanh.

Thong ,qua phucmg an gap von, mua co phan ctia doanh nghiep, to chirc, tin dung khac co gia tri clued 20% von dieu 1 cUa Kienlongbank ghi trong bao cao tai chinh da clugc kiem toan gan nhat.

Cur nguoi dai din quail ly von gOp cita Kienlongbank tai doanh nghiep, tO chirc tin clung khac.

Quyet dinh clAu hi, mua, ban tai san cUa Kienlongbank den clued 20% so v8i von dieu le ctia Kienlongbank ghi trong bao can tai chinh da clugc kiem toan gan nhat.

Quyet dinh cac khoan cap tin dung theo dieu khoan han che cap tin dung quy dinh tai Dieu le Kienlongbank, trir cac giao dich thuec tham quyen quyet dinh dm DM hi dong co (Jong quy dinh tai Diem p, Khoan 2, Dieu 59 dm càa Luat CTCTD nam 2010.

Thong qua cac hgp (long dm Kienlongbank vai clang ty con, cling ty lien ket dia Kienlongbank; cac hap dOng cita Kienlongbank vài thanh vien HOi d8ng quart tri, thanh vien Ban kiem soat, Tong Giant doc, co dong iOn, nguai c6 lien quan cUa by

gia tri bang hoac nhO han 20% von dieu le cüa Kienlongbank ghi trong

lucmg, lgi ich,khac d6i veri cac chi:re danh T6ng giam doc, PhO Tong giam doc, ,KE toan tru8mg, Chanh Van pheng Het dong quan tri, Thu ky HOi dong quan tri va nguai quan ly, nguai dieu,hanh khac theo quy dinh net be cüa HOi &mg quan tri;

e. Thong qua phuong an gOp von, mua cO phan cfia doanh nghiep, t6 chirc tin dung khac co, gia tri (lath 20% (hai muui phan tram) von dieu l cUa Kienlongbank ghi trong bao cao tai chinh da dugc kiem toan gan nhat;

Cr nguai dal din quart lY v6n gOp cüa Kienlongbank tai doanh nghiep, tO chirc tin dung khac;

Quyet dinh dau hi, giao dich, mua, ban tai san cUa Kienlongbank clued 20% (hai muai phan tram) so vet von dieu

cna Kienlongbank ghi trong bao cao tai chinh da dtrgc kiem toan gan nhat, trir cac khoan dau tu, giao dich, mua, ban tai sari cita Kienlongbank thuec tham quyen cUa Dai hi thing co (tong hoc cac khoan dau tu da dugc Dal hoi &Ong co &mg phe duyet;

i.Quy&t dinh cac khoan cap tin dung theo dieu khoan han che cap tin dung quy dinh tai Dieu le ,Kienlongbank, trir cac giao dich thuec tham quyen quyet dinh caa Dai hei thing cO d'Ong guy dinh tai Luat Cac TO eh& tin dung ILA phap lust khac c6 lien quail;

RAV Trang 16/34

.„ —

bao cao,tai chinh da dugc kiem toan gan nhat. Trong triUmg hop nay, thanh vien c6 ,lien quan khOng có quyen bieu quyet.

k. Kim tra, giam sat, chi dao TOng Giant doc thtrc hien nhiem in( dirge phan cOng; Daub gia hang nam ve hieu qua lam viec dm Tong Giarn doe.

1. Ban hanh, cac quy dinh nei be lien quan den th elide, quan tri vã hot citing cila Kienlongbank phi) hop vai cac quy dinh dm Dieu l'e va Phap luat c6 lien quan, trir nhirmg van de thuoc tham quyen dm Ban kiem soat hoac dm Dai hi (long c6 &Mg.

m. Quyet dlnh chinh sach quan

k. Thong qua cac hem deng dm Kienlongbank veri &mg ty con, cong ty lien ket dm. Kienlongbank; cac hop &mg dm Kienlongbank veri thanh vien HOi &Mg quail tri, thanh vien Ban ki8m sok, • T ong giam d0c, cc') &rig 16n, ngueri c6 lien quan dm ho c6 gia tri bang hoac ,nho hcm 20% (hai magi phan tram) von dieu Le dm Kienlongbank ghi trong bao cao tai chinh d'a dugc kiem toan gan nhat. Trong tithing hop nay, thanh vien c6 lien quan khong co quyen bieu quy'et;

1. Kiem tra, giarn sat, chi dao Tong • giam doc time hien nhiem ,v9 dirge phan cong• dartgia hang nam ve hieu qua lam ' • viec cila Tong giam dew;

Ban hanh cac quy dinh nei be tr le Mile, quail i quan dn chile, va boat

dOng cila Kienlongbank phi) hopveri cac quy dinh dm Dieu le Kienlongbank va pita') luat c6 lien quan, tit nhimg vAn de thithc tham quyen dm Ban kiem soat hoac cila Dai Ithi Tong co &mg;

Quyet dinh chinh sach quail 19 rlli ro va giam sat viec flux thi cac bin phap phong ngira rili ro dm Kienlongbank;

a Xem xet, ph& duyet bao cao thuerng nien;

' Quyet dinh viec &Mt gia tai san ,

gOp von hoac dirge quyen Itra chtin to chire dinh gia chuyen nghiep de dinh gia tai san grip yen kh6ng phai la flan Viet Nam,

19 lin ro va giam sat viec dux thi cacien bin phap ph6ng ngira rili ro dm Kienlongbank.

Xem xet, phe duyet bao cao thuong nien.

Lisa ch9n t6 chirc dinh gia chuyen nghiep de dinh gia tai san Op von Ichong phai la, tien Viet Nam, ngoAi te Ur do chuyen doi, yang theo quy dinh dm phap luat.

. p, De nghi Thong &Se Ngan hang Nha nuem chap thuan cac van de theo quy dinh dm phap Wt.

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ngogi t tir do chuyen Mi, yang theo quy dinh caa phap luat;

D nghi Theing dc Ngan hang Nha ntrec chap thuan cac van de theo quy dinh càa phap luat;

Quyet dinh chao ban c8 phan mei trong pham vi co phan dirge quyen chat) ban;

Quyet dinh gia chao ban ,c6 phan va trai phieu chuyen doi càa Kienlongbank;

Quyet dinh mua lai hoac thuhai Cot phan cna Kienlongbank theo quy dinh cüa Dieu le Kienlongbank va phap 141 c6 lien quan;

u. Kin nghi phucmg an phan phoi lcri nhuan, mirc co tirc dugc tra, quyet dinh theri han va thia tuc tra co tirc hoac xe ly 18 phat sinh trong qua trinh kinh doanh;

v„ Chuan bi nOi dung, , tai lieu lien quan de trinh Dai hOi (long co thing quyet dinh cac van de thuec tham quyen cna Dai hi dong co &mg, nit nhang nei dung thuec nhiem vu, quyen hn dm Ban kiem sok;

x. Duyet chuang trinh, k hoach boat clOng cna FlOi (long quan tri; chucrng trinh, ,nei dung, tai iiu phiic v hop Dai hei &rig co &mg; trieu tap h9p Dai hi thing co &mg hoac lay Y kien c6 (long bang van ban de thong ,qua nghi quyet, quyet dinh cUa Dai hei &Ong cei &Ong;

Quyet dinh chaoban,ca phan men, trong pham vi c8 phan dugc quyen char) ban.

Quyet dinh gia char) ban ce phan va trai phieu chuy'en doi dm Kienlongbank.

Quyet dinh mua lai hoac thu hoi co phan cga Kienlongbank theo quy dinh dm Dieu le nay vã Phap luat có lien quan.

Kien nghi phtrang an phan phoi,lgi nhuan, met di tirc dugc tra; Quyet dinh theri han va din tic tra cô tat hoac xtr ly 18 pith sinh trong qua trinh kinh doanh.

Chuan bi nei dung, tai lieu lien quan de trinh Dai hei (long c8 Tong quyet dinh cac van de thuec tham quyen cna Dai 110i dong co &mg, tre nheng nei dung thuec nhiem vu, quyen han dm Ban kiem soat.

Duyet chuang trinh, ke boa& hot deng ciaa Hi &mg quart tri; Chuang trinh, nOi,dung tai lieu plinc vg. hop Dai het &Ong co Tong; Trieu tap hop Dai hi (tong co dong hoac lay

kien co &Ong bang van ban de th8ng qua nghi quyet, quyet dinh cita Dai hi along c8 (long.

x. TO chec trien khai, kiem tra, giam sat viec thgc hien nghi quyet,

"1/ 1147 Trang 18/34

quyet dinh eüa Dai hOi deing c6 (long va Hoi &Mg quail tri.

y. Th6ng ban kip Mari cho Ngan hang Nha nu6c thong tin anh huomg tieu cue den tu each thanh vien HOi clang quan tri, Ban kiem soat, Tong Giant chic.

aa. Quyet dinh thanh lap cac tIy ban/HOi clang, bO phan giUp viec khac theo quy dinh cOa Dieu le nay va Phap Mat cO lien quan.

ab. Cac nhiem vs, quyen han khac theo quy dinh tai Dieu le dm Kienlongbank va Phap luat c6 lien quan.

HOi deng quan tri phai bao cao Dai hi thing co dOng ve hoat dOng cüa minh, cs the la ve vie giam sat oh HOi dOng quart tri cloi ved Tong Giam doe dieu hanh va nhang can MO quan lY khac trong nam tai chinh.

110i Tong quart tri c6 quyen Qy quy'em lai cho cam Hy ban/ HOi dOng quyet dinh mOt so van de thuOc tham quyen cüa Hi dong quail tri; Hoac HOi dOng quail tri cc') the ñy quyen cho thanh vien HQi dOng quan tri, nhan vien cap clued \fa cac can MO quhn l khác di din xir l Meng viec thay mat cho Kienlongbank.

Thanh, vien dm Hy ban/ HOi dOng c6 the Om mOt hoac nhieu thanh vien eOa HOi dong quart tri va

y. T6 chirc trien khai, kiem tra, giám sat viee thsc Men nghi quyet, quyet dinh eüa Dai hi dOng co dOng va HOi dong quail tri;

aa. Thong bao kip Mai cho Ngan hang Nha nu& thong tin anh huemg Sal eve den tmcach thanh vien HOi (long quail tri, Ban kiem soat, Tong Giant dOc;

ab. Quyet dinh cac khoan vay no va viec disc hien cac khoan the chap, bao dam, bao lath va boi thlremg eOa Kienlongbank theo quy dinh oh Dieu le Kienlongbank va phap lust cep lien quan;

ac. Quyet dinh thanh lp cac Hy ban/HOi thing, b phan gitlp vie khac theo quy dinh dm Dieu le Kienlongbank va phap luat e6 lien quan;

ad. Cac nhi'em vs, quyen han kit& theo quy dinh tai Dieu le Kienlongbank va Phap luat c6 lien quan.

HOi &Mg quail tri phai bao cao Dai hi dons co dOng ye hot &Mg dm minh, es the laye viec, giam sat cila HOi &Mg quail tri doi veri T6ng giam doe dieu hanh \fa nhcmg can bi) quan lY khac trong nam tai chinh. Tnremg hcrp Hi &Mg quan tri khong bao cao cho Dai hi dOng co dOng, bao cao tai chinh nam cña Kienlongbank bi coi la khong c6 gia tri va chua ducre HOi dOng quan tri thong qua.

HOi dong quan tri co quyen fly quyen lai cho cac Hy ban/HOi dong,quyet dinh mOt sO van de thuoc tham quyen cUa

Trang 19/34

HOi cl6ng quart tri, hoac Wei clOng quail tri cO the ity quyen cho thanh vien HOi (Jong quail tri, Ngtr6i quan ly khac dal din xci ly ding viec thay mat cho Kienlongbanlc.

,6. ,Thanh vien cila fly ban/HOi clang co the, Om mOt hoac nhieu thanh vien cUa HOi citing quail tr và mOt hoac nhieu thanh vien ben ngoai theo quyet dinh càa HOi dong (man tn. Trong qua trinh thuc hien quyen han dugc ày Mac, cac Uy ban/ 1101 Wing phai tuan thu cac quy dinh nOi bO ma HOi &Ong quail tri, da ban hanh. Cac quy dinh nay co the dieu chinh hoac cho phep ket nap them nhang ngtreri khOng phai ,la thanh vien 1101 dong quail tri vdo cac Uy ban/HOi &Mg ,neu tren ya cho phep ngueri do dugc quyen bleu quyet veri tu cach thanh vien cita Uy ban/ HOi &Ong nhtrng:

a. Phai dam bao s6 lugng thanh vien ben ngoai toi da bang 1/2 (mot phan hai) tong so thanh vien càa Uy ban/HOi &Mg; va

, b. Nghl quyet cña cac Uy ban/ HOi &Ong chi có hieu Itrc khi:

, S6 lugng thanh vien tham dtr: CO tea thieu bang 1/2 ,(mOt phan hai) thanh vien Uy ban/ 1101 dOng tham du hop; va

(ii) Bleu quyet tat phien hop dm lily ban/Wei (long: Phai cO da so thanh vien du hop chap thuan va &mg theri phai, cO da so thank vien la thanh vien Hoi (long quart tri chap thuan; Trong tn./Ong hop so phial ngang nhau thi quyet dinh cuoi ding thuOc

mOt hoac nhieu thanh vien ben ngoai theo quyet dinh ciaa HOi dong quail tn. Trong qua trinh thgc hien quyen han dugc lay thee, cac Uy ban/ 1-101 (long phai tuan thu cac quy dinh nOi b0 ma HOi &mg quail trl da ban hanh. Cac quy dinh nay co the dieu chinh hoac cho phep ket nap them nhiing ngtrgi khong phai la thanh vien HOi &mg mian tri vao cac Illy ban/ FlOi d'Ong neu tren va cho phep nguoi do dugc quyen bieu quyet veri,ttr cach thanh vien cUa Uy ban/ HOi &Mg nhung:

Phai dam bao s6 lugng thanh vien ben ngoai tôi da bang mOt phan hai (1/2) tong s6 thanh vien càa Uy ban/ HOi dong; va

Nghi guy& càa cac Uy ban/ HOi dong chi co hieu ltrc khi:

SO lacing thanh vien tham dy: CO -Loc i thieu bang mOt phan hai (1/2) thanh vien fly ban/ HOi dong tham dtr hop; \id

Bleu quyet tai phien h9p cna Uy ban/ HOi dong: Phai co da s6 thanh vien du hop,chap thuan va dong theri phai co da so thanh vien la thanh vien HOi dong quan tri chap thuan; Trong tnrerng hop so. phieu ngang nhau thi quyet dinh cu6i ding thuOc ye phia co

kien ctia Chit tich Uy ban/ WO clang hoac ngueri clugc ChU tich Uy ban/ HOi &Ong ay quyen.

Beri-z Trang 20/34

Dieu Nei dung sira di Van ban cii , Van ban mai 7.. LY do thay dot 6. Vic thgc thi quyet dinh cila

Hi deng quan tri, hoac dm Oy ban/ Frei dOng live thuOc Hei &Ong quail tri, hoac dm ngired,c6 tu each thanh vien fly ban/ Hei thing dm HOi de on - quan tri dirge coi IA ce gia tri phap 19 ke cã trong truang hep viee bau, ‘chi dinh thanh yien cila lily ban/ HOi &Ong hoac Hi dang quan hi c6 the có sai.

ve phia có 9 Icien cna cha tich ty ban/Hi &Ong hoc ngueri dirge Chu tich Tiy ban/ Wei &Ong ny quyen.

‘ 7. Viec thirc thi quyet dinh dm HOi

&mg quail tri, hoc elm lily ban/Hi (long true thuoe Hoi ding quan tri, hoc cea ngued en tu each thAnh vien fly ban/HOi &Ong dm Hi Sing quan tri dune coi la c6

- gia tri phap 19 ke ca' trong tn.ran' g hgp viec bk, chi dinh thanh vien cna Uy ban/HOi deng hoac Hi &Ong quan tri c6 the c6 sai set. .

Dieut±16. Nhiem vu vi: quyen han dm Chit tich Hi thing quail tri

Sim deli diem i khoan 2 thanh diem k va be sung lchoan i

i. Cac quyen, nghin vu khk theo quy dinh tai Dieg l'e cua

Kienlongbankva Phap luat ce lien quan.

i. it nhat mei nam mQt lan, danh gia hieu qua lam viec ena timg thanh vien, cac Oy ban/Hi Tong trim thut)e HOi Tong gnarl, tri va bao cao Dai hen dOng co dOng ve ket qua dart gia nay;

k. Cac quyen, nghia yg khac theo quy dinh tai Dieu le Kienlongbank va phap luat co lien quan.

Dieu 18. Trach nhiem ding khai cac lori ich .c6 lien quan

Be sung khoan 4

. 4. Kienlongbank phai thong bao bang van ban cho Ngan hang Nha nuec cac thong tin quy dinh tai khoan 1 Dieu nay trong then han 07 (bay) ngay, ke tir ngay Kienlongbank nhan dirge thong tin cong khai theo quy dinh tai khoan 2 Dieu nay.

;, i .. Dieu 61 Dieu le Kienlongbank 2018 .

Trang 2 1/34

Dieu Ni;ii dung sira di Van ban cu Van ban mei LY do thay di

Dieu 20. Trach nhiem trung Hint

3. Kienlongbank kh'Ong cap cac lchoan yay hoac bao lanh cho cac del tugng Khong quy dinh trong

va &firth eac BO khoan 3 quy dinh tai Dieu le dm Quy che nay. Quy

xung dOt Ye quyen 191

Kienlongbank. dinh tai Dieu le Kienlongbank 2018

10. Thanh vien Heil dang quail tri c6 nghia yti thong bao cho I-10i (long guar' tri ye cac giao djch giita cling ty, c6ng ty con, cong ty do Kienlongbank nam,quyen kiem . soat tren 50% (nam mucri phan tram) trey len von dieu le \Teri chinh thanh yien dO hoc yei nhiing ngueri. c6 lien quan cna thanh vien d6 theo quy dinh ctla phap luat. Doi vai cac giao dich neu tren do Dal WI

10. Cac nghia vu khac quy dinh (long co dong hoac HOi citing quail trj chap

SCra dOi khoan 10 tai Quy che nay, Dieu l'e thuAn, Kienlongbank phai that hien ding ‘ -

thanh khoan 12, bri Kienlongbank vã .phap luat cO lien be thong tin ye cac nghj quyet nay • theo Dieu 59 Dieu le

sung khoan 10, 11 (Wan. quy dinh cna phap luAt chang• khoan ye ding be thong tin.

Kienlongbank 2018

11. Thanh vien , HO clang quail tri kh6ng dugc bieu quyet doi \rod .giao dich mang Lai lgi ich cho thanh vien de hoac nguiri c6 lien quan dm thanh vien de theo quy - dinh cilia Dieu le Kienlongbank va phap luAt c6 lien quan.

12; Cac nghia \in khac quy dinh tai Quy che nay, Dieu le Kienlongbank Nth phap luAt c6 lien quan.

8,412-7 Trang 22/34

Diu Ni dung sira dal Van ban ell VAn ban mei Ly do thay di

Dieu 21. Trach nhit'm v th* t hi va boi thuirng

Sim d& Ichoan 4

4. Chi phi be' i thuerng bao gem cac chi phi phat sinh (k6 ca phi thuE lust sir), chi phi phan quyet, the khoan tien phat, cac khoan phai thanh than phat sinh trong thtrc te hoac dugc coi la mat hop 19 khi giai quyet nhang vi viec nay trong khu6n kho luot phap cho phdp.

4. Chi phi bOi, thuang bao g6m the chi phi phat sinh (ke ca. phi thue luat su), chi phi phan quyet, cac khoan tin phat, cac khoan phai thanh•toan phat sinh trong thuc te hoac duct coi la mire hop ly khi giai quyet nhang vu viec nay trong khuOn kho luSt phap cho phep. Kienlongbank cO the mua bao him cho nhang nguOi do de tranh nhang trach nhiem boi thuerng neu tren. .

‘ Dieu 60 Dieu l'E Kienlongbank 2018

Trang 23/34

•

Dieu 22. Cie ethic hop ctia Hi (long quin tri

•

Sim dai khoan 1, 2

•

tri bdu Chu tich thi cuac h9p clau tier! dm nhiem .ky HOi clang quan al de bau Cho tich va ra. cac quyet dinh khac thuac tham quyen phai ducm nen. hanh trong thai han bay (07) ngay lam viec, ke tit ngay ket thim bau dr Hai dong quan tri nhiern k . clo. ,CuOc hgp nay do thanh vien co so phieu bau cao nhat trieu tap. Truang hop cO nhic4d hcm mat (01) thanh vi'en co so phieu bau cao that ngang nhau • thi mat - nguai trong s6 ho trieu tap hap Hi5i clang (wan tn.

2. Thad gian hap:

a. Cuac hop dinh ky: Hai clang quan tri hgp dinh Icy hang quy.

. b. Cuac hop bat thuang: Hcp bdt throng khi c6 yeu cau mia:

Tang Giam dac -dieu hanh hoac it nhat naria (05) can ba quail 11 tir cap truemg Pheng, Ban Hai sa tra len, Giam doc chi nhanh; „ It nhat hai (02) thanh vien Hai dang quan tri;

Ban kiem soat;

Chia tich Hai (long quan tn.

I. Truang hop Hai clang quan , Truang Nip Hai clang quan tri bau

Chia tich thi cuac hop dAu hen dm nhiem ky Hi clang quan tri de bAu Chid tich va ra cac guy& dinh khac thuac tham quyen phai cluac tien hanh trong tiled Ilan 07 (bay) ngay lam viec, ke ta ngay ket link bau cir Hai clang quan tri nhiem ,k9 do. CuOc h9p nay do thanh vien c6 sO phieu bau cao nhat trieu tap. Truang - hgp co nhieu hcm 01 (m)t) thanh vien cO so phieu bAu hoac t9 le phieu bdu cao nhat va ngang nhau thi cac thanh vien ban theo nguyen tac da sa a chgn I (mat) ngueri trong so ho tri'eu tap Imp Hai (long quan tri.

Thai gian hop:

Cuac hp thuErng 14: Hai clang quan tri h9p xet khi thAy can thief, ,nhung it nhAt mai guy' phai hop 01 (mat) l'an.

.Cuac hop bat thuang: Chia tich Kai thing quan tri phai trieu tap hop Hai (long quan tri khi co mat trong cac truang hap sau day:

0) Co de nghi dm Ban Kim soat hoac thanh vien dac lap;

, Co de nghi cUa Tang Giam doc

hoac it nhat 05 (nam) nguai quan 19 khac;

CO de nghi cita it nhat 02 (hai) thanh vien dieu hanh cida Hai clang .quan tri;

Cac truang hap khac theo quy dinh dm phap luat.

Dieu 69 Dieu le Kienlongbank 2018

BA/ Trang 24/34

nghi phai dugc lap thanh van ban,, trong do neu ro num dich va van de can thao luan, quyet dinh thuec tharn quyen caa HOi (Jong quart tri.

Chit tich Hoi clang quart tri phai trieu tap hop 116i dong quart tri trong tiled ban magi lam (15) ngay ke tit ngay nhan dugc de ngh1 quy dinh tai Diem b, Khoan 2 Dieu nay. Truerng hop Chu tich Hi (long quan tri khong trieu tap hop theo de nghi thi Cho tich phai chiu trach nhiem ye nhang thiet hai thy ra doi veri Kienlongbank; Ngugi de ,nghi to,chire cuOc hop dugc de cap den, & Diem b? Khoan 2 Dieu nay co quyen thay the Chili tich Hi dong quan tri trieu tap hop HOi &mg quan tri.

Chili tich Hi deng quan tri hoc ngugi trieu tap hop HOi &Ong quart tri phai gun th6ng bac) mai hop chain nhat nam (5) ngay lam vi'ec truot ngay hop, ti-Cr nhiing truang hop hop det xuat. Thong bao mai hop xac dinh cu the theri gian, dia diem ,h9p, nei dung chugng trinh hop, cac van de thao luan Neu quyet th6ng qua va dinh kern tai lieu co lien quail. Thong bao mai hop dupe gin bang tin nhan, buti dieh, fax, thu then ta (E-mail) hoc phuang tin khac nhtmg phai dam bao den dupe dia chi dm tang thanh vien Hi (long quan tit

nghi phai dugc lp thanh van ban, trong do neu re ,mtic dich va van de can thao lu'an, ‘quyet dinh thuOc tham quyen cüa HOi thing quan tri.

Chu tich HOi clang quan tri phai trieu tap hop Mei (long quan trj trong than han 07 (bay), ngay lam viec, ke ta,ngay nhan dirge de nghi quy dinh tai diem b, khoan 2 Dieu nay. Truang hop Chit tich Hei dOng quan tri khong trieu tap hop theo de nghi thi Chü tich phai chlu trachenhiem ye nhang thiet hai thy ra doi voi Kienlongbank; Ngugi de nghi c6 quyen thay the Chit' tich HOi sling quan tri trieu tap hop HOi dOng quail tri.

Chit tich Hei &mg quail tri hoc nguai trieu tap hop HOi &Ong quail tri phai gin thong bao mgi hop cham nhat 03 (ba) ngdy lam viec trugc ngly hop, ti-jr twang hop hop dot xuat. Thong bao mai hop the dinh co the than gian, dia diem hop, nOi dung chucmg trinh hop, cac van de thao luan va quyet dinh. Kern theo thOng bao mai hop phai cO Jai lieu sit dung tai cuPic hop vã phie'u bieu quyet cilia thanh viên (neu co). Thong bao mai hop duct giri bang btru dien, fax, thu dien tin hoc phucmg tien khac, nhtmg phai bao dam den dirge dia chi cita tang thanh vien HOi dng quan tri dupe dang k9 tai Kienlongbank.

d. Chu tich 1-10i &sing quan tri hoac ngugi trieu tap phai gini thOng bao meri h9p va cac tai• lieu kern theo den cac thanh vien

Trang 25/34

Dieu Noi dung sira (lei Van ban cii Van ban in(ri Ly do thay do) d. Chia tich BM deng quan tri

hoc ngueri trieu tap phai girl thong bao mei hop va cac tai lieu kern theo den cac thanh vien Ban kiem soat lid 'Peng Giam dgc nhu dgi voi thanh vien Wei deing quail tri. Thanh vien Ban kiem soat, Tong Giam doe thong phai la thanh vien Hi &Ong quart tri, có quyen chr cac cuec hop dm Wei clang quail tri; CO quyen thao luan nhung kh6ng dugc bieu quyet.

Ban Kiem soat nhu doi vai cac thanh vten Hoi dong qman tri. Thanh vien Ban Kiem soat c6 quyen rig cac, cuec hop dm Hei &mg quan tri, có quy,en thao luan nhtmg thong dugc quyen bieu quyet.

Sim dei Ichoa.n 4

4. tIy quyen rig hop: Thanh vien Hi dgng quail tri thong thamdtr hop c6 quyen chi dinh hoc fly quyen bang van ban cho thanh vien khac true

4. Thy quyen clu hop: Thanh vien Hgi &mg quail tri thong tham dtr hop c6 quyen chi dinh hoac fry quyen bang van ban cho thanh vien Ichac ‘dcr h9p neu ducic da se thanh vign Hi &Ong quan tri chap thuan.

Dieu 69 Dieu 16 Kienlongbank 2018 Hi ng quan tri thuc hien thuec W &O

nhigm vu dm minh.

Sim dgi khoan 7

7. Dieu kin tien hanh cugc h9p: CuOc hop dia. Hi dgng Tian tri theo giay trieu tap Ian thir nhat dugc tigh hanh khi co tir ba phan tu tong so thanh vien trer len du hop. Truerng hgp cugc hop dugc trieu tap theo quy dinh nhu tren thong au so thanh vien dy hop theo quy dinh thi dugc theta tap Ian thd hai yong thai han mum lam (15) ngay ke Yr ngay du dinh hop Ian thynhat. Cugc hop trieu tap La' dugc tin hanh neu co hail met nira (1/2) so thanh vien Hei dong quan tri.

7. - Dieu kien tin hanh cuec hop: C, u0c hop cila Hiii &mg quart tri theo giay trieu tap tan thir nhat dugc 66'n hanh khi c6 Yr 3/4 (ba phan Us) tang se) thanh 'vial trer . Len du hop. Truerng hop cuec hop dugc trieu tap theo quy dinh nhu tren kitting du se thanh vien du hop theo quy dinh thi duac trieu tap Ian thir hai trong thai han 07 (bay) ngay ke tin ngdy du dinh hop Ian thir

Dieu 69 Dieu . le Kienlongbank 2018

nhat. Cugc hop trieu tap in dugc tien hanh nu c6 Ilan 1/2 (met phan hai) só thanh vien H6i deng quail tri du hop.

2217 Trang 26/34

Dieu Ni dung siia dAi VAn ban cu VAn ban mai Ly do thay dal

• Cat khoan 10 miring khoan 2 Dieu 23

10. Bien, ban hop dupe thong qua ngay khi ket glue cut)c hop va sau do cac thanh vien 110i dOng quail tri du hop ce) trach nhi'em ky xac nhan trong

.Bien ban hop I-10i dong quail tri

va Bien ban hop cita I-10i (tong quail tri dupe lap thanh ba (03) ban, luu tai b0 phon Thu kY ctla FlOi &Mg quail tri va gin cho cac dun vi co lien quan.

Phil hop thtrc tin

Trang 27/34

Dieu 23' Bien bin • Hup hi &mg quin tri .

Sara clai, ba sung khoan 1 •, 2. 3 ,

I. Cac cue hop ctia Hai clang quail tri phai dam ghi vao sa bien ban. Bien ban phai lAp bang ti leng Viat va c6 th8 ca bang hang nuom ngodi. Bien ban hop Hot &mg quad trt có cdc

nai dung chn y8u sau day:

Ten, dia chi au se chinh, sa va ngay cap Giay chang nhan Tang 4 doanh nghi8p, nod clang 14 kinh doanh;

Mtic dich, chuang trinh Ira nal dung hop;

Thai gian, dia diem hop;

H9, ten timg thanh vien du hop ho5c ngtrai dirge uy quyen du hop; HQ, ten cac thanh vien kh6ng du hop va 1' do;

d. Cac van (1.8 dirge did° luAn va bit' quy8t tai cuac hop;

, , Tam tat phat Neu Y kien cila

tang thanh vien dts hop theo trinh tkr dien bien dm cuOc hop;

Ka qua bieu quyat trong do ghi re nhcmg thanh vien tan thanh, khong tan thanh va kitting cO y kin;

Cac guy& dinh da dirge thong qua;

HQ, ten, chit ky dm tat ca thanh vien hoAc dai di8n theo fly quyen cltr hop.

1. Cac cuac hop,cfia Hai clang quasi tri phai duac ghi vao so bias ban.BieM ban PIlai lap bang tieng Vi8t va co the -ea bang tieng nage ngoai. Bien ban hop Hai (long quail tri c6 cac nai dung chn yeu sau day:

Ten, dia chi au sa chinh, ma so doanh nghiap;

Muc dich, chucmg trinh va nai dung hyp;

Thai gian, dia diem hop; .

HQ, ten tang thanh vien - du hgp hoac ngueri dirge Ay quyen du hop; HQ, ten cac thanh vien khong da hop va 1' do;

d. Cac van de dugc thao luan va bieu guy& tai cuac hop; -

, T6m tAt phat bi8u 2 kin dm timg

thanh vi'en du hop theo-trinh tis din bien dm cuoc hop;

. g; Ke't qua bleu quyet trong do ghi ro

nhang thanh vien tan thAnh, Ichong tan thanh NM kh6ng ca Yr kien;

h. Cac guy& dinh da dugc th6ng

Dieu 70 Dieu le Kienlongbank

qua;

L HQ, ten, chit k1 dm chili toa va ngtrai ghi bien ban;

Cho toa va this ky phai chiu trach nhiam ye tinh trung thuc NM chinh xac ciia nai dung hien ban hop Hai clang quasi tn.

2. Bien ban hgp duce thong qua ngay khi ket thlic °sac hop, cac thanh vien

64-7 Trang 28/34

Dieu Ni dung sum din Van ban cti Van ban tad LY do thay dOi Chit tga va thu 14 phai chiu Hei (Tong (man tri Mr hop c6 trach nhiem

trach nhiem ye tinh trung dux va 14 xac nhan trong Bien ban hyp Hi (long chinh xac dm Mei dung bien ban hop titian tri. Bien ban h9p cila HOi thing quan HOi dOng quan tri. tri dugc lap thanh 03 (ba) ban.

Bien _ban hop Hi (fang quail. Bien ban hop HOi &Mg quail tri va tri va tai lieu sit dung trong cuec hgp tai lieu sit dung trong cuec hop phai dugc phai dugc ltru gift tai try sey chinh cua km gilt tai try so chinh dm Kienlongbank. Kienlongbank. 3. Bien ban lap bang tieng Viet va

Bien ban lap bang tieng Viet tieng nuerc ngoai c6 gia tri phap 1 , ngang va tieng nuerc ngoal c6 gia tri phap 13i nhau. Trong truerng hgp c6 str giai thich ngang nhau. Trong truong hgp cO, au khac nhau gifra ban Viet va tieng ,tieng giai thich, khac nhau gifta ban tieng nuerc ngoai thi ban tieng Viet c6 hieu hie Viet va tieng nu6c ngodi thi ban tieng op dung. Viet dugc tru tien áp dung.

o

NA, gts/ Trang 29/34

.. , Dieu 24. L A v v • a"

kien bang van ban

Sfra doi khodn 1; tach khoan 2 thanh khoan 2, 3; Sfra cae khoan tir 3 den 6

Tnrang, 119:p kheing the hop Hi thong quail tri, Chi' tich Hoi thing quan tri hoc ngtreri dtroc Chit tich Hoi deing quart tri ny quyen to chue thtrc hien the thil tve lay 9 !den bang van ban cac thanh vien Wei /long quan tn.

Cha tich HO dang quan tri hoc ngueri dirge Chit tich Hi thing quail tri hy quyen girt phieu thy 9 kien kern theo ho so co lien quan bang btru dien, fax, thu then ta (E-mail) hoc plurcmg tien khac nIumg phai dam bao den dugc dia chi dm tang thanh vien HOi dOng quan tn. Phiem lAy 9 kien phai cO the nen dung chit yeti sau day:

, Ten, dia chi try sey chinh, so

va ngdy cap giay phep thanh lap va hoat thing, Giay chimg nhan clang k9 kinh doanh cila Ngan hang;

Mac dich lay 9 kien;

HQ, ten va dia chi lien lac ctia thanh vien Hi &Ong quail tri;

VAn de cAn lay 9 kieri;

d. Phtrang an bieu quyet, bao grim: Dong 9; Khong dOng 9; Khong co 9 kin;

Thai ban gin phieu lay 9 kien da dugc tra leri ve Ngan hang;

d. H9 va ten, chit k9 caa nguai tei chire thy 9 kien bang van ban.

1. Chu tich HOi clang quart tri quyet clinh viec Tay 9 kien thanh vien Het thong quail tri bang van ban.

2. Thu k9 Wei thong quail tri chuan bi phieu lay 9 kien, kern eac tai lieu co lien quan giri den thanh vien HOi thong quan tri qua clueing bin then, fax, thu then tfr (E-mail) hoac,phtrimg tien khae nhung phai dam bao den dugc dia chi dm tang thanh vien Hi &Ong quail tri.

3. Phieu lay 9 kien phai có cac nOi dung chn yeu sau day:

a., Ten, dia chi tra set chinh, so Ira ngay cap Gidy , phep thanh lap vã boat thing, ma so doanh nghiep tha Kienlongbank;

Mac dich lay 9 kien;

H9, ten ,va. dia chi lien lac elm thanh vien Hi d8ng (plan tri;

‘ Dieu 71 Dieu le Kienlongbank 2018 Luat Doanh nghiep 2018

d. Van de can lay 9 kien;

Phuang an bieu quyet, bao gam: Tan thanh, khong tan thanh va khong co 9 kien;

Thai flan gfri phieu lay 9 kien da dugc tra leri ye Kienlongbank;

e. HQ Ara ten, chit k9 dm ngueri to chfrc lay 9 kien bang van ban.

4. Theo theri han lay 9 kien, cac thanh vien Hiii thing quan tri cc') trach nhiem tra leri 9 kien dm minh, k9 ten xac nhan va gili ye Van ph6ng HOi (long quart

Trang 30/34

Trong veng ba (03) ngdy lam viec hoac thOi gian khac (theo dé nghi càa nguai to chirc lay 9 kien bang, van ban) ke t& ngay gin van ban lay 9 kien, cac thanh vi 'en HOi dong qyan trj c6 trach nhiem k9 tra kien cUa minh va giri ve Van phOng HOi thing quail tri hoac qua E-mail cho This ky Hi thong quan tri theo thing thin han quy dinh. Truemg hgp phan hoi qua E-mail thi sau dO thanh vien Hi dOng quan tri co trach nhiem k9 tay vao van ban xin kien va giri lai cho Thu k9 Hi thong quan tit kien xac nhan bang van ban khOng dugc khac ven kien gai qua ,E-mail. Qua theri han nhan lai kien ma thanh vien HOi thing quail tri chua c6 2 kien tra led thi dugc hieu la thanh vien HOi dong quail tri khong c6 kien.

Thanh vien HOi thing quart tri c6 trach nhiem dua ra kien bieu quyet th6ng ,qua viec lya chcm met trong ba 9 kien tai van ban lay 9 kien: DOng 9; Khong dOng 9; KhOng cO kien bang each danh dau (X) vao tuang 1mg. Nfrang 9 kien be sung chi c6 tith tham khao, This k9 Hi dOng quail tri c6 trach nhiem bao,cao ve kien nay va Chu tich HOi dOng quan tri (balk thanh vien ducyc CM tich Hei Sing quail tri fly quyen) c6 quyen quyet dinh nen din hay thong nen dtra vao Bien ban h9p Hi Tang quart

tri hoac qua E-mail cho Thu k9 HOi clOng quan tri• theo thing, thed hart quy dinh. Throng hap phan hen qua E-mail thi sau do thanh vien HOi dOng quail tri ,c6 trach nhiem k9 tay vao van ban xin 9 kien va girl Lai cho Thu k9 Hi thong quart tri. Y kien xac nhan bang van ban khong dugc kit& vai 9 kien gai qua E-mail. Qua theri han nhan lai 9 kien ma thanh vien Hei dong quan tri chin c6 9 kien tra lai thi dugc hieu la thanh vien Hi (long quan tri thong co

kien.

Thanh vien Hi dOng quart tri co trach nhiem din ra kien bieu quyet thong qua viec Iva ch9n MCA trong ba 9 kien tai van ban lay 9 kien: Tan thanh; Khong tan thanh; KhOng c6 kien bang each danh dau (X) vao 6 tuang (mg. Nhang 9 kien bo sung chi c6 tinh tham Mao, Thu k9 HOi thing (man tri c6 trach nhiem bao cao ye 5' kien nay va Chu tich HOi dOng quan tri (hoac thanh viën dugc Chn tich HOi thing quart tn ày quyen) co quyen quyet dinh nen dua hay thong nen din vao Bi 'en ban h9p Fled (long quan tri.

Thu Ic9 HOi d6ng quan tri kiem phieu va lap hien ban kiem phieu clued su giant sat dm tOi thieu 01 (mot) thanh vien HOi, dOng quail tri doe lap. Bien ban kiem phieu phai ce cac nOi dung chi' yeu sau day:

a., Ten, ,dia chi try sa chinh, se va ngay cap Giay phep thanh lap va hog

gig./ Trang 3 1 /34

, 5. Can dr kat qua lay Y kien bang van ban do cac thanh vien Hai &mg quail tri,gfri ye Thu ky lap Bien ban kiem phieu de trinh Cho tich Hai clang quart at hoc thanh vien 1,10i thing quan al &rot Chit tich Hai &long quan tri fly quyen ky gai cac thanh vien Hai &Mg quart tri va cac dcrn vi chirc nang de trien khai thuc hien. Bien ban kiem phieu phai có cac noi dung chit yeu sau day:

a. Ten, dia chi tru sa chinh, so va ngay cap Giay phep thanh lap va

clang, ma sa doanh nghiep cila Kienlongbank;

, b. MK dich va cac van da can lay Y kien;

c. Tong so phial bieu guy& ,gfri di, tang st) phieu bieu guy& thu ve, so phieu bieu quyet hop le, so phial.' •bteu guy& khong hop le. Bien ban phai co phu luc danh sach thanh vien Hai clang quart al cla tham gia bleu quyet;

d. Tong so phieu tan than*, kitting tan thanh •va khong ca y luen clot vat tang Van de dugc xin y kien;

cl., HQ, ten, chit, kY d u m nguai ph trach kiem phieu, ng um giant sat

hoat clang, Giay chang nhan clang 10'7 Quyet dinh Mil a Hai dong quan tri kinh doanh dm Kienlongbank; ve viec lay, y kien bang van ban dugc

b; Muc dich va cac van cle can thong qua neu dugc da so thanh vien cr5,32

lay y kien; kien chap thuan. Truang hap so phieu ngang nhau thi suyet dinh cuoi cling thuOc

, c. Tang so phieu bieu quyet, girl ve phia có y kin cita Chit tich Hai thing di, tong so phieu Neu quyet thu, ye, so quart tri hodc ngueri duac Chit tich Hai phieu bieu quyet hap le, so phieu bieu quyet khong hop le. Bien ban phai có php hic danh sach thAnh vien Hai

idling quan tri ity quyen.

Thu ky Hai &Ong quart tri thamsia

dang quan tri da tham gia bieu quyet; vao viec 1'.y 3? kien thanh vien Hai thing quart al bang van ban va, ngueri giant sat

d. Tong so phieu Thing y; kiem phieu 'Alai lien Uri chtu trach nhiem 'Chong citing. y; .Khong có y kien dot ve tinh trung thuc, chinh xac dm bien ban veri timg van de dugc xin y kien; kiem phial; lien clai chiu trach nhiem ve

d. - Ho, ten, cha kY caa nguoi cac thiet hi Oat sinh ta cac quyet dinh phi trach kiem phieu, ngtrai giam sat. dugc thong qua do kiem phieu khong

trung thuc, khong chinh xac.

#(117 Trang 32/34

Dieu Nen dung slim dOi Van ban cu Van ban Mid Ly do thay dal 6. Quyet dinh cila Hi clOng

(wan tri ye viec lay y kien bang van ban chrgc thong qua neu dugc da s6 thanh vien Co Y kien chap thuan. Truang hop so phieu ngang nhau thi quyet dinh cu6i ding thuOc ye phia c6 y kien dm chu tick HC.0 (tong quan tri hulk nguai dugc cha tich HOi &Mg quan tri ny quyen.

Dieu 26. Dieu kien lam viec cim thanh vien Hei

x 4:4w. dong'iquan tri .,,:.

• ,

Sim d6i khoan 3

3. Hi d6ng quan tri sir dung b0 may dieu hanh \fa con dau ciia Kienlongbank de thvc hien nhiem \Tv dm mirth. Cac Phong, Ban HO so c6 trach nhiem tham muu, ginp HOi thing quail tri trong quart ly,,dieu hanh, thvc hien nhiem vv va quyen ban theo quy dinh dm phap luat.

3. HOi dting van tri sir ching b0 may dieu hanh va con dau cilia Kienlongbank de thvc hien nhiem vii cila minh. Cac Pheng, Ban, Trung tam Hgi so. cO trach nhiem tharn mtru, ginp HOi dong quart tri trong quail IY, dieu hanh, thvc hien nhiem vv va quyen Ilan theo quy dinh dm phap luat va quy dinh ciia Kienlongbank.

, Phu hop thvc te.

67-Trang 33/34

Dieu Nlifii dung sin di Van bin en Van bin mai Ly do thay dal

, Dieu 27. Phan cap, fly quyen dm Hi dOng quart tri

Sin dOi diem khoan 1

1. Nguyen tac ay quyen caa HOi clang qua'n tri,

a. I-10i clang quail tri co the ay quyen, cho cac fly ban/ HOi dOng do H0i,dong quart tri thanh lop hoOc ay quyen cho Chu tich FlOi dOng quail hi thuc hien mOt so nhiem vu, Toren ban thuOc tham quyen dm Hai dOng (luau tri dugc quy dinh tai Dieu le, Quy che nay va cac quy dinh caa phap luOt có lien quan.

c. Hoi clong quail tri phan cAp cho Tang giam dOc, Giam doc cac don vi thanh vien thuc hien mOt ,so nhiem vu, quyen han thuoc thArn quyen dia. Hai clang quail tit

1. Nguyen tac phan cap, fly quyen caa HOi clang quart tri:

a. HOi dong Tian tri c6 the phan cap, ay quyen cho do Uy ban/HOi dOng do HOi dOng quail tri, hoc ity quyen cho Cha tich Hai clang quail tri thuc hien mOt so nhiem vu, quyen han thuOc tham quyen caa HOi dOng quan tri,,ngoai trix cac van de thuOc nhiem va, quyen han‘caa Hai dong gnarl tri dugc quy dinh tai Dieu le Kienlongbank vã quy dinh caa phap luat lien quan.

c. HOi dOng quan tri phan cap, ay quyen cho Tong giam doc, them doc cac don vi thanh vien thijc hien mat so nhiem vu, quyen han thuOc tharn quyen dm Hoi thing quail hi.

Pha hop thuc te

Dieu 34. Hieu Ityc thi hanh

Sfra clai khoan 1 1. Quy che nay c6 hieu lac theo

Quyet dinh ban hanh. L Quy che nay c6 hieu hrc thi hanh

ke tin ngay / /2019. Phil bpi) thuc te

Piri/ Trang 34/34

. ‘.10coary,t, 4 • " 4,

co' 4:). NGAN HANG •:- e, X THUVNG NIST 7

* CO PHD'

1‘,3 KIEN LONG c. r 9 Nr e 4e,

cc/NG:116A xA HO! CHU NGHiA VIETNAM Dc lp — Tty do — Ilqnh phtic

HANG TMCP IEN LONG

/QD-BKS Roch Gia, ngay thong nom 2019

Dy• thcio

QUYET DINH

Ban hanh Quy che TO chat vã hog di:mg ctia Ban Mem soat Ngfin hang TMCP Kien Long

BAN KIEM SOAT NGAN HANG THIYONG MA! CO PHAN KIEN LONG

- Can,cO Drat cac t6 chirc‘tin dung s6 47/2010/QH12 ban hanh ngay 16/6/2010 \fa that sira doi, bo sung mOt so diet' cña Lust cac TO chirc tin dung so 17/2017/QH14 duce ban hanh ngay 20/11/2017;

- Can dr Dieu 16 Ngan hang TMCP Kien Long;

- Can cir Nghi quyet cUa Dai hi dOng c6 dong ngay thang nam 2019,

QUYET DINH:

Dieu 1. Ban hanh kern theo Quyet dinh nay "Quy che T6 chtic vã hot Ong Oa Ban Kim soar Ngan hang TMCP Kien Long.

Dieu 2. Quyet dinh nay c6 hieu tut ke to- ngdy /2019,va thay the cho Quyet dinh so 08/QD-BKS ngay 15/4/2014 coa. Ban Kiem soat ve viec ban haph Quy che T6 chat va boat dOng dm Ban Kim soat Ngan hang TMCP Kien Long.

Di'eu 3. Thanh vien Ban Kim soat, thanh viten HO &Ong quail tri, Ban TOng Giam dOc, cac PhOng, Ban, Trung tam HOi so, the Chi nhanh va PhOng Giao cilch chiu trach nhiem thi hanh Quyet dinh nay.

Nol nhOn: - FIDQT, BKS; - Nhu Diu 3 (thy-c Men,);

- Luu Vp. FIDQT, BKS.

TM. BAN KIEM SOAT TRIIONG BAN

Nguyen Cao Ctrimg

viz pt&

. Quy che' TO chirc Nth hoat dOng dm Ban Kim soat

QUY CHE VE TO CHUC VA HOAT BONG Ctik BAN KIEM SOAT NGAN HANG TMCP KIEN LONG

(Ban hanh kern theo Quyé't cif/1h so /QD-BKS ngay thang mam 2019 cua Ban Kiem soat Ngan hang TMCP Kien Long)

Chuang QUY DINH CHUNG

Ditu 1. 1161 tulyng ditu chinh vi phum vi ip dung

1. Quy che nay quy dinh v t6 chdc, chirc nang, nhiem vu, quyen co che hog dOng va cac mai quan he' c6ng tac ctia Ban Kiem soat Ngan hang TMCP Kien Long.

2. Mgi hoat dOng dm Ban Kiem soat va cac thanh vien Ban Kim soat, dun vi, ca nhan ti Ngan hang TMCP Kien Long c6 lien quan den to chirc va hoat dOng dm Ban Kiem soat phai tuan tha Dieu le va Quy che nay.

3. Quy ché nay dugc áp dung th6ng nhAt trén toan b0 he th6ng Ngan hang TMCP Kien Long.

Dieu 2. Dia vi Oaf) ly cfia Ban Kim sok

Ban Kim soat do Dai hôi ,deng cif') (long bau, mijn nhiem; Ban Kiem soat thgc hien chitty nang kiem Wan nOi b0, kiem soat, danh gia viec chap hanh quy dinh cua phap luat, quy dinh nOi b6, Dieu le va Nghi quyet cUa Dai hi &rig Co d8ng, Hi dong quail tri Ngan hang TMCP Kien Long.

Diu 3. Nguyen tAc t6 chat, hot Ong cilia Ban Ki'em soat

1. Ban Kim soat t6 chic va hoat dOng theo nguyen tac tuan thn cac quy dinh cna Phap luat, Dieu le va cac quy dinh cCia Ngan hang TMCP Kien Long.

, 2. M9i din bin va nhang thong tin thu thap dtrgc trong qua trinh giam sat cilia Ban Kiem soat phai dugc xem xet, danh ,gia trung thkrc, khach quan tren co so. cac tai lieu da dtrgc ki'em tra tai cho hoac qua he th8ng thong tin bao cao.

Tat ca cac bao cao,'ket luan, kin nghi dia Ban Kiem soat gut cho Dai hOi deng c6 HO (long quart tri, Ban Dieu hanh va cac co quan Nha nuac c6 tham quyen (nett co)

phai dugc did° luan tap the trong Ban Kiem soat vá Co the tham khan kien cua Hi (long quail tri.

4. Ban Kim soat lam viec theo che d6 tap the ket hgp veci trach nhiem cá nhan ve pham vi cong viec dugc phan cong cña tirng thanh vien Ban Kiem soat. Thanh vien Ban Kim soat chiu trach nhiem báo cao ye viec thgc hien cac cong viec dugc phan cong phu trach.

5. Ban Kiem soat dugc sir dung con dau cña Kienlongbank (16 thkrc hien nhiem vu cüa minh quy dinh tai Quy che nay, Dieu le Ngan hang TMCP Kien Long va phap luat CO lien quan.

Diu 4. Giai thich tit ngii.

Trong Quy che nay, nhung nga clued day dugc hieu nhu sau:

Kienlongbank: La Ngan hang TMCP Kien Long.

Ban Kim soat: La Ban Kiem soat cUa Kienlongbank.

Luu hanh nôi b() Trang 1/19

Quy 6116 T6 eh& và hoat Ong dm Ban Kiëm soar

3. Hi dting quail tri: La HOi di:Mg quan tri cUa Kienlongbank.

4. Ngtriri quan ly: Chu tich HOi thong quart tri; thanh vien HOi dOng quan tri; Teng Giam doe \fa cac chirc danh khde theo quy dinh tai Dieu lecüa Kienlongbank.

5. Ban Dieu hanh: La. Tong Giant d8c, cac Ph6 Tong Giam doe \fa Ke than truong cila Kienlongbank dirge HOi &Mg quan tri be, nhiem.

6. Ngtrei có lien quan: La t6 chirc, cá nhan co quan he; true tip hoac gian tip vOi t6 chirc, cá nhan khac thuOc mOt trong cac truerng hgp sau day:

Ong ty me vOi cong ty con va ngugc lai; To chirc tin dung vOi cong ty con cita to chirc tin dung va ngugc lai; Cac cong ty con cila ding mOt ding ty me hoac cUa ciing mOt to chirc tin dung vOi nhau; Nguai quan 19, thanh vien Ban Kiem soat ena ding ty me hoac cita to chirc tin dung, ca nhan hoac to chirc c6 that-it quyen bo nhiem nhiing nguoi nay voi ding ty con va ngugc lai;

Citing ty hoac t6 chile tin dung vat ngu6i quart 19, thanh vien Ban Kiem soat ena cong ty hoac to chirc tin dung do hose \fel cong ty, tO chirc c6 tham quyen be, nhiem nhang nguiri do va ngugc lai;

iiL C6ng ty hoac th chue tin dung vOi t6 chirc, cá nhan see him tir 5% v8n dieu I hoac von c6 ph'An c6 quyen Neu quyet trer len tai c8ng ty hoac tO chirc tin dung do va ngugc lai.

Ca nhan veri vg, cheing, cha, me, con, anh, chi, em cüa nguti nay;

Cong ty hoac t6 chirc tin dung vOi ca nhan theo guy dinh tai Diem (iv) Khoan nay cüa riguai quart 19, thanh vien Ban Kiem,soat,,thanh vien gOp von hoac co thong sir hiru tn. 5% von dieu lé hoac von c8 phan c6 quyen bieu quyet tra len dm cong ty hoac t6 chirc tin dung do va ngugc lai;

Ca nhan dirge ny quyen dai din cho t6 chirc, cfrnhan quy dinh tai cac Diem (i), (ii), (iv) va (v) Khoan nay vOi to chirc, cd nhan ay quy'en; Cac cd nhan dugc fly guy& di din phan von g6p efla ding met to chat vOi nhau;

Phap nhan, ca nhan khac c6 m6i quan he tiem An rfli no cho boat dOng cna Kienlongbank, &rot xac dinh theo quy dinh rthi b cfla Kienlongbank hoac theo yeu eau bang van ban ctia,Ngan hang Nha nu& thong qua hot theng thanh tra, giam sat doi vOi tiling truemg hgp cu the.

7. H'e th6ng ki'em sok n6i 136: La tap hgp cac co che, chinh sach, quy trinh, quy dinh nOi130, ea cau to chirc efla Kienlongbank dirge xay dung phit hgp vOi cac quy dinh efla phdp luat va dugc to chirc thue hien nham ki'em soat, phOng ngira,' phat hien, xir 19 kip thed rili ro va dat dirge yeu cau de ra. H thong kiem soat nOi b0,thire hien giam sat cilia quart ly cap cao, kiem soat nOi b, quan 19 rfli ro; danh gia nOi 130 ye mire dfl von va kiem toan

, 8. Kim titan nOi 136: La viec rã soat, danh gia (the lap khach quan doi vOi h'e thOng kiem soat rthi b0; Danh gia dOc lap ye tinh thich hgp va tuan thii guy dinh chinh sach nOi 130, thit tuc, quy trinh da thiet lap trong Kienlongbank, dua ra kien nghi nham nang cao hieu qua dm cac he thong, quy trinh, quy dinh gOp phan bao darn Kienlongbank hot Ong an toan, hieu qua, thing phap luat.

9. Cling ty con dm Kienlongbank: LA cong ty thlthe met trong cac truang hgp sau:

I. Kienlongbank hoac Kienlongbank ,va nguiri c6 lien quan cilia Kienlongbank sec him tren 50% von dieu 1 hoac tren 50% von co phan co quyen bieu quyet;

Lau hanh n6i b6 Pfz

Trang 2/19

Quy cha Ta chdc va haat Tang dm Ban Mani sok

Kienlongbank c6 quyen true tiep hoc gian tie') bo nhiem da so hoc tat ,ca cac thanh vien HOi (long quan trj, HOi dongrAhanhtvien hoc Tong Giam doe (Giarn doe) dm cong ty con;

Kienlongbank c6 quyen stra dei, b6 sung dieu lecüa c6ng ty con;

, iv. Kienlongbank va ngugi c6 lien pan cüa Kienlongbank true tip hoc gian tip kiem sok vie thong qua nghi quyet, guy& dinh ctia Di hOi dong co (long, HOi thing quail tri, HOi 'Jong thanh vien cüa cling ty con.

Unlit cac T6 chin tin dung: La luat cac To chirc tin dung so 47/2010/QH12 ban hanh ngdy 16/6/2010 va Luat stra dgi, be sung met so dieu cUa Luat cac T6 chirc tin dung s6,17/2017/QH14 dugc ban hanh ngay 20/11/2017 bao g6m van ban sira doi, 1)6 sung, thay the Luat nay trong timg thgi 14.

Lu4t Doanh nghiep: La lust Doanh nghiep sO 68/2014/QH13 dugc ban hanh ngay 26/11/2014 bao gOm van ban sira doi, 136 sung, thay the Luat nay trong tirng thgi ky.

Phil) lual: La tat ca the Luat, Phap lenh, Nghi dinh, Quyet dinh, Thong Pr va cac , van ban quy pham phap luat khde dugc cac,cu quan Nha nugc Viet Nam ban hanh theo timg thgi bao g6m ca cac van ban sin doi, b8 sung, hoc thay the (neu c6).

Dieu le: La Dieu le Kienlongbank bao gem cac ban sira dei, b6 sung (lieu c6).

Ngfin hang Nha nut: La Ngan hang Nha ntrac Viet Nam.

Cac thuat ngirr khac dugc sir dung trong Quy che nay có nghia nhu trong Di'eu le Kienlongbank.

Chtrong II

CO CAU, TO CI-IfiC CUA BAN KIEM SOAT

Dieu 5. Co. cu, td chat cfia Ban Kim sok

1. Ban Kiem sok cüa Kienlongbank c6 it nhat 03 (ba) thanh vien,va tgi da kitting qua 09 (chin) thanh vien, trong d6 phai c6 it nhat 1/2 (mOt phan hai) tong so thanh vien la thanh vien chuyen trach, khong 'tong then dam nhiem chirc vu, c8ng viec khde tai Kienlongbank hoc doanh nghiep khae.

2.,Nhiem dm Ban Kim soat kh6ng qua 05 (nam) nam. Nhiem thanh vien Ban Kiem sok theo nhiem cita Ban Kiem sok. Thanh vien Ban Kiem sok c6 the dugc bau hoc b6 nhiem lai vgi so nhiem khong han che. Nhiem ky elm thanh vien duce bo sung hoc thay the la thgi han con Lai cüa nhiem 14. Ban Kiem sok cüa nhiem vita ket thilc tiep tuc boat dOng cho den khi Ban Kiem sok cüa nhiem mad tiep quail ding viec.

3., Cac thanh vien Ban Kiem sok bau 01 ngugi trong s6 cac thanh vien lam Trugng Ban Kiem sok.

Trong trugng hcep vao the:6 diem ket,thiic nhiem ma Ban Kim ,soat nhiem ky med chua dugc ,bau thi Ban KiEm sok da het nhiem kY van tiep tkic thuc hien quyen \fa nhiem vu cho den khi Ban Kiem sok nhiem mai dugc bau va nhan nhiem vv.

Trugng hgp s6 thanh vien Ban Kim sok khong dü 2/3 (hai phan ha) tong s6 thanh vien cüa nhiem hoc khong dii so thanh vien tOi thieu theo quy dinh tai Khoan 1 Dieu nay thi trong thai han 60 (sau muui) ngay ke tir ngdy khong du so lugng thanh vien, Ban

Luu hanh OM) Trang 3/19

Quy ch6 T6 Wm va hout clOng ena Ban Kirn soat

Kiem soat phai d nghi H0i,dOng quart tri trieu tap Dai hOi &mg co dong de bAu b6 sung do so lugng thanh vien Ban Kral soat. Thanh vien Ban Kiem soat dirgc bau bo sung phai duct Ngan hang Nha nuOt chap thuan. truac khi bau.

Ditu 6. Be phan gitip viec cim Ban Kim soat

, 1. Ban Kiem soat co b0 phan giup viec,.b0 phan Kiem toan nOi b0, dugc sir dung cac nguonlpc CUa Kienlongbank, duct (hue chuyen gia vã to cfurc ben ngodi de thuc hien nhiem vu cüa minh.

2. Chirc nang, nhiem vp Cy the crla BO phan giup viec thuc hien theo Quy che nay hoac van ban có lien quan khac do Ban Kiem soat ban hanh.

Dieu 7. Tieu actin vi ditu kien d dtrot ban, b nhiem thanh vien Ban Kiem soat

Thanh vien Ban Kiem soat phai dap Ung du cac tieu chuAn vã diEu kin sau:

Kh6ng thuOc doi truing quy dinh tai Dieu 8 oh Quy ch nay;

CO dao dire nghE nghiep;

C. CO bang Dai hpc trer len ve mOt trong cac chuyen nganh kinh girth tri kinh doanh, luat, ke toan, kiem than; CO it nhat 03 (ba) nam lam viec true tientrong linh we Ngan hang, tai chinh, ke toan hoac kiem toan;

Khong phai la ngueri cO lien quan cOa ngtrOi quan 19 Kienlongbank;

Thanh vien Ban Kim sok chuyen trach phai Cu tro tai Viet Nam trong then gian duong nhiem va khong duct dOng thel darn nhan chirc vp, lam vice tai .Kienlongbank, tO chirc khac hoac doanh nghiep khac;

Ngoai cac diet' kin, tieu chuAn quy dinh tai DiEu nay, thanh vien Ban Kiem soat cria Kienlongbank phai tub flu) cac quy dinh hien hanh cOa Phap lust c6 lien quan.

g. Twang Ban Kiem soat la nguoi c6 chuyen mon ye' Ice toan hoac kiem toan.

Ditu 8. NM-mg trutng hop khong duvc dam nhiem chnt vy

I. Nhung nguai sau day kh6ng duct la thanh vien Ban Kim sok cOa Kienlongbank:

Nguen chin thanh nien, bi han che hoac bi mAt nang luc hanh. vi dan sp;

Nguai dang bi truy ciru trach nhiem hinh sg, dang chap hanh ban an, quyet dinh ve hinh dm Tea an;

C. NgtrOi da N ket an ve tOi Pr tOi pham nghiem trpng trer len;

Ngueri da bi ket an ye' tOi pham nghiem tryng tra len;

Nguai da bi ket an ve tOi xam pham s& him ma chua dugc xoa an tich;

Can b0, cong chirc, ngueri quart 19 cap phOng trer len trong cac doanh nghiep ma Nha nuot nAm tit 50% von dieu l fro: len, PP nguai duct cP lam dai din (pain 19 phan vein gOp ctia Nha tux& tai Kienlongbank;

sy quan, ha sy quan, quan nhan chuyen nghie.p, cong nhan quOc phong trong the co quan, don vi thuOc Quan dOi nhan dan Viet Nam; Sy quan, ha sy quan chuyen nghiep trong cac co quan, don vi thuOc Cong an nhan dan Viet Nam, Ulf ngtrai dugc cIt lam dal din quail 19 phan von gop cIta Nha nuot tai Kienlongbank;

Luu hanh nc)i b6

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Quy ch6 T6 chat và hoat dOng cila Ban Kiam soot

Ngtred thuOc d6i ttrgng kh6ng dirge tham gia quail ly, dieu hanh theo quy dinh cüa pita], luat ye can b0, cong chile va phagiluat yeTheng, ch8ng tham nhang;

,Ngtrai da timg la chü doanh nghiep tu nhan, thanh vien hgp danh elm cong ty hgp danh, Tong Giam doe (Giam d8c), thanh vien I-10i dong quan tri, thanh vien HOi dong thanh vien, thanh vien Ban Kiem soat cüa doanh nghiep, Chi nhiem \fa cac thanh vien Ban quan tri hgp tac xa tai thai diem doanh nghiep, hgp tac xa..b1 .tuyen bo pha san, trir truang hgp doanh nghiep, hgp tac xa N tuyen b8 pha san vi lY do bat kha khang;

Nguai dai din theo phap luat càa doanh nghiep tai died diem doanh nghiep bi dinh chi hoat dOng, bi buOc giai the do vi pham phap luat nghiem gong, trir truang hgp Ia dai dien theo de nghi elm ca quan nha nu& c6 tham quyen nham chan chinh, cling eO doanh nghiep do;

Ngueri da tirng bi dinh chi chirc danh Chit tich HOi 'Tong quan tri, thanh vien HOi &mg quan tri, Chit tich HOi (tong thanh vien, thanh vion HOi (long thanh vien, Tru&ng Ban Kiem soat, thanh vien Ban Kiem soar, T8ng Giam doe (Gilm doc elm to chirc tin dung theo quy dinh tai Dieu 37 dm Lust Cac tO chat tin dung hoc bi ca quan co tham quyen xac dinh ngueri dO c6 vi pham dan den viec to chirc tin dang bi thu hoi Giay phOp;

I. Ngueri c6 lien quan elm thanh vien Hi dong quan tri, Tong Giam doc Kienlongbank khong dirge IA thanh vien Ban Kiem soat elm Kienlongbank;

m.Ngtrai phai chiu trach nhiem theo ket luan thanh tra dan den viec Kienlongbank bj xir phat vi pham hanh chinh trong Firth virc tien tO va ngan hang a khung phat Wen cao nhat doi veri hanh vi vi pham quy dinh ye giay phop, quail tri, dieu hanh, c8 phan, co phiOu, gOp von, mua c8 phan, cap tin dyng, mua trai phial doanh nghiep, ty le bao dam an than theo quy dinh cila phap lust ye mü vi pham hanh chinh trong linh vgc tien t va ngan hang.

2. Cac truang hgp khac theo quy dinh tai Dieu le elm Kienlongbank.

Dieu 9. Meng truirng hqp Wong ding dam nhiem chtrc vu

Truang Ban Kiem soat không dirge dOng thai là thAnh vien Ban Klein soat, ngueri quan elm TO chat tin dung khac.

Thanh vien Ban Klein soat khong dirge dOng the.' dam nhiem mOt trong cac chat vg sau day:

a. Thanh vien HOi riling quart tri, nguiri dieu hanh, nhan vien cüa Kienlongbank hoac Cong ty con oh Kienlongbank hoac nhan vien elm doanh nghiep ma thanh viOn HOi (tong quan tri, Tong Giam d8c clia Kienlongbank là thanh vien HOi 'Jong quan tri, ngtroi diet' hanh Mac IA cO (long Ian elm doanh nghiep do;

b., Thanh vien HOi dOng quan tri, ngueri dieu hanh elm doanh nghi r' ep ma thanh vie Ban Kiem soat elm doanh nghiep do dang la thanh vier) HOi dong quail tri, nguai dieu hanh tai Kienlongbank.

Dieu 10. throng nhien mit ttr each thanh vien Ban Mem snit

1. Thanh vien Ban Kiem soat throng nhien mat tu each trong cac truang bap sau:

Mat nang lire hanh vi dan sg, chet.

Vi pham cac quy dinh tai Dieu 8 Quy che nay ye nhilng truang hgp khong dirge dam nhiem chi:re vu thanh vien Ban Kiem sok.

Liru hanh nOi b0 itev' Trang 5/19

‘1Ck

Quy chE Tt) chac va hoat dOng dm Ban KiErn sok

La ngtrai dai din phAn von g6p cilia mOt t6 chirc la c6 &Ong hoac thanh vien g6p von càa Kienlongbank khi to chirc do bi cham dirt tu each phap nhan.

Khong con la ngugi dai din phan v6n g6p theo Oy quyen cilia co' dong là t6 chirc.

Bi true xuAt kh6i lanh th6 nuat COng hOa xa hOi chü nghia Viet Nam;

I Kienlongbank bi thu hOi giAy pile]) hoc bi cham dirt tu each phap nhan;

HOi dOng quan tri Kienlongbank'phai c6 van ban bao cao kern tai lieu chirng minh ye viec cac doi tugng duang nhien mat at each theo quy dinh tai khoan 1 Dieu nay girl Ngan hang Nha nu& trong thai han 05 (nam) ngay lam viec, ke tit ngdy ;the dinh dugc doi tugng tren ducrng nhien mat tu each va chiu trach nhiem ve tinh chinh xac, trung thut cira bao cao nay, dux hien cac thir tue bau, be nhiem chirc danh bi khuyet theo quy dinh cira phap luat c6 lien quan va theo Dieu lecàa Kienlongbank.

Sau khi duang nhien mat tu each, thanh vien Ban Kiem soat Van phai chiu trach nhiem ye cac quyet dinh cilia minh trong thai gian duang nhiem.

Dieu 11. Min nhi'em, bAi nhiem thanh vien Ban Kiem soat

1. Thanh vien Ban Kiem soat bi min nhiem, bai nhiem khi thuOc mOt trong cac truang hgp sau day:

Bi han cite nang lye hanh vi clan stir;

CO don xin tilt chirc (trong do neu r8 lY do xin tit chirc) giYi Ban Klein soat va TIOi dong quan tri Kienlongbank;

Khong tham gia hoat dOng ctia Ban Kiem soat trong 06 thang lien Mc, trir throng hp bAt kha khang;

Khong bao dam tieu chuAn, dieu kien theo quy dinh tai Dieu 7 Quy ch& nay;

Theo quyet dinh coa Dai hi &Ong cO dong;

Cac trtrerng hgp khac theo quy dinh tai Dieu le Kienlongbank va quy dinh cilia phap luat.

2. Sau khi bi mie'n nhiem, bai nhiem, Truerng Ban va thanh vien Ban Klein soat van phai chiu trach nhiem ye cac quyet dinh cira minh trong thai gian duang nhiem.

3. Trong thai han 10 (mire.° ngay lam viec, k lilt ngay thong qua quyet dinh mien nhiem, bai nhiem doi yeti cac thAnh vien Ban Ki'em soli, HOi (long quail tri Kienlongbank phai c6 van ban kern tai lieu lien quan bao cao Ngan hang Nha mite.

, 4. Trong tiled han 24 gier, ke tilt khi Kienlongbank thay di, bai nhietn, mien nhiem doi vai, cac doi tugng theo quy dinh tai Khoan 1 Dieu nay, Kienlongbank phai time hien c6ng bo th8ng tin.

Diu 12. Dinh chi, tnni dinh chi chat danh Ban Kim soat

1. Ngan hang Nha mite c6 quyen dinh chi, tarn dinh chi viec dux thi quyen, nghia cilia Trailing Ban, cac thanh vien Ban Kiem soat vi pham quy dinh tai Dieu 9 dm Quy che nay, quy dinh khac cilia phap luat cO lien quan trong qua, trinh time hien quyen, nghia vu dugc giao; yeu eau ca quan c6 tharn quyen mien nhiem, bau, bo nhiem ngueri thay the hoc chi dinh nguOi thay the neu xet thay can thiet.

Lun hanh nOi b4a 847 Trang 6/19

Quy die T6 chat va hoat dOng dm Ban Ki6m soat

Ban Kim soat dac bit c6 quyen dinh chi, tam dinh chi viec flux thi quyen, nghia \iv cua Truang Ban, thanh vien Ban Ki;em,soateila Kienlongbank bi dat vao tinh trang kiem soat dac bit neu xet thay can thiet.

Ngueri bi dinh ,chi, tam dinh chi viec thuc thi quyen, nghia vv theo quy dinh tai khoan 1 va khoan 2 Dieu nay phai c6 trach nhiem tham gia ?at 15/ cac ton tai và vi ,pham c6 lien quan den trach nhiem cii nhan khi c6 yeu cau ciia Ngan hang Nha mite, Wei (long quan tri, Ban Kiem soat cUa Kienlongbank hoac Ban Kiem soat dac bit.

Dieu 13. Thay the thanh vien Ban Kim soat

1. Trong truerng hop Truerng Ban Klein soat bi dining nhien mat tu each hoac co dun xin tit nhiem, trong thai han 15 (muai lam) ngdy lam viec ke tit ngly Tru&ng Ban Kiem soil throng nhien mat tu each hoac c6 dun xin tit nhiem, cac thanh vien Ban Kiem soat c6 trach nhiem tO chitc hup Ban Klein sok de bau 01 (m0t) thanh vial Ban Kiem soat lieu chuan, dieu kin) lam TruOng Ban Kiem soat.

TruUng hgp khong c6 thanh vien Ban Kim soat dap Ung dii fiat chuan, dieu kien theo quy dinh hien hanh, cac thanh vi'en Ban Kiem soat con lai de dr met thanh vien bao dam tiou chuan ye ciao dice nghe nghiep, nang lvc dieu hanh vii trinh ,d0 chuyen mon tam thai dam nhiem cong viec ciia Inning Ban 'Clem soat; (long thai, dO nghi HOi d8ng quan tri trong the" han 60 (sau muui) ngay lam viec (ke tit ngay Truong Ban Kiem soat bi throng nhien mat tu each hoac cc') dun xin tic nhiem) tien hanh cac thu tvc can thiet theo quy dinh de Ngan hang Nha tux& chap thuan danh sach du kien ung cit bau vao Ban Kim soat, vi trieu tap Dal hei &mg co d8ng bat thuang d8 bau ho sung thanh vien Ban Kiem goat vii tin hanh thu tvc bau Truang Ban Kiem soat.

2., Thanh vien Ban Kim soat muen tit chdc phai c6 don gii d'en Hi deng quan tit Ban,Kiem soat \fa HOi d6ng quan tri Kienlongbank d'e trinh Dai hei (long c8 dong gin nhat quyet dinh.

True/11g hap s6 thanh vien Ban Klein sok khong da 2/3 (hai phan ba) t6ng s6 thanh vien cUa nhiem ky hoc khong do so thanh vien Ban Kiem soat ten thieu theo quy dinh ciia Dieu le Kienlongbank, trong thai han 60 (sau mutt° ngdy lam viec ke tit ngay không dii s6 thanh vien Ban Kiem soat theo quy dinh, Ban Kiem soat phai de nghi HOi deng quan tri trieu tap Dai hei 'tong co dong de bau b6 sung thanh vien Ban Kiem soat.

Dieu 14. ChAp thuAn danh sach dty kin nhiing ngtroi (lucre bin lam thinh vien Ban Mem soat

1. Danh sach dv kin nhitng nguai dugc bau lam thanh vien Ban Kim soat ciia Kienlongbank phai dugc Ngan hang Nha nude chap thuan bang van bin tit khi bau cac chirc danh nay.

2., Kienlongbank phai thong bao cho Ngan hang Nha nu& danh sach,nhung nguai dugc bau thanh vien Ban Kim soat trong thai han 10 (mueri) ngay lam viec Ice tic ngay bau.

Dieu 15. Thu lao, tien thtthng vi cac chi phi khac cfia Ban Kim soat

1. Thanh vien Ban Kiem soat dugc tra thn lao theo cong viec dinh ky hang thing vi tien thuong theo ket qua vii hieu qua kinh doanh cua Kienlongbank. Dai h'ei clang ce (long quyet,dinh tong mite thu lao vii ngan sach boat dOng hang nam dm Ban Kiem soat can dr vao s8 ngay lam viec dr tinh, s6 lugng vi tinh chat °la cong viec vii mite thil lao binh quart hang ngdy cna thanh vien.

Luu hanh n6i b6 OA/ Trang 7/19

Quy chE Ta chive \fa Float Ong dm Ban KIEm soat

2. Thanh vien Ban Kiem . soat clime thanh loan chi phi an, 6., di loi, chi phi sir dung dich vu Ur van dc lop veri mire hgp ly. Tong mire thfi lao va chi phi nay kitting vugt qua tong ngan sach hoot dgng hang,nam oh Ban Kiem sodt dugc Doi hOi citing co dong chap thuon, trü truang hgp Doi hgi 'tong co dong c6 quyet dinh khae.

. 3. Thii lao cüa thanh vien Ban Kiem sok dugc tinh vac .chi phi kinh doanh cUa Kienlongbank theo guy dinh.cin phap luat ye thue thu nhap doanh nghiep, phap luat c6 lien quan va phai dirge the hien thanh lupe rieng trong bag cao tai chinh hang nam cita Kienlongbank, phai bao cao 114 hi &Ong co dong toi cugc hop thuerng nien.

Chuang III NHIEM IT VA QUYEN HAN GOA BAN KIEM SOAT

Dieu 16. Nhiem vu va quyen hmi ciia Ban Kim sold •

Giam sat viec tuan thit cac quy dinh cUa phap luat va Dieu lecUa Kienlongbank trong viec guar' tri, dieu hanh Kienlongbank, chin trach nhiem fru& Dai hgi dong co (long, trong viec tlurc hien nhiem vu, quyen han dirge giao.

Ban hanh cac guy dinh nOi bg cila Ban Kiena soat, bg phan Kim titan ngi bg va cua cac bg phan gift!) viec,khac true thugc, dinh, kY, hang Warn xem xet lat guy dinh ngi bg cita Ban Kiem soat, cac chinh sach quan tr9ng ye k'e toan va bao cao.

BO nhiem, mien nhiem, kY luat, dinh chi \TA quy6t dinh mire luang, lgi ich khac vai cac chfrc danh thugc bg phan Klein toan ngi 136.

,Thuc hien chirc nang kiem toan ngi b6, ea quyen sir dung tu Van dc lap va quyen dirge tiep con, cung cap dU, chinh xac, kip thei cac thong tin, tai lieu lien quan den hoot dOng quail ly, diet' hanh Kienlongbank de thut hien nhiem vg, guy'en han dirge giao.

Tham dinh bao cao tai chinh 06 (sau) thang, dau nam va hang nam cUa Kienlongbank, bao cao Dai hi dOng cO (long ve Ica qua tham djnh bao cao, tai chinh, danh gia tinh hgp ly, hgp phap, trung,thgc va mire do can trong trong ding tac ke toan, thong ke va lap bac) cao tai chinh. Ban Kiem soat có the tham kith) 2 kien cira Hgi Tong quan tri truerc khi trinh bao cao \fa kien nghi len Dai hOi (tong co (long.

Kim tra sg k toan, cac tai lieu khdc va ding viec (pan ly, dieu hanh hog dOng cira Kienlongbank khi xet thay can thiet hoc theo nghi quyet, quyet dinh cOa Dai hgi dong co idling hoac theo yeu cau caa co (long Ian hoac nhom co &Ting Ian phU hgp vai quy dinh cira phap luat. Ban Kiem,soat dux hien kiem tra trong theri han 07 (bay) ngay lam viec, ké tir ngay nhan dirge yeu cau. Trong thoi han 15 (mtrai lam) ngay, ke tir ngay ket ythtic kiem tra, Ban Kiem sodt phai bao cdo, giai trinh nhitng van de dugc you can kiem tra den to chirc, ca nhan eel yeu cau.

Kip theri thong bao cho HOi dOng quan trj, khi phat hien nguai quan ly có berth vi vi pham, yeu can nguai vi pham cham dirt ngay hanh vi vi phom va cO giai phap khac phvc hau qua, neu cg.

, 8. Lap danh sach c6 dong sang lap, c6 (tong Ion, va ngueri c6 lien quan cUa vien Hgi (tong quan trj, thanh vien Ban Kiem sok, Tong Gam doe etia Kienlongbank hru gift va cap nhat thay doi ciia dant! sach. nay.

Luu hành n0i bi" Trang 8/19

Quy ch6T chut va hog dOng dm Ban Kim snit

9. De nghi HOi ding quail tri hopiliat thtteng hoac d nghi HOi &mg quan tri trieu tap Dai hOi dong co 'long bat thuOng theomy dinit oh Dieu le va phap luat có lien quan.

, 10. Trieu tap Dai hOi d'ong c6 &mg bat thutmg trong trutrng hgp HOi deng quan tri c6 quyet dinh vi pham nghiem tong quy dinh dm Dieu le, Lust Doanh nghiep va Luat Cac to chirc tin dung hoac vucrt qua tham quyen ducc giao va tnrong hgp khac theo quy dinh tai Dieu lecilia Kienlongbank.

11. Cac nhiem vu, quyen han khac theo quy dinh tai Quy che nay, Dieu le Kienlongbank va phap luat c6 lien quan.

Dieu 17. Nhiem vy va quyen hn cilia Trtroing Ban Kiem sok

, 1. T6 chirc trien khai thvc hien nhiem vv, quyen han cilia Ban Kiem soat quy dinh tai Dieu 16 dm Quy che nay.

Chan bi chuong trinh hop dm Ban Klein soat ten co sa kin d xuat cilia thanh vien Ban Kiem soat lien quan den nhiem vv, quyen han cila Ban Kiem soat, trieu tap va chit tpa cuOc hop Ban Kiem soat. .

Thay mat Ban Kiem soat ky cac van ban thuOc tham quyen dm Ban Kim soat.

Thay mat Ban Kiem ,soat trieu top Doi hOi dang c8,dong bat thuong quy dinh tai Dieu l'e Kienlongbank hoac de nghi HOi dong quail tri hop bat thuang.

Tham dv cuOc hop HOi (fang quart tri, Oat bieu kien nhung thong ducre bleu quyet.

, • , 6. You cu ghi lai kin cilia minh trong bien ban cuOc hop HOi (Jong plan tri, nu )"/

kien cilia minh khac vi nghi quyet, quyet dinh cilia HOi (tong quan tri, va bao cao nu& Dai hOi dong c6 'Jong.

Chuan bite hoach lam viec va phan ding nhiem Iry cho cac thanh vien Ban Kim soat.

Bao dam cac thanh vien Ban Kim sOat nhan dugc thong tin dAy dü, khach quan, chinh xac \fa cal áü theri gian that) luan cac van de ma Ban kiem soat phai xem ?cot.

Giam sat, chi dao viec thvc hien nhiem vuducrephan ding \Id quyen, nghiavu cilia thanh vien Ban Kiem sok.

111y quyen cho mOt thanh vien khdc dm Ban Kim soli thgc hien nhiem vu cilia minh trong then gian yang mat.

Cac quyEn, nghia vii khac theo quy dinh tai Quy che nay, Dieu le Kienlongbank va phap 1410 lien quan.

Dieu 18. Nhiem vy va quyen hn cfia thAnh vier' Ban Kiem soat

Tuan tho quy dint ciia phap luat, Dieu le nay va quy dinh nOi 130 caa Ban Kim sok mOt each trung thvc, can tong vi lgi ich cüa Kienlongbank va cilia c8 (long.

Bau mOt thanh vien Ban Kim sok lam Truang Ban Kim soat.

You cAu Truang Ban Kim soat trieu tap Ban Kim soat hop bat thuang.

Kim soat boat Ong kinh doanh, kiem soat s6 sach ke toan, tai san, bat) cat) tai chinh va kien nghi bin phap kh'Ac phvc.

Liru hanh n(n

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64/ Trang 9/19

Quy ch6 T6 chirc va hoar Ong cna Ban Kim soat

Dugc quyen yeu cau can)* nhan vien cUa Kienlongbank cung cap s6 lieu \Id giai trinh cac hog dOng kinh doanh d'e thyc hien nhiem vy dugc phan c6ng.

Bao cao Twang Ban .Kim soat ve hoat dOng tai chinh bAt thuang va chiu trach nhiem ve danh gia va ket luan cita minh.

Tham dy cuOc hop cna Ban Kiern soak, that:, luan ‘va bieu guy& ve vAn de thuOc nhiem vu, quyen han cila Ban Kiem 'sok, trir nhang van de c6 xung dOt lgi ich vori thanh vien do.

Cac quyen, nghia vy khac theo quy dinh tai Quy che nay, Dieu 1 Kienlongbank va phap luat c6 lien quan.

Dieu 19. Trach nhiem cling khai cac ich c6 lien quan

1. Thanh vien Ban Kim soat phai c6ng khai vOi cac thong tin sau day:

Ten, dia chi try sa chinh, nganh, nghe kinh doanh, so va ngay cAp Giay chUng nhan dang kY doanh nghiep, nai dang k kinh doanh cUa doanh nghiep, to chirc kinh te ma minh va ngueri c6 lien quan dung ten se NM phan von gap, co phan hoc ay quyen, ay thach cho cá nhan, to chirc khac dung ten tir 5% (nam phan tram) von diet' l tra len;

Ten, dia chi try sg chinh, nganh, nghe kinh doanh, s6 va ngly cap Giay chimg nhan dang ky kinh doanh, nth dang , I4 kinh doanh cua doanh nghiep ma minh va ngtrai c6 lien quan dang là thanh vien FlOi &mg quan tri, thanh vien Hi (tong thanh vien, thanh vien Ban Kiem soat, Tong Gam doe (Giam doe).

2. Vic Ong khai thong tin quy dinh tai Khoan 1 Dieu nay \id viec thay dgi thong tin lien quan phai thyc hien,bang van ban trong theri Ilan 07 (bay) ngdy lam viec, ké tu ngdy phat sinh hoc c6 thay dOi th8ng tin.

3. Kienlongbank phai cong khai thong tin quy dinh tai Khoan 1 Dieu nay dinh kY hang nana cho Dai hOi (long ca thing cita Kienlongbank va dugc niem yet, luu gift tai try sâ chinh ctia Kienlongbank.

4. Kienlongbank phai,thong bao bang van ban cho Ngan hang Nha nu6c cac thong tin quy dinh tai khoan 1 Dieu nay trong thai hart 07 (bay) ngdy lam viec, ke tir ngay Kienlongbank nhan dugc thong tin cong khai theo quy dinh tai khoan 2 Dieu nay.

5. Thanh vien Ban Kim soat phai thyc hien ding 136 thong tin ve giao dich c6 phieu theo quy dinh cira phap luat lien quan.

Dieu 20. Trach nhiem can trting

Thanh vien Ban Kiem soat co trach nhiem Mut hien cac nhiem vy cua minh, Ice cá nhang nhiem vy vai tu each thanh vien b0 phan Kiem toan nOi b0, mOt each trung thirc vi lgi ich cao nhat elm Kienlongbank va vai mac dO can am-1g ma mOt ngueri than trong phai ca khi dam nhiem vi tri tucrng throng va trong hoan canh tuang tr.

Dieu 21. Trach nhiem trung thtyc yi tranh cac xung dt v quyen lqi

, 1. Thanh vien Ban Kim soat khong dugc phop sir dyng nhang co hi kinh doanh c6 the mang lai lgi ich cho Kienlongbank và vi myc dich cá nhan, d8ng thgi khong clugc sir dyng nhting thong tin c6 dugc nha chirc Nip cüa minh de tu lgi cá nhan hay de phyc vy Igi ich cga to chat hoac cá nhan khac.

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Quy ch6 TE) chirc ya ho?-t Ong dm Ban Ki‘rn snit

2. Thanh vien Ban Kiem soat co-nghia vu-thong bao cho Ban Kiem soat tAt ca the lgi ich co the gay xung dot vai lgi ich cilaiKienlongbank ma he c6 the dugc huang thong qua cac phap nhan kinh te, cac giao dich hoac ca nhan khac.

3. Hop thing hoac giao dich gitia Kienlongbank vai met hoac nhieu that-1h vien Ban Kiem soat hoac nhang nguai lien quan den he hoac cong ty, doi tac, hip hoi, hoac to chat ma thanh vien Ban Kiem soat hoac nhang ngtrai lien quan den 119 la thanh vien, hoac c6 lien quan lgi ich tai chinh khong bi vo hieu hóa trong cac truang hap sau day:

Doi yen hap Tong c6 gia tri tilt duai 20% (hai mirth phan tram) tong gia tri tai san dugc ghi trong bao cap tai chinh gan nhat, nhiing yeti t6 .quan trung ye hgp deng hoac giao dich cling nhu the mei quan he va lgi ich cüa can be quan IY hoac thank vien Ban Kim soat da dugc bao coo cho Ban Kiem soat hoac Wei clang quail tri. Deng thai,,H0i thing quan tri da cho phep thuc hien hap &mg hoac giao dich do met each trung thuc bang da s8 phieu tan thanh cüa nhting thanh vien HOi dong quan tri;

Dei veri nhang hgp ding CO gia tri Ian han 20% (hai muai phan tram) cua thug tai sari dugc ghi trong bao cao tai chinh gan nhat, nhang you to quan tr9ng ve hap dong hoac giao dich nay cling nhu mai quan h va Igi ich cUa can be quan hoac thanh via Ban Kiem soat da dugc ding 136 cho the co d8ng kh8ng c6 lgi ich lien quan CO quyen bieu quyet ye van de da va nhung c8 (tong do da bo phieu tan thanh hgp &Mg hoac giao dich nay;

Hgp &mg hoac giao dich do dugc met te) chirc Ur van dee lap cho la cong bang va hap ly xet tren mei phucrng din lien quan den the c6 &Mg cila,Kienlongbank van thai diem giao dich hoac hap d8ng nay dugc Ban Kiem soat Mac Wei (long quart tri hay cac co dong cho phep;

4. Thanh vien Ban Kim soat va nhang nguai CO lien quan vOi cac thanh vien tren khong dugc sir dung cdc thong tin chua dugc phop cong bo eüa Kienlongbank hoac het le cho ngtrai khac de thuc hien cac giao dich co lien quan.

5. Thanh vien Ban Kim soat phai am hieu ye cac loai rüi no trong hot dOng cüa Kienlongbank.

6 Thanh vien Ban Kim sok thong bao kip thai,7dAy dU, chinh xac cho Kienlongbank ye quyen lgi cOa minh tai to chire khac, giao dich vai to chac, ca nhan khac co the gay xung (let veri lgi ich cda Kienlongbank va chi dugc tham gia vao giao dich do khi dugc Hei &mg quart tri chap nhan.

Thanh vien Ban Kim soat kh6ng dugc tao dieu kin de ban than hoac nguai c6 lien quan cilia minh vay v8n, sir dung cac dich vu khac cOa Kienlongbank veri nhang dieu kien uu dai, thuan lgi han so veri quy dinh chung cOa Kienlongbank.

Ban Kim soat thong dugc tang Luang, thn lao hoac yeu cAu tra thuang khi Kienlongbank hi 18.

Thanh vien Ban Kim soat CO nghia vg thong bao cho Hi &Ong quan tri, Ban Kim soat ye cac giao dich gifta c8ng ty, cong ty con, c8ng ty do Kienlongbank nam quyen ki'em soat tren 50% (nam math phan tram) tra len v8n dieu l vai chinh thanh vien do hoac vai nhirrng nguai có lien quan cOa thanh vien dO theo quy dinh cUa phap luat. Doi vad cac giao did) neu tren do Dai hi dong c8 dong hoac Hei &Ong quan tri chap thuan, Kienlongbank phai thkrc hiOn cong bo thong tin ve cac nghi quyet nay theo quy dinh cOa phap 141 chang khoan ye cong be thong tin.

Lau hanh nr)i 1m5 00/ Trang 11/19

.frUA U-027

Quy ch6 TO chnt ya hog Ong dm Ban Kim soat

9. Cac nglila vv khac quy dinIttai Quy che nay, Dieu l'e va phap luat c6 lien quan.

Dieu 22. Trach nhiem ye thi'et hai va bôi thuimg

1. Thanh vien Ban Kim sciat vi pham nghia vv, trach nhiem trung thvc \fa can trong, Ichong hoan thanh ngifia vii cüa minh vgi sr man can va nang lye chuyen m6n phai chiu trach nhiem ve nhang thiet hai do hanh vi vi pham cita minh gay ra.

2. Khi thvc hien chirc na'ng, nhiem \Tv hoc thvc thi cac cong viec theo gy quyen.cga Kienlongbank, thanh vien Ban Kiem soat dugc Kienlongbank boi thuang khi tr6 thanh mgt ben lien quan trong cac vii khieu nai, kin, khai to (tit cac vv kin do Kienlongbank là ngueri Idled kin) trong cac Huang licyp sau:

Da hanh dgng trung thvc, cAn tning, man can vi lgi ich va khong mau thuan vai lgi ich cüa Kienlongbank.

Tuan thfi luat phap va khong c6 bang chung xac nhan da khong thvc hien trach nhiem veri lgi ich cña Kienlongbank.

Chi phi bgi thugng bao gm cac chi phi .phat sinh (Ice ca chi phi thue luat,su), chi phi phan quyet, cac khoan tien phat, cac khoan phai thanh toan Oat sinh trong thvc te hoac dugc coi la mire hgp l khi giai quyet nhang vu viec nay trong khuon kho luat phap cho phep.

Chtrang IV

HOST BONG CIJA BAN MEM SOAT

Dieu 23. CusYc hyp dm Ban Kim soat

, 1. Cugc hop Ban Kim soat dau tien phai dugc t6 chirc, trong \Tong 07 (bay) ngay sau bau CI:f Ban Kiem soat do. Cugc hgp nay do thanh vien c6 so phial bau cao nhat trieu tap. Truang hgp c6 nhieu hun mOt thanh vien c6 so phieu bau cao nhat Ara ngang nhau thi mgt ngueri trong so ho trieu tap hgp Ban Kiem soat.

, 2. Ban Kim soat hgp dinh k5' it nhat qu57 mOt Lan va c6 the dugc trieu tap hgp bat thuerng de kip theri giâi quyet nhung cong viec dgt xuat. Cugc h9p Ban Kiem soat do Trugng ban hoc ngueri tam gill chirc Truong Ban trieu tap va lam chit' tga.

3. Cu& hgp bat thugng cfm Ban Kiem sok thrgc tien.hanh theo de nghi coa:

Chit tich HOi thing quan tri;

Hai thanh vien HOi dgng quart tri;

Trtrerng Ban Kiem soat;

Da so thanh vien Ban Kim soat;

TOng Giam dee;

I Giam dee Ngan hang Nha nu& Chi nhanh hoc Thgng &Se Ngan hang Nha ntr6c.

4. Trong theri han 15 (mugi lam) ngay lam viec ketü ngdy nhan dugc van ban de nghi hop Ban Kiem soat bat thugng cña mOt trong cac doi ttrgng neu tai diem a, b, d, e vã f, khodn,3 Dieu nay, Truang Ban Kiem soat phai trieu tap \fa tien hanh cugc hop Ban Kiem soat bat thuang. Trudng hgp, sau hai Ian de nghi ke tiep ma Trugng Ban Mein soat khong trieu tap cugc hgp Ban Kiem soat, HOi dong quan tri va cac thanh vien Ban Kiem soat phai c6 ngay van ban bao cao Chi nhanh Ngan hang Nha nuerc tinh, thanh pito trvc thugc Trung

Lisu hanh nOi 60 Pc/

Trang 12/19

Quy che. T6 chirc ya hunt dOng elm Ban Kiez ni soar

uang noi Kienlongbank dat try sâ chinhAva tienihanh h9p Ban Kim soat d xir 19 cong viec, oiling tiled quyet dinh viec mien nhiern,,bai nhiem chirc danh Truang Ban Kiem soat, bau met thanh vien Ban Kiem soat dam bac) cac dieu kien gift chirc danh Truerng Ban Kiem soat, theo dung quy dinh hien hanh, hoac quyet dinh to chirc,Dai hOi dong c6 dong bat thuerng de xir ly nhfing ton tai, vtrang mac chua the giai quyet (neu co).

Cac cuec hop Ban Kim soat se duct tin hanh 6 da chi try see chinh da dang k9 càa Kienlongbank hoac 6 nai kilt do Trutng Ban Kiem sok quyet dinh.

Th6ng bao mai hop Ban Kiem soat phai duct ggi cho cac thanh vien Ban Klein soat t6i thieu 05 (nam) ngay lam viec truot ngay hop. Th6ng bao ve cuOc hop Ban Kiem soat duct lam bang van ban tieng Viet, trong do neu r6 ye: Chuang trinh hcp, thai gian, dia diem va phai duct kern theo nhfing tai lieu can thiet ye nhfing van de se duct ban bac vã bleu quyet tai cuOc hop Ban Kiem soat va cã cac phieu bieu quyet cho nhang thanh vien Ban Kiem soat. Nhirng thanh vien Ban Kiem soat kh6ng the du hop se gin phieu bieu quyet cho Ban kiem sok trutc khi hcp.

7., Cuec hop Ban Kim soat dugc den hanh khi co tir 2/3, (hai phan ba) s6 thanh vien Ban Kiem soat tra len true tiep tham du hoac qua ngtrai thay the IA met trong cac thanh vien Ban Kiem soat dugc ny quyen.

Dieu 24. Thong qua quyet dinh dm Ban Kim soat

M6i thanh vien tham dy cuec hop Ban Kim soat s'e c6 met phieu Neu guy& tai cuec hop Ban Kiem soat., Neu thanh vien Ban Kiem soat khong the tham du cuOc hop thi co the ay quyen bieu quyet cUa,minh bang van ban cho met thanh vien Ban Kiem soat khac (la dot Wong duoc tham gia bieu quyet) thyt hien bieu quyet thay.

Thanh vien Ban Kim soat c6 quy'en loi lien quan tai van d8 duce dua ra Ban Kiem soat qtiyet,dinh sê kh6ng duct phop tham gia bieu quyet doi voi van de do vã khong duct tinh vao so lugng dai bieu yeu cau co mat tai et hop, &Mg thgi ,cang khong dirge nhAn fly quyen cua thanh vien Ban Kiem soat khac de tham gia bieu quyet van de do.

Bat ky thanh vien Ban Kim soat nao cO lien quan den met hop dang,duct neu trong khoan 3 Dieu 21 dm Quy che nay se dugc coi la c6 quyen lgi vAt chat deli \Teri hop (long do.

4; Thanh vien Ban Kim soat neu theo sr hien biet cña minh thay co lien quan dit la true tiep hay gian tiep veri met hop &mg, met th6a thuon hay met hop (long dy ,kien hoac met th6a thuan du kien giao ket vai Kienlongbank phai khai bao ban chat quyen lgi lien quan tai cuc hop Ban Kiem sok. Tai day Ban Kiem soat se xem,xet,viec c6 giao,ket cac hop &Ong hoac thoa thuan del hay kh6ng. Neu nhu sau nay mdri Net ve su t6n tai ye quyen loi do ciia minh hay trong bat cfr trutng hop nao khac, thanh vien do phai thong bao,ngay tai cuOc hop gan nhat ctia Ban Kiem soat sau khi thanh vien do biet dugc da co quyen Igi lien quan.

, 5. Quyet dinh dm Ban Kim soat dugc thong qua neu dtroc,da s6 thanh vien Ban Kiem soat c6 quyen tham gia,bieu quyet chap thuan. Truerng hop so phieu ngang nhau thi quyet dinh cuoi cfmg thuOc ye phia c6 9 kien cüa Truang Ban Kiem sok boat thanh vien Ban Kiem soat duce Ban Kiem sok ày quyen Chit tca cuec h9p (truang hop Twang Ban Kiem soat yang mat).

Lau hanh *130 04/ Trang 13/19

tWr °32)2X

Quy cha Ta chirc va hoat &Ong cua Ban Kim soat

6. Truang hop Ban Kiem soat lay 9 kin bang van ban de thong qua guy& dinh ye mOt van de thi quyet dinh dugc coi la c6 gia tri tuong throng yeti mOt quyet dinh dugc th6ng qua beci cac thanh vien Ban Kiem soat tai mOt cuc Iwp duce trieu tap va to chirc thong thuong neu:

Dugc str nhat tri bang van ban cüa da s6 thanh vien Ban Kiem soat c6 quyen tham gia bleu quyet doi vai van de dim ra xin 9 kien;

So hrong thank vien Ban Kim soat co quyen tham gia bieu quyet bang van ban phai dap Ung dugc (lieu kin ye s6 lugng thanh vien bat buOc phai c6 de tien hanh hop Ban Kiem soat.

Dieu 25. Bien bin hyp cim Ban Kiem sok

, 1. CuOc hop Ban Kiem soat phai &roc ghi day da vao so hien ban. Bien ban hop Ban Kiem soat dugc lap bang tieng Viet va phai ducfc tat ca thanh vien Ban Kiem soat tham du hop k9 ten va phai lien clai chiu nth nhiem ye tinh chinh xac va trung dux cilia Bien ban. Thu kY cuOc hop chiu trach nhiem ghi chop va lop bien ban cu6c kip Ban Kiem soat va k9 ten vao bien ban.

2. Chit toa cu6c hop co trach nhiem 17.6 tri lap va gui bien ban cuOc hop Ban Kiem soat cho cac thanh vien Ban Kiem soat va Bien ban hop do së dugc coi la bang chUng mang tinh ket luan ye cong viec tien hanh ti cac cuOc hop do, trir truang hop co nhang khieu nai lien quan den nOi dung cim Bien ban hop trong thai han 10 (mired) ngay ke fir ngay gin Bien ban.

3. Twang hop thanh vien tryc tiep dtr hop khong kY vao Bien ban hop thi ghi rO ly do; Neu khong ghi rO ly do thi bieu quyet cUa thanh vien do doi v&i nhang nOi dung tai cuOc hop coi nhu khong c6 gia tri.

4. S6 bien ban va Bien ban hop Ban Kim soat phai dugc luu gill va bao quart tai try se( chinh cüa Kienlongbank.

5. Chn toa, Thu kY va cac thanh vien Ban Kim soat tham du cu6c hop phai lien dai chiu trach nhiem ye tinh chinh xac va trung thyc cita. Bien ban hop Ban Kiem soat.

Dieu 26. Thim quyen va the truly liy 9 kien thanh vien Ban Kim soat bing yin ban

1. Truang Ban Kim soat quyet dinh viec My 9 kien thanh vien Ban Kim soat bang van ban.

, 2. Thu kY Ban Kiem soat chuan bi phieu My y kien, cac tai lieu can thiet c6 lien quan den n6i dung xin 9 kien.

3. Phieu lay 9 kian phai cO,cac nOi dung chO yeu sou day:

Ten, dia chi try sâ chinh, s6 va ngdy cap Giay pile]) thanh lap \fa hog dOng, Giay chung nhan dang ky kinh doanh cfm Kienlongbank;

Myc dich lay y kien;

Ho, ten va dia chi lien lac cna thanh vien Ban Kiem soat;

Van de can lay y kien;

Phtrcrng an bieu quyet, bao g6m: Tan thanh, khong tan thanh và killing co 9 kien;

Thai hp gin phieu lay 9 kien dã dugc tra lai v Kienlongbank;

Luu hanh nal be) Trang 14/19

Quy chE Tt; chirc NIA ho?! Ong dm Ban Kim sok

g. HQ va ten, chit ky cUa TruerngBanKiem soat.

4. Phieu,lay 9 kin da dugc tra larphaito chit ky cüa thanh vien Ban Kim soat va gfri ve Ban Kiem soat Kienlongbank theo dung thed ban quy dinh.

, 5. Thu ky Ban Kim soat kiem phieu va lap bien ban kiem phieu clued sr giam sat cua toi thieu mOt thanh vien Ban Kiem soat chuyen trach. Bien ban kiem phieu phai có cac nOi dung chit yeu sau day:

Ten, dia chi try ser chinh, se va ngay cap Giay phep thanh lap va hog dOng, GiAy chimg nhan dang kY kinh doanh dm. Kienlongbank;

Myc dich va cac van de can lay 9 kin;

tang so phial Neu quyet Wri di t6ng so phieu bieu guy& thu v& so phieu Neu quyet hop le, so phieu bieu quyet khong hyp le. Bien ban phai cO phi lyc danh sach thanh vien Ban Kiem soat da tham gia bieu quyet;

,TOng s6 phieu tan thanh, khong tan thanh va kheng có 9 kin veld tirng van de duce xin 9 kien;

Hy, ten, chit k9 cna ngtrai .phy trach kiem phieu, ngueri giam sat.

Thu ky Ban kiem soat My 9 kin thanh vien Ban Kim soat bang van ban va nguai giam sat kiem phieu phai lien ded chiu trach nhiem ye tinh trung thirc, chinh xac cüa Hen ban kiem phieu;,Lien deri chiu trach nhiem ye cac thiet hai phat sinh tir cac quyet dinh dugc thong qua do kiem phieu khong trung thuc, kh6ng chinh xac.

Bien ban ket qua kiem phieu kern nghi quyet, quyet dinh ctia. Ban Kim soat thong qua Oa teen ket qua kiem phieu phai dugc giri den cac thanh vien Ban Kiem soat trong Mari han 15 Owed lam) ngay, ke tu ngay ket thac kiem phieu.

Phieu My Y kin da dugc tra lai, Nen ban kiem ephieu, toan van ban nghl quyet cid dirge thong qua \fa tai lieu có lien quan giri kern theo phieu lay 9 kien deu phai dugc luu gut tai try ser chinh cUa Kienlongbank.

, 9. Quyet dinh dugc thong, qua theo hinh that lay 9 kin thanh vien Ban Kim soat bang van ban co gia tri nhu quyet dinh dugc thong qua tai cuOc h9p Ban Kiem soat.

Chtrung V CHUONG TRINH, DIEU KIEN LAM VIEC, QUYEN MAX CUNG CAP THONG

TIN, BAO MAT THONG TIN CIJA BAN KIEM SOAT

Dieu 27. Chtrung trinh cling tic ciia Ban Kiem soat

1. Can dr myc tieu chung, chuang trinh, ke hoach,,dinh hmang phat trien hang nam va trong timg giai doan cüa Kienlongbank, nhiem vv, quyen ban cim Ban Kiem soat, nhiem vu cüa tirng thanh vien Ban Kiem soat, this ky tong hyp chucrng trinh cong tac cila Twang Ban Kiem soat va cac thanh vien Ban Kiem soat, xay dung va trinh Truang,Ban Kiem soat phe duyet Chuang trinh cong tac dinh kY hang thang, quy, nam cila Ban Kiem,soat va theo dOi, bao cao tinh hinh, ket qua thuc hien Chucrng trinh cling tac dm Ban Kiem soat theo dinh bao cao tai k9 hyp thuang k9 theo quy dinh.

Lau hanh nOi b(5 86/ Trang 15/19

Quy cha TO chirc va hogt dOng dm Ban Ki&rn soat

2. Can Cu ,Chuang trinh cong tac chung cua Ban Kiem soat va nhiem vv da duct Throng Ban Kiem soat phan cong, tang thanh vien Ban kiem soat chti deng thvc hien Chuang trinh ding tac caa minh.

Dieu 28. Dieu kien lam viec elm thanh vien Ban Kim soat

Ban TOng Giam dee, cat Phong, Ban, Trung tarn Hi ser, cat Chi nhanh va Phong giao dich va cac C6ng ty con c6 lien quan cüa Kienlongbank co trach nhiem cung cap day dit, kip thai thong tin can thiet, lien quan den boat dng ciia Kienlongbank theo yeu cau ciia Truang Ban Kiem soat hoac cac thanh vien Ban Kiem soat de thvc hien nhiem vv, quyen hp ciia minh theo quy dinh ciia pith() luat va quy dinh tai Dieu le Kienlongbank.

Dieu 29. Ched lam viec ciia Ban Kim sok

1. 7 11 an Mem scat lam viec theo che de tap the, cá nhan chuyen trach. Cac thanh vien Ban Kiem soat thvc hien nhiem vv theo six phan cong ciia Truong Ban: Truang Ban Kiem soat:chiu trach nhiem -Ern& Dai hei (long co &mg va truac phap 10-1 ve viec thtrc hien cac quyen va nhiem vi dm Ban Kiem soat.

2. Twang Ban Kim soat c6 trach nhiem tO chirc, phan tong cac thanh vien phy trach theo mang cong viec. Thanh vien Ban Kiem sok chiu trach nhiem fru& Truemg Ban Klein soat ye viec thvc hien nhiem vv dugc giao.

, 3. Tr-Wing Ban Kim scat ce, quyen trieu tap va chit tri tat ca cac cuec hcp dm Ban Kiem sok, cac thanh vien phai c6 mat day do, neu yang mat vi ly do chinh clang phai cep y kien bang van ban. Nei dung cuec hcp Ban Kiem sok duct lap thanh bien ban va cep day da chit k9 cUa cac thanh vien Ban Kiem soat dv h9p.

Ban Kim sok lap chuang trinh cong tac Quy, 06 (sau) thang, nam, phan cong trach nhiem cac thanh vien phi Udell ting Gong viec theo chuang trinh de thvc hien cac nhiem vu quy dinh theo Dieu le Kienlongbank.

Bei vai nhirng vi viec kiem, tra mang tinh phirc tap, Ban Kim soat bao cat ved HOi dong quail tri hoc Tong Giam doe de huy Ong them nhan sr tham gia cila met so can be c6 nang ltrc, nghiep \Tv chuyen mon plum \iv cho tong tac kiem tra.

Cac kin nghi dm Ban Kim soat tru6c khi bac) cao cho 0a hi ding ce dong phai duct dua ra,thao luan tap the trong cac cuec hcp cilia Ban Kiem soat. Truang hgp thanh vien Ban Kiem soat c6 2 kien khac vài ket Wan ciia Truang Ban Kiem soat, thanh vien dO có quyen bao ltru 9 kien cá nhan va. Trueng Ban Meth soat phai ghi 9 kin ban luu nay vao bi'en ban.

, 7. Cac thanh vien có 9 kien doi Arai bac, cao quyet toan tai chinh hang nam, bao cao tham dinh tai chinh 06 (sau) thang, bao cao dm Ban Kiem scat truck Dai hi &mg co &mg N/A cat van de khac theo yeu tau efia Twang Ban Kiem sok.

Dieu 30. Quyen duvc cung cap thong tin

Thong bao mai hcp, phieu lay 9 kin thanh vien Hai dong quail tri va cac tai lieu kern theo phai dugc giri den thanh vien Ban Kiem sok ding thai diem va theo phuang thirc nhu doi yen thanh vien Hei (Jong quail tri.

Bao cao ciia TOng Giam dee trinh HOi deng quaff q tri hoc tai liCu khac do Kienlongbank phat hanh duct gfri den cac thanh vien Ban Kiem soat ding then diem \TA theo phuang thirc nhu doi veri thanh vien Hai thing quart tri.

Luu hanh Trang 16/19

Quy che' Ter chirc va hoat dOng cua Ban Kim soat

Thanh vien Ban Kim sok c6 quyen tier) can cac 110 sa, tai lieu cilia Kienlongbank km gicr tai try s& chinh, chi nhanh va4ia dient.khac; có quyen den cac dia diem nod nguOi quail 15, va nhan vien cüa Kienlongbank lam viec.

HOi dOng quan tri, thanh vien HOi dOng quan tri, T6ng Giam dee va the ngued quan lY khac phai cung cap day dü, chinh xac va kip tiled tat ca the thong tin Aid tai lieu ve ding tac, quan ly, dieu hanh va hoat dOng kinh doanh cna Kienlongbank theo yeu cau cita Ban Kiem soat. VA phai bao dam rang tat ca the thong tin tai chinh va cac thong tin khac dugc cung cap cho cac thanh vien HOi dong quan tri cling nhu cac bien ban hgp 1-10i thing quail tri së phai dirge cung cap cho thanh vien Ban Kiem soat vao cling thed diem va theo .phtrang thirc doi vOi thanh vien HOi (long quail tri.

5. Neu mOt thanh vien Ban Kim soat nhan dirge thong tin hoc tai ,lieu lien quan den nhiem \iv dm Ban Kiem soat theo each thirc phü hgp vài nhiem vti kiem soat (tir nguon khac 1-10i dong quail tri hoac Ban Kiem sok), thAnh vien nay phai th6ng bao vol TruOng Ban Kiem soat ngay khi c6 the va. Tnredig Ban Kiem soat se thong bao cho cac thanh vien Ban Kiem soat c6 lien quan.

Dieu 31. Baia mat thong tin

, 1. Cac thanh vien Ban Kim soat xir ly moi th6ng tin tai lieu c6 dugc trong pham vi tham quyen thanh vien Ban Kiem soat voi str can trong can thiet va bao mat trong truOng hgp thong tin dirge xep loai mat theo quy dinh cUa Kienlongbank vã phap lust.

Cac thanh vien Ban Kim soat khong dugc tiet 10 ra ben ngoai, ding be hoac bang each khach cung ,cap cho ben thn ba the thong tin mat, cac van ban tai lieu va the thong tin khac lien quan den hoat &Ong eüa Kienlongbank, hoc cac th6ng tin ma Kienlongbank chua cong bo ra ben ngodi.

Viec bao mat thong tin vAn dirge thyt hien sau khi thanh vien Ban Kiem soat da het nhiem

Cac thanh vien Ban Kim soat c6 trach nhiem tuan tha bao mat thong tin theo Dieu le Kienlongbank, Quy ch nay va quy dinh c6 lien quan càa phap lust.

Chuang VI _ MO! QUAN HE ClJA BAN KIEM SOAT

Dieu 32. Dal van cac quan quail 15, Nha nut

Ban Kim soat thgc hien the do bao cao cho cac co quan quan lY NU. nuot theo quy dinh cUa phap luat hien hanh.

Dieu 33. Deli voi CAC cO &mg

Ban Kim soat thuc hien bao cao cho c thing lc& qua giam sat hoat dOng cüa Kienlongbank tai ky hop DO het &Ong co (long thuOng nien theo quy dinh tai Dieu le Kienlongbank.

Ban Kiem soat thtm hien kiem tra dOt xuat khi nhan dirge yeu cAu tir CO dong Ian hoc nhom co dong Ian theo quy dinh tai Luat cac TO chirc tin dung, Luat Doanh nghiep, Di'eu ie Kienlongbank va gni bao cao theo quy dinh tat Quy che nay va Dieu le Kienlongbank.

Luu hanh nt)i bi) me," Trang 17/19

Quy ch T6 chat \fa hog dOng dm Ban Kim soat

Dieu 34. 061 van 1141 deng quail tri

Hi (long quan trj bao dam che do cung cap thong tin cho Ban Kim soat theo Quy che nay, Dieu le Kienlongbank, quy dinh quan tri nOi 130 cUa Kienlongbank va cac quy dinh khac c6 lien quan.

HOi deng quan tnj bao dam, Tru6ng Ban Kiem sodt dugc tham dr cac cuOc hop thuerng kY hay bat thuong cüa HOi citing quan tri.

Ban 'Gem soat that hien giam sat, kiem toan,n0i b0 va thot hien bao cao lc& qua giam sat, kiem todn nOi be theo quy dinh. Khi nhan,dtroc ket qua giam sat, kiem todn va nhang de xuat, kien nghi cna Ban Kiem soat, HOi (long quan tri së xem xet de dua ra ket luan. Ban Kiem sodt theo dOi viec thgc hien the ket luan cüa HOi (long quan tri.

, 4., Ban Kiem soat thuc hien tham dinh cac bao cao HOi dOng quan tri trinh Di hei &Mg c6 (long tai cuOc hop thuang nien theo quy dinh -Lai Dieu le,Kienlongbank. HOi (long quan trj bao dam Ban Kiem sok c6 day dii thong tin vá th6i gian can thiet de thgc hien tham dinh cac ban cao nay.

5. Ban Kim soat tham khao 9 kin ciia HOi deng, quantri cac van de duce neu trong bao cao dm Ban Kiem soat tru6c khi gin Dai hei &mg co (long.

Dieu 35. 061 vol Ban Dieu hanh vi nguiri quail !Siena Kienlongbank

Ban Dieu hanh bao dam elle do cung cap thong tin cho Ban Kiem soat theo Quy ch8 nay, Dieu le Kienlongbank, quy dinh nOi b0 ciia Kienlongbank va cac quy dinh khac c6 lien quan.

Truang,hop xet thay can thiet, Ban Dieu hanh \fa ngueri quail 19 Kienlongbank Mei Tru&ng Ban Kiem soat hoc thanh vien Ban Kiem soat tham du hop Ban Dieu hanh hoc cac cuOc hop khac.

Ban Dieu hanh va nguai quan 19 Kienlongbank thuc hien bao cao dinh ky theo quy dinh tai dieu 1 Kienlongbank, quy che nay, quy dinh quan tri nOi ho vã cac quy dinh khac c6 lien quan. Ngoai cac thong tin bao cao theo dinh ky, Ban Dieu hanh vã Ngtrai quan 19 Kienlongbank Mut hien bao cao true tiep hoac cung cap cdc thong tin, bao cao c6 lien quan den hoat deng ciia Kienlongbank theo yeu cau ciia Truong Ban Kiem soat.

Tru6ng hop phat hien rAi no có the anh huerng lem d'en uy tin hoac,hoat dOng kinh doanh cAaKienlongbank, Ban Dieu hanh vá ngir6i quan 19 Kienlongbank can bao cao ngay cho Truarng Ban Kiem soat.

Ban Kiem soat time hien kiem tra, giam sat va kiem toan nOi be vã thgc hien bao cao ket qua,kiem tra, giam sat, kiem toan nOi 130 theo quy dinh. Ban Dieu hanh thong bao cho Ban Kiem,soat nhang chi ciao, 9 kien ciia minh doi vOi nhung van a Ban Kiem solt da c6 bdo cdo, kien nghi de Ban Kiem soat theo dOi.

Dieu 36. DOi veil the Don v trong he thiing Kienlongbank

Cac Don vi trong he th6ng bao dam cung cap dAy dii thong tin, tai lieu plmc vii cling tac kiem tra, gidm sat, kiem toan nOi b0 theo yen cau dm Ban Kim soat.

Lanh ciao cac Dan vi dugc kiem tra, kiem toan chiu trach nhi'em v tinh day dA, trung thgc ciia cac thong tin, tai lieu cung cap cho Ban Kiem soat va cac doan kiem tra, kiem toan dm Ban Kiem soat; Thkrc hien cac kien nghi ctia Ban Kiem soat dOi vesi nhang

Luu hanh n6i b0 Trang 18/19

Quy cha Ta clthe va haat 'Tang dm Ban Kirn sok

van de,neu trong bao can dm Ban Mem soat,:-thvc hien cung cap thong tin phan hoi cho Ban kiem soat ve viec thvc hien cac kieri nghicila Ban Kiem soat theo quy dinh.

Cac don vi thvc hien co che ph& hgp hoat Ong vei Ban Kim soat theo quy dinh nei ho cüa Kienlongbank.

'Chuang VII KHEN THUONG VA Kt LUAT

Dieu 37. Khen thtterng ya 1(5, tat

• 1. Thatah vien Ban Kiein soat dirge khen thithng •va luat theo quy dinh ve khen thuemg va kY luat ctia Kienlongbank.

Twang Ban Klein soat dánh gia,hoat dOng cüa cac thanh vien Ban Kiem soat va de xuat hinh thirc khen thireng va luat de Hoi &mg quail tri tong hew trinh Di hei (long co dong xem xet, quyet dinh.

Truemg Ban Kiem soat danh giá ket qua boat Ong càa cac can ho trvc thuOc Ban Kiem soat theo quy dinh ctia Kienlongbank va de xuat hinh fink khen thuong va kY luat de trinh HOi &Ong quail tri xem xet, quyet dinh.

Chuang VIII DIEU KHOAN Till HANH

Dieu 38. WO kre thi hanh

Quy che nay c6 hieu lye thi hanh k'e tir ngay / /2019,

Cac thAnh vien Ban Kiem soat, HOi &mg quail tri ,va toan the can bO, nhan vien Kienlongbank chiu trach nhiem trien khai thvc hien Quy che nay.

„ 3. Vic sira di, b6 sung, thay the Quy che nay do Ban Kiem soat trinh Dai hei dOng co &rig .phe chuan.

TM. BAN KIEM SOAT TRUONG BAN

Nguyen Cao Ctrong

Luu hanh nai 1)0 ifizzTrang 19/19

44/

Chtit danh can quan tam

1 Ca clang

2 Ban Kiam soat

3 Hai dang quan tri

4 Ban Diau hanh -

5 Leinh ciao PM/2g, Ban, Trung tam H6i so, Chi nhanh, Phong Giao clich

6 Toon the Can ba, nhan vien

TOM TAT VAN BAN TR1NH BA! HQI BONG CO BONG

Ten van ban: Quy chi Tii char va hogs &Ong ciia Ban Kiem soda' Ngan hang TMCP Kien Long

Cu quan ban hanh Ban Kiam soot

Th'e loai Thay tha

Van ban dugc thay the

08/QD-BKS ngay 15/4/2014

Ngay ban hanh

Ngay hi'au ltrc

Ngay het hiau Mc Den khi c6 van ban thay the hoac chom dui hieu ly-c van ban nay

Loai .van ban Quy cha

SO hieu

Ngueri ky Ban Kiam sok

Teng quan:

Quy cha TO chim va hoat dOng cim Ban Kiam soat Ngan hang TMCP Klan Long clugc sin dOi, ba sung mgi plui hop veri Luat Doanh nghiap 2014,

Luat Cac tO chirc tin dung nam 2010 (Luat Cac TCTD 2010) va. Luat Sin dai, 1)6 sung mOt sep eau Luat Ck TCTD (Luat Cac TCTD 2017), cac van

ban phap luat khac va Diau 1 Kienlongbank.

Tom tit nhiing thay deli chinh cim van ban Mod:

Trang 1/5

UV WV

STT Ni dung thay den Quy che cil Quy che mai LY do thay deii

1 Khoan 6, Dieu 4. Ngtroi cO lien quan

Khong quy dinh

136' sung dinh nghia Nguiri eó lien quan, t3i owe vii: Phap nhan, ca nhart khac CO mai quan he tiem an rui ro cho hoat dg'ng cna Kienlongbank, dugc xac dinh theo quy dinh, nOi bg cfra Kienlongbank hoac theo yeti cau bang van ban dm Ngan hang Nha nuyc theng qua hoat Ong thanh tra, giam sat di yen nrng tnrong hop cti th'e.

Sera di pho hyp veri Dieu le dm Kienlongbank

2 Khoan 7, Dieu 4. He theing Kiem soat ngi bg

Fie thgng kiem sok ngi 1)0: LA tap hop cac co che, chinh sach,, guy trinh, quy dinh Wen bg, co cau to chirc cim Kienlongbank dugc xay dung phn hop vai c,ac quy dinh cna phap luat va dugc to cherc thvc hien nham bao dam pheng ngira, phat hien, xer 19 kip thei lin ro va dal dugc y8u cau de ra.

Dieu chinh dinh nghia He thgng kiem soat nen bO

Sera dei phn hap Thong tu s6 13/2018/TT-NHNN

3 Khoan 9, Dieu 4. C6ng ty con ctia Kienlongbank KhOng co' quy dinh

Bei sung dinh nghia "Cong ty con dm Kienlongbank" ti Khoin 9: 9. Cong ty con dm Kienlongbank: LA ding ty thugc mgt trong cac truong hop sau:

Kienlongbank hoac Kienlongbank và nguai c6 lien quan cilia Kienlongbank s& Sfra hail teen 50% von clieu le hoac ten 50% von co .phan c6 quyen bieu quyet;

Kienlongbank ce quyen trtrc ti8p hoac gian tip bg nhi8rn da s6 hoac ffit ca cac thanh vien Filth dong quan tri, Flgi (long thanh vien hoac Tong Giam et& (Giam chic) caa ding ty con;

di phi' hopvei Di'eu le dm Kienlongbank

(-9-frc4z

Trang 2/5

STT Mil dung thay din Quy che cu Quy che moti . Ly do thay did '

Kienlongbank cO quyen sira den, be) sung dieu le dm ding ty con;

Kienlongbank va ngueri c6 lien quan etla Kienlongbank true tiep hoac gill tiep kiem soat viec thong qua ,nghi quyet, quyet dinh dm Dai hen dieing co citing, HOi &mg quan tri, HOi ding thanh vien cna cOng ty con.

4 Khoan 10, Dieu 4. LI* cac th chirc tin dung

LA. luSt cac to chirc tin dung s6 47/2010/QH12 dugc Quoc Ithi nuot Cang h6a Xa hoi Chn nghia Viet Nam thong qua ngay 16/06/2010.

Dieu chinh dinh nghia LI* cac T6 chat tin dpng

Sim den phia hap Luat stia d6i, ba sung mOt so dieu T6 chirc tin dung 56 17/2017/QH14

,

5 Khoan 11 Dieu 4. Luat

• Doanh nghiep

La luat . Doanh nghiep sei 60/2005/QH11 dug c ban hanh ngay 29/11/2005

La luat Doanh nghiep se; 68/2014/Q1113 , dugc ban h anh ngay 26/11/2014.

Sfra d6i pith hop vol quy dinh mei cna phap lust.

6

Diem m Khoan 1 Dieu

khong dugc dam nhiem chirc vp

8. Nhung truerng hap Khong có quy dinh nay.

134 sung quy dinh: Ngueri phai chth trach nhiem theo kat Wan thanh tra dan den viec te chirc tin dung, chi nhanh ngan hang nuot ngoai bi xir, phat vi pham hanh chinh trong lint? vpc tien ,te va ngan hang & khung phat tien cao nhat den veri hanh vi vi pham quy dinh ve giay pile!), quan tri, dieu hanh, cO phan, c6 phieu, gop

S. Ura d6i pith hop Ludt sim den, b6 men s6 dieu T6 chirc tin clung

s6 17/2017/QH14 (Khoan 6, Dieu 1)

von, mua co phan, cap tin dung, mua trai phieu doanh nghiep, ty le bao dam an toan theo. quy dthh dm phap that ye xir ly vi pham hanh chinh trong linh vpc tien te \id ngan hang.

tevz, Trang 3/5

STT Ni dung thay din Quy chO di. Quy che mai 1,57 do thay dOi

7

Khoan 3, Dieu 10. Ducmg nhien mat tu each thanh vien Ban kiem stint -

3. Chire danh da dugc Mang dc Ngan hang Nha nu& chuan y truerc day dm nhirng nguai bi dining nhien mat tu each quy dinh tat Khoan 1 Dieu nay ducmg nhien het hiau lye.

B6 quy dint) nay y SUB dot i phO hop quy dinh phap luat

8 Khodo 3, Dieu 11. Mien nhiam, bai nhiem thanh vien Ban kiem soat

3. Chita danh da dugc Tilting doe Ngan hang Nha nuOt chuan y clucmg nhien het hieu lire khi bi mien nhiam ye, the quy'et dinh cUa co quan c6 tham quyen ena. Kienlongbank.

BO quy dinh nay Sim clai phi) hop quy dinh phap luat

9 Khoan 4, Dieu 11. Mien nhiam, bai nhiam thanh vien Ban kiem soat

Khong c6 guy dinh

BO sung quy dinh Khoin 4: Trong thei han 24 gia, Ice tir -khi Kienlongbank thay cleii, bai nhiam, mien nhiem doi vai cac doi tucmg theo quy dinh tai Khoan 1 Dieu nay, Kienlongbank phai nitre hien congbo thong tin

Sira cliii phi' hap Dieu 1'' Kienlongbank vá quy dinh ve cong bo throng tin theo quy clinh dm phap luat

10 Dieu 12. Dinh chi, tam dinh chi chive danh Ban kiem soat

Khong cO quy dinh nay

Quy dinh eac truerng hap Ban Kiem soat bi dinh chi, tam dinh chi chirc danh beri Ngan hang nha nuee

, Chi tiet the truemg hap theo quy , - • dinh Luat the To eh& tin dung so 47/2010/QH12 (Dieu 37)

11 Khoan 3 Dieu 16. Nhiam Nip va quyen han dm Ban kiem soat

Khong c6 quy clinh nay

BO sung quy dinh: • .7 BC) nhiem, mien nhiam, Icy luat, dinh chi va

quyet dinh mirc luang, Igi ich khae dd&voi cac chat danh thuac bo phan kiem man n'ai b0.

Sfra di phit hap Luat sira d&, bap 6 sung m'at s6 dieu T dare tin dung

s6 17/2017/QH14 (Kho an 9, Dieu0.

12 Khoan 4 Dieu 19. Traeh nhiam eong khai cae Igi ich co lien quan

Khong co quy dinh nay

Bo sung quy dinh: Kienlongbank phai thong bao bang van ban cho Ngan hang NM nu& cac thong tin quy dinh tai khoan 1 Dieu nay trong then i Ilan 07

Sita di phi) hap Luat situ di, b0 ,. . , sung mOt se) dieu To chire tin cluug so 17/2017/QH14 (Khodn 8, Dieu 1)

Trang 4/5

STT Ni dung thay dOi Quy the' cii Quy che mai 14 do thay did

ngAy lam viec, ke tir ngay Kienlongbank than dugc theng tin cong khai theo quy dinh tai khoan 2 Dieu nay.

13 Khoan 5, Dieu 19. Trach nhiem cong Thai eac lgi ich cif) lien quan

Kitting co quy dinh

Bo sung quy dinh Khoin 5: ThAnh vien Ban kiem soat phai thgc hien cong bo thong tin ye giao dich cO phial theo quy dinh dm phap luat lien quan.

Sim doi phi' hgp Dieu le Kienlongbank va quy dinh ve ding be thong tin theo guy dinh elm phap luat

. 14

Khodn 9, Dieu 21. Trach nhiem trung thgc va tranh cac xung dot ye

,

i.guyen Igi .

•

'Chong c6 quy dinh

BO sung quy dinh Khoin 9: Thanh vien Ban Kiem soat c6 nghia vg thong bao cho Wei &Ong quan tri, Ban Ki'em soat ve cac giao dich giira ding ty, ding ty con, cong ty do Kienlongbank nam quyen kiem soat tren 50% tit len yen dieu le Vol chinh thanh yien do hoc \fed nhling nguei có lien quail dm thanh- vien do theo -quy dinh dm phap luat. Di veri cac giao dich neu tren do DO hi (long co &Ong hoc Flei (long quart tri chap thuan, Kienlongbank phai thgc hien cong be thong tin ye cac nghi quyet nay theo quy dinh caa phap luAt chimg khoan ye Gong bo thong tin.

Sga di Ohl hgp Dieu 1e Kienlongbank va quy dinh ve ding be th6ng tin theo quy dinh dm phap luat

15 • .‘

Khoan 1, 3 Dieu. 38. Hieu Igc thi hanh

1. Quy che nay cei hieu Itrc theo Quyet dinh ban hanh. - 3. Viec sin di, be sung Quy che nay do Ban Kiem‘soat quyet dinh va trinh Dai hi deng co dong phe chuan, trir truang, hop Dai hei dong ce deing, Uy quyen cho Ban Kiem soat quyet dinh..

. 1. Quy che nay cei hieu hie thi hanh ke

Stra del phi' hcrp thuc te.

th ngdY / /2019.

3. Viec sin di, be sung hoc thay the - Quy che nay do Ban Kiem sok trinh Dal

hei deng ce dOng xem xet, quyet dinh.

2k7/ Trang 5/5

UCIV

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