BAN CONG BO THONG TIN PHAT HANH TRAI PHIEU RIENG ...

CONG TY Co PHAN CHUNG KHOAN DAU 1011 KHUYE:N NCH! CAC NHA DAU TU. NEN DQC CAC THONG TIN THONG BAN CONG 1105 THONG TIN TRCOC KIII QUYtT DINH MUA TRAI PHIEU. BAN LONG so THONG TIN NAY CHUA DOC VA SE KIIONC PHE. CHUAN B151 BAT Kit CO QUAN QUAN Lt NBA NIMIC NAO TA1 VItT NAM

PSI BAN CONG BO THONG TIN

PHAT HANH TRAI PHIEU RIENG LE DQT 2 CONG TY CO PHAN CHUNG KHOAN DAU Kai (GidyDang kJ) kink doonh so 0103014903 do Sit ka hogch ya Mu ris thanh pita Ha Ari5f cup lan ddu ngay

068212006, eking k9 thay ddi Mn 01 new 14/12/2006)

Dfin cong bo titling tin nay vi tai lieu bb sung se aunt cung cAp nth

TS Char Phil. Ranh :

CONG TY CO PHAN CHUNG KHOAN 0/%11 KH I

Dia chi: Ting 02, Um nha Hanoi Tourist, só 18 1.9 Thutyng Kft phutsng Phan Chu Trinh, Roan Ki&n, Ha Ni

Dien thoai: (024) 3934 3888 Fax: (024) 3934 3999

Website: WV.W.PsiNn

CONG TY CO PHAN CHTYNG KHOAN DAU KHI

CAC THAI rintu VND VOT TONG CIA TR! MSNH GIA 200 Tiir HONG DAO HAN NAM 2021

Gia phat hinh: Wing 100% m§nh gii

Trai Phieu bins Deng Viet Nam, khong chuyen dei, [(hang c6 tai san dam bao ("nil Phieu") se the 14 nghia vlt tra no tire tiep cua C6ng ty C6 plan ChtIng khoan Dau khi ("Cong ty", "T6 Chirc Phat Hanh " hole "PSI"), ode Trai Phi& phat hanh sung dot tai mot Mai diem c6 quyan uu tien thanh town ngang nhau.

Cite Trii Phi& se chill Iai ke tie Ngay Thanh roan Tien Mua Trai Phieu cho den ngay Ngay Dao Han vent* nay den han khic de Ste hien mua lai. TIM Iai Trai Pink duce, tra vao cac nay thanh tam Iai ("Ngay Thanh Toin Lai").

Tr7 khi dtrqc mua lai truck han theo them thuln giaa Te Chit.° Ph& Ranh vi Nguti 56 Him Trii Phieu, theo de ng,hj cla Ngutri SO Hem Trii Phieu, theo cam k& dm T6 Chirc Ph& Hanh hole mua lai true( han khi xay ra Su Kier' Vi Pham, Trai Phieu se &roc hoan tra bang menh gia vio Ngiy Dao Han.

Cac nha &au ttr tiem neng an xem ky Oen "Cap YM Te Rui Re" bidt ve mot st, yin to can can nhic khi dsu to vie Trill Phieu.

BAN CONG BO THONG TIN NAY VA NQI DUNG THONG DO HOAC BAT id' THONG TIN NAO DUQC CLING CAP THEO AU CAU PHA! DUQC GIU Hi MAT ROAN TOAN.

BAN CONG B6 THONG TIN NAY CHITA DUQC VA Si ICEIONG DEW BAT Kt CO QUAN Co THAM QUYEN NAO CUA Will NAM HAY BAT Kt BO NGANII NAO CUA CHINH PHU

VIET NAM PHE DUVET.

Dan c8ng be thong tin nay duce phat hanh ngay 12 thing S am 2020

2

MVC LVC

KHAI NIEM VA TU. VIET TAT 4

PHAN I: TOM TAT THONG TIN VE DOT PHAT HANH TRAI PHIEU 5

PHAN II: THONG TIN CHI TIET VA' DOT PHAT HANH TRAI PHIEU 6

I. NHCTNG NGUOI CHILI TRACH NHIEM CHINH CONG B6 THONG TIN VE DOT PHAT HANH TRAI PHIEU 6

II. THONG TIN VE PSI 6

1. Thong tin chung 6

2. Co au Igo may t6 °him va quan 19 caa tong ty 10

3. Cac hog dOng kinh doanh chinh cua Ging ty va cac du an chi. dao 16

4. Tinh hinh tai chink: 17

5. K& qui hoat Ong kinh doanh: 18

III. THONG TIN VE DOT PHAT HANH TRAI PHIEU 19

IV. MVC DICH CHAO BAN; KE HOACH VA CAC CAM KET 33

1. MVC DICH CHAO BAN 33

2. KE HOACH SOP DUNG TIEN THU DUOC TO" DOT PHAT HANH VA THANH TOAN otic CAI 33

3. CAC CAM KET 33

V. DOI TAC LIEN QUAN DEN DOT PHAT HANH 35

VI. CAC RUI RO CO THE XAY RA CHO DOT PHAT HANH 35

1. RUI RO VE KINN TE 35

2. RUI RO LIEN QUAN DEN DOT PHAT HANH 37

3. RUI RO LUAT PHAP 38

4. RUI RO DAC THU 38

5. RUI RO KHAC 39

PHI) LVC 42

3

BAN CONG BO THONG TIN

KHAI NIEM VA, Tic VIET TAT

Ban cling 136 thong tin: Ban &Ong bO thong tin cna Cons ty C8 phan Chang khoan

Diu khi NTO tinh hinh tai chinh, hoat dOng kink doanh nhim cung cap thong tin cho tong °hong dau tu danh gia va dua ra cat guy& dinh diu to Trai

Ti; Unit Phat Hindi /Cling C8ng ty Ca phan Chang khoan Dim khi

ty/PSI

Mitt 16 Dial 16 Qua CTCP Chung khoan Diu khi

Cie tir hoc Whom tfr viet tit trong Ban cling hi thong tin nay co n(ii dung nhu- sau:

UBCKNN Uy ban Ching khoan Nha nu6c

DVT Don vi tinh

NQ Nghi guy&

131I-MCD Dui hOi Ging co &Mg

HDQT H6i dOng (min tri

CDHH CO d6ng hi6n hau

CDCL CO den chi6n lugc

CBCNV Can b6 cling than visa

CP phin

CTCK Ging ty citing khoan

KQPH Ket qua phut hank

CTCP Cong ty c6 phin

ISO Ching chi quan It chit luting quOc to

TN H H Trach nhi6m Min han

TMCP Thucmg mai co phAn

CN Chi phial:

VNI) Don vi tian t4 cua Vi6t Nam

USD Don vi tin My

4


PHAN I:

1.Ten tong ty

2. Loai hinh Doanh nghiep

3. Tong St lircrng Trai pith hanh

4. Wong gil trj phat hank

5. We dich ph& hinh

TOM TAT THONG TIN VE DQT PHAT HANH TRAI PHIEIJ

: Ong ty Co phin Chung Ichoin Diu khi

: ang ty chfmg khoin

Phitu : 2.000 Trai Phieu

200.000.000.000 deng (Hai tram tt dOng)

Chfrc Phat Hanh se su dung tien thu duce di Tang quy me von hoat tong de be sung nguOn von vita heat &Ong kink doanh

6. Dieu kiln, dieu khoin cua : Theo quy dinh tai Dieu 6 Nghj dinh s6 163/2018/ND-CP Trai Phitu ngay 04/12/2018 ve phat hanh Trai Phieu doanh nghiep

Mua lai trutit han

7. Ngly Oat hank dt, kien

8. New dao ban dkr kian

9. Giao dich Trail Phieu

Muoi hai (12) thing

PS1L2021002

100.000.000 (Met tram trieu deing)/1 Trai Phieu

Trai Phi& doanh nghiep khong chuyen doi, kkong c6 tai san bao dim

Chfmg chi va BUt wan ghi so

Lai suit c6 dinh 9,0%/nam

03 (ba) than& 1Cp Tinh Lai elau lien se bit dill vivo Ngay Thank Tien Mua Trai Phieu va ket thtic vivo (nIumg khans bao gem) Ngly Thanks Twin Lai dau lien. Mai ICS, Tiatt Lai ti6p theo se bit din vivo Ngay Thanh Toan Lai cfia Kt Tinh Lai Mr& de va ket thfic vivo (nhung kheng bao gam) Ngay Thanh Total Lai tiep theo

TO Chug Phat Hanh c6 the that hien rnua tai Trai Phieu truOt han sau 06 thing ke tir Ngay Thank Tom Tien Mua Trai Phieu, phi mua lai truge han theo Muc Mua tai Trai ?hitt'

: 26/08/2020;

: 26/08/2021;

Trong yang 01 ram Ice tir ugly hoan thanh dot phat hanh Trai Phieu chi dugc giao dich trong phgrn vi duel 100 nha diu tu, khong ki nha to thing khoan chuyen nghiep.

a) Kt han Trai Phitu

b) MA Trail Phieu

c) Menh gia

d) Loai hinh Trait Phitu

e) Hinh thfrc Trai Phitu

f) Lai suit dank nghia d

kit

g) Kt km tra IA!

5


PHAN II: THONG TIN CHI TIET VE Dc/T PHAT HANH TRAI PHIEU

1. NHUNG NG Col CHILI TRACH NHICM CHINN CONG 130 THONG TIN VII, PHAT IIAN11 TRAI PHItU

- Ong: Nguyen Anh Tan Chic vu: Chi tjch HDQT

- Ong: Nguyen Xuan Hung Chic vu: Pho Clam dOc pho trach

- BA: va Thi Tra My Chic vu: ICE than trueng

- Ong: Nguyen Van Nhiem Chic Tnrerng Ban Kiim soat

Ching CM cam ket ring cac thong tin va se lieu trong Ban tong be thOng tin nay la chinh xac, phn

hqp v6i thot to hoc dA dojo dieu Ira, thu thip mot cach hqp lt.

II.THONG TIN VE PSI

I. Thing tin chung

Ten COng ty CONG TY CO PHAN CHUNG KIIOAN DAU Kilt

Ten tieng Anh : PETROVIETNAM SECURITIES INCORPORATED

Dja chi tro so chinh Ting 02, Tea nha. Ha Noi Tourist, so 18 Ly Thutmg Kiet, phtreng Phan Chu Trinh, HoanICiem, Ha Ned

Dien thoai : (0243) 934 3888

Fax : (0243) 934 3999

TM khoan : 107000177645 tai Ngin hang TMCP Dai chung Viet Nam (PVcomBank) —Chi nhanh Hai BA Trtmg

V6n diet' le : 598.413.000.000 dbng

Gay DKKD S6 0103014903 new 06.12.2006, thay dai lets 1 ngity 14.12.2006, do SO Ke hoach & Diu to Thanh ph6 HA Nei cap

Qua trinh lank than!) phat triEn

Thenh lip

La cong ty thing khoan duy What thuOc Tip down Diu khi Viet Nam (PVN), CEng ty CO plan Ching Itholut Diu khi (PSI) dirge thinh lap va duqc Uy ban Ching khan NM ntrec cap giay phip hoot dung s6 26/UBCK-GPHDCK it* 19/12/2006 va City phi p diett chinh s6 15/GPDC-UBCK ngiy 08/06/2016 *A cac nganh nghe kinh doanh chinh bao gem: M8i gi6i chin khoan, Ttr yin tai chinh & Ditu to chins khoan, To doanh chung khoan, Luu ky thing khan, Bao lash phat hanh citing khoan.

Qua trinh Oat trier'

CEng ty chinh thic di vao hoat Ong ngay 07/02/2007 vOi "lei so chinh tai Ha Nei va 01 Chi

6


nhanh tai TP. H6 CM Minh, s6 von dieu le la 150 tt clang. ha met tong ty chimg khoan non tre, vugt qua thing kh6 khan dm thi truing cling nhtr nhiYng thang tern eta nen kith t6 Via Nam theri gian qua, PSI da khong ngimg thay va phat trien.

'Prong boi cart thi truing chting khoan Viet Nam eel nhieu thay doi ve chAt va lugng, PSI da va dang thay dai chitin lugc phat trien de dung vimg tren thi throng, tir cha trong ket qua kinh doanh va xay dung hinh anh, vi the mei la Cong ty thing khan hog deng theo no kith Ngfin hang tau tu trong link vtrc Nang lugng.

Qua trinh hinh thanh va flat trien

Nit Eng cot more phat trien quail trong

Nana 2006 UBCKNN cep giAy ph6p thimh lap va hog deng chi vein dieu 16 150 tt dtma

• Chinh thine, di vao hoat ding va khai truing chi nhanh TP. H6 CM Minh Nam 2007

• Tr& thanh thanh vien Trung tam GDCK Ha Nei va S& GDCK TP H6 CM Minh

Nam 2008 Vein dieu le tang Op toi len 300 tt deng

• Thanh lap hai chi nhanh meri tai VtIng Tau WI Da Niing Nam 2009 • Cong be thuang hieu mei PSI

• Ap dung he thong giao dich nvc tuyen hien dg Oa TongYang — Han Qat

• Tang von dial 16, tir 150 t9 &Ong len 485 tt deng vao thing 6/2010 va len 509,25 ty vao thang 10/2010

• Niem yEt c6 phieu tren So Giao dich Chimg khoan Ha Nei vim thing 7/2010 • Top 5 Cong ty chimg khoin c6 doanh thu dich vu tu vein len that thi truang tam

2010, Top 10 Cong ty chimg khoan c6 lgi nhuan cao nhtt thi truing nam 2010 • Dat giai thutmg Thuang hieu IC6i tieng Qu6c gia nam 2010 va dank hieu Doanh

nhan xuAt sac Dat Viet nam 2010 dank cho 02 a nhan: Ong Bui Ngoc Thing Chit tich Hai ding Quan tri va Ong Pham Quang Huy — Giam dec

• Tang v.& then le len 598,413 tt deng thong qua viec chap ban thanh Gong 14,9% co phan cho ding ty SMBC Nikko (Nhat Ban)

• Dat giai birth chin C6ng ty tu van M&A tieu bleu va giai Cong ty co Thuong vu phat Minh rieng le tieu bleu (veil d6i tic Nhat Ban) tai Dign dan Mua ban - Sap nhap doanh nghiep 2011

• Dat giai thuong birth chip "Bac) cao thuong nien tot nhAt 2010" • Nhan giai thuong "Thuang hieu n6i tieng nhk nganh chimg khoan tai Viet Nam

nam 2010 do ngueri tieu dung birth chip" do Phong Thuong mai va Cong nghiep Viet Nam (VCCI) t6 tic

• Phed hgp vii De hoc New York — Hoa ICY va don vi bao trg truyen thong la Bao Eau tu Ching khan to chic thanh tong hei thao "Chien lucre town cAu ctla cac doanh nghiep Viet Nam trong bei carth kink to hien nay"

Nam 2010

Nam 2011

7


Nhfrng pinit trien quan trmig

Chink) thuc la Nha cung cap dish vu to van tai cAu true cho Tap doh!' Dau khi Viet Nim 2012 Nam va cac thanh vien; Top 10 ang ty CK co doanh thu ttr hoat dOng to VAT116n

nhat thi twang

• Top 20 ang ty CK c6 doanh thu Ion nhit thi throng Nam 2013 •INThOn giai thu&ng tong ty Tu van M&A tieu bleu giai dean 2009 — 2013 do Dien

din M&A 2013 trap tang

• Thanh vien chinh tithe tham gia dau thau Trai Phieu chinh phis am 2014 • Doanh thu tir hog dOng mei giai Trait Phial trong Top 10 dm thi truing • La don vi nr van tai cAu tthc the wan be Tap dean Dau khi Viet Nam va. the

Nam 2014 Cong ty thanh vien

• Dan Vi thqc hien thanh cling du an to van c6 phan hoa va IPO cho Cling ty Phan ben Dku khi Ca Mau (Dam a Mau) — v6i ty 1e chao ban thanh cling cao

• Top 5 Cong ty chfrng khoan thanh vien tieu bleu trong Nghiep vu Tu van Niem yet va Dau gia tai SO Giao dich Chains khoan H6 CM Mirth

• Top 10 COng ty ChUng khoan c6 doanh thu heat deng Tu van cao nhat thi twang • Tiep nic la den vi ar vAn tai cau trite thanh cling cho Tap dean Dau khi Via Nam

va CAC don vi thanh vien trong Tap doan •Damg dau thi tnthrtg ve doanh thu Itru IcY •T6 chirc thanh Gong "Bei thao nha dau to cho ngarth dau khi" vao thing 4/2015,

veri stir tham gia eta tren 100 nha dau tr g chtrc va cac don vi thanh vien dm PVN da them yet tren thi truang

• Tu van thanh Gong IPO on lien niem yet cho Cong ty Phan ben Dan !chi Ca Mau (mo hlnh dau tien dupe ap dung tai thi tnrong thing khoan Viet Nam)

• Ty vim thanh cOng sellside tim del tic chitin Mac nuac ngoiti cho Tong Clang ty Bao niem Ngan hang TMCP Dau to Phat trien Viet Nam (BIC)

• Ds *van thanh cling buyside cho Nippon Paper mua met ding ty giay Lai Viet Nam

• °lit throng Thuong hieu Tien phong Nei nhap Kinh to Quoc to do I-10i cac Doanh nghiep vita va nho trao tang

• LQt Top 50 Bao cao throng then dm am •1-6 chirc thanh tong Tour Doanh nghiep PVN Index — cAu n61 gitra cac Nha dAu

to hang dau va cac dearth nghiep trong be chi so • Tu van thanh Gong diu gia ca phieu PV Building • Tiep Ale la don vi to vAn tai eau trio cho Tjtp doan Dau khi Via Nam va cac don

vi thanh vien trong Tap doan • Ks niGin 10 am thanh lap °Ong ty • Thimg 12/2016, Ngan hang Throng mai C6 phAn Dai chUng (PVcomBank) holm •

Nam 2015

I Nam 2016

8


Nlifrn2 cnt muc phat tritn plan trong

t vi4c mua viva hon 20,4 trieu co phieu PSI, nang Itrong so hint giao dich twang img 51,17% von digu le call PSI

• Ngay 27/3, Chi nhanh H6 Chi Minh PSI chuyen dja diem host clang sang dia chi mai tai 43 Mac Dinh Chi, quart 1, TP. Ha Chi Minh

• Chinh thtc ra mat Dung tam Phan tich vao thing 5/2017 • T6 chin thkh tong cac hal thao cho cac doanh nghiep trong va ngoai nganh Dau

khf nhu: "Hai thao giei thieu ca hai dau tu vao Tang Cong ty pien ltrc TKV — doan Than Khoang sin Viet Nam", "Hai thao gap go Nha dau tu eta NT2",

Nam 2017 "Hai thao giai thieu co hai dau tu vao co phieu BSR" • T6 chic thanh cong sir kien "Hanh trinh Niing Luang" — chtrcmg trinh ram trong

hogt dans caa BO chi se) PVN Index • Ttr van third' Ong IPO cho Ging ty TNHH Mat thanh vien Loc hba diu Binh

San (lien danh vii BSC) • Tu van thanh cong phuong an ca phan Ma cho Tang COng ty Dien lint Dau khi

Viet Nam — CTCP (PV Power)

• lioan thanh xay citing Chien Iwo phat trien On 2020 tam nhin den 2030 trinh DHCD 2019; Am ten den nam 2020, dua PSI tra thank Cong ty chimg Ichoan heat dans thee me hinh Ngan hang dau tu trong link vvc Nang hrong.

• Dau tu mbi phan mem chimg lchoan vi ha tang cong nghe thong tin theo huang hien dui; Du kien dui vao sir dung trong Qu9 3/2019.

• T6 chile thanh cong hoi thao "Hanh trinh nang Ittmg 2018" yeti sv tham gia cua lank duo Cvc Tai chfnh Doanh nghiep, U9 ban Chong Ichoan NM nuac, Trung thin Luu k9 CM/1g Ichotin, Tap doan Dau khf Viet Nam cling cac cong ty thanh vien, cac chuyen gia kinh to hang diu va han 100 khach mbi tt5i tir cac to chic tai chinh, quy dau tu, thing ty bao hiem/quan 19 quk... trong va ngoli mac

Nam 2018 • Cong tic phat trien mpglubi theo dinh hut:mg tap trung vao cac tang diem hanh chlnh Diu khi, Nang Luang va cac diem giao djch wu tien ctia PVcomBank; Trong nam 2018, PSI da khai trtrang di vie hogt clang 03 diem giao dich tgi Ha Nai vi Tp. Ha Chi Minh.

• Thvc hien tOi da cac cling viec cna PVN va cac don vj thanh vien (tong nam PSI tham gia tu van thodi von cho 3 dan vj Ian tha PVN la PV0i1. BSR va

PVPower); Tiep can tham gia tu van thoai von cac don vi thanh vien tha Tap doan Hea chAt; Khai thk tap khach himg Nhat Ban Gila có dOng chitin Inge SMBC Nikko, Irian khai thanh Gong 2 Hop dans tu van M&A vii Maeda va

Stanley. • Hint) thanh "Chuei" sin phim, djch vu cho khach hang tit Tv van — Djch vg

°hung Ichoan - Dau tu — IR/PR truyen thong tao gia tri gia tang cho PSI.

9

csyttleTAU auk the

Lt

BAN CONG BO Ti 'ONG TIN

NItirng cat rniic phat tri&n quan tning,

Top 3 CEng ty chaing khoan co (III phan mei gibi Trai Phial lon nhat Quy. 112019 Nam 2019 tit S& Giao dich Ching khoin Thanh phi 146 Chi Minh

Nganh nghe kinh doanh

I. Mei giei chimg khoan

2. Tu van tai chinh va deu to chung khoan

3. l'u doanh chimg khoan

4. Rao lank phat hanh °hung khoan

5. Luu ky chung khoan

2. Ca can be may t6 chiic va quan ly cua CEng ty

a. Co• cau tä chat

Cing ty Co phan Chung khoan Deu khi duqc t6 chin va dieu hanh theo mo hinh tong ty co phan, tuan thil theo cac quy dinh caa luat hien hank Cu trac Cing ty duqc xly dung dira ten dale nang, nhiem vu cfic be phan dam bao lien ket chat the, van hanh Huh boat va pha hop voi art we hoat ding.

Doi hpi di ing co tong Dal hei cling co ding 11 ea quart quyen him cao nhat caa Cling ty, bao gam tat ca cic c6 ding so him co phtm co quyen bieu quyet cua Cong ty. Dai heli ding 06 ding có quyen: thing qua dinh hirOng phat Wen dm Cling ty; quyet dinh bait, mien nhiem, bal nhiem thinh vien HOi clang Quin

10

fti

BAN LONG BO THONG TIN

tri, thanh ten Ban Kiem soft; quy6t dinh ve viec tang giam vin dieu 14 tong ty; quyet dinh t6 chic vi gild the CEng ty va cac quyen, nghla vu khac thco quy dinh cua phap luit va Dieu 14 to chit vi hoot dOng C8ng ty.

110 tang quiin tri

Hei clang Quart tri la co quan quan ly cao nhat cis Cling ty, c6 town quyen nhan dank COng ty quyet dinh va, thuc hien cac quyen va lqi ich hqp phap cua Cang ty, ngoai tra cac van de thuoc tharn guy& ciia Dai hei dang co ding. HOi citing Quan tri do DO Mi ding ce clang belt ra van nhiem kj, khOng qua 05 nam. Quyen vi nghla vu cua Hei ding Quin tri throe quy dinh Girt the tai Dieu 14 cia °Ong ty. HOi dung Quan tri Gila PSI bao gem 05 thanh vien, cu the nhu sau:

❖ Chu tick long quim tri

• H9 vi ten: Nguyen Anh Tuali • Gi6i tinh: Nam • Qutoc tjch: Viet Nam • Dan tee: Kinh

• CMND: 036072007867; Ngay cap: 10103/2020; Tai: Cuc Canh sat

• Ngiy sinh: 10/11/1972

• Dia chi thubng tri: 53 Lac Trung, Hai Ba Trung, Hi Nei.

• Dia chi lien lac: BT1-D09 Khu d8 thi Splendora; km 10+600, Doi to Thang Long, An

KIWI, Hai Dire, Hi Nei. • Trinh4:10 van Ma: 12/12

• Trinh de chuyen m8n: Thac sy Quan tri kinh doanh

• Chuc vu dang nam gift tai C8ng ty: Chu tich HDQT C8ng ty C8 phin Chung Ichoan Diu

khu

• Chitc vu dang nam gift tai to chic Ichitc: PhO Tong Guam doe Ngan hang TMCP Dai ?hang

Viet Nam ( PVcomBank)

• Quyen lqi mau thuln vbi Cong ty: Kheng

• Nhftng Ichoin nq dei vii C8ng ty: KhOng

❖ 657 vien HO! ddng quern tri • H9 va ten: Her Viet Ha • Gi6i tinh: Na

• Quik tjch: Viet Nam

• Dan tee: Kinh

• CMND: 001179020341; Ngay cap: 02/08/2018; Tai: Cue CAM sit DKQL Cu tit va.DLQG

ve clan cu Viet Nam. • Ngay sixth: 12/10/1979

• Nth sink: Hi Nei

11

BAN ((INC THONG TIN

• Dia chi thuang trio: SO 1B ngei 140 DOi Can, Ba Dinh, Ha Nei.

• Trinh do van Ma: 12/12

• Trinh do chuyen men: Thac sy kinh

• CMG vu dang nam gift tai C6ng ty: Cry vien Hoi ding quin tri

• Chfrc vu dang nam gift tai to chirc khac: PM Giarn deic Khti Quan ly va Tai cau true Tai

san Ngtin hang TMCP Dai Chang Viet Nam.

• Quyen lgi matt thu?in vii COng ty: Khong

• Nhang !chain ng doi Wu Ging ty: KhOng

•3 Uy vien Hai ding quan tri Iciem Rho Gam a c phy track Cong ty

• H9 vit ten: Nguytin Xuan Hung

• Gieri tinh: Nam

• QuOc tich: Viet Nam

• Dan tic: Kinh

• CMND: 01073003355; Ngity cap: 15/03/2017, Tai: Cong an thanh phi Ha Noi

• Ngay sinh: 09/12/1973

• Nai sixth: Hung Yen

• Dia chi thugng trit: 38 Duemg 1 — Tap the P361 — Yen Phu - Tay Ht.

• Dia chi lien lac: 38 Duerng 1— Tap the F361 — Yen Phu - Tay Ht.

• Trinh do van Ma: 12/12

• Trinh do chuyen mon: MBA

• Chirc vu dang aim gift -Lid aing ty: Ph6 Giam dtc COng ty phan Chimg khoan Dalt lchi

• Chirc vp dang nam gift tai to chirc khac: Kheing

• Quyen lgi mau thuln yeti Cong ty: KhOng

• Nhfmg Ichaan ng dei vol Cong ty: Khang

Uy vien Hal ding quart tri:

• H9 va ten: Pham Anh Dire

• 016i tinh: Nam

• Qutc tich: Viet Nam

• Dan tee: Kinh

• CMND: 001073012172; Ngay clip: 09/12/2016. Tai: Cong an thank). phi?) Ha. Nei

• Ngay sixth: 19/08/1973

• Nai sinh: Chuang My, Ha Not

• Dia chi thuang tra: Phong 1206 Nha 17T3, Trung Hoa, Nhan Chinh, Cau Clay, Ha Nei.

• Dia chi lien lac: PhOng 1206 Nha 17T3, Trung Hba, Nhan Chinh, Cau °lay, Ha Nei.

• Trinh dO van hea: 12/12

12

BAN CONG BO THOM; I I\

• Trinh do, chuyen men: Thac Sy Quin tri kinh doanh.

• Chfrc vu dang nam girt tai Cing ty: Cry vien Wei ding quan tri.

• Chfrc vg dang nam gift tai to chat khac: Phi Ting Giam Mc — Ging ty c6 phan PVI

• Quygn lqi mau thuln v&i Cong ty: Khong

• Nhung khoan no dii voi Cong ty: Khong

+ Gy vien HOi den& qua tri:

• H9 va ten: Trinh Tha Phuang • Oka tinh: Nam • Quic tich: Viet Nam

• Dan tee: Kinh

• CMND: 0173902259; Ngay cap: 14/07/2012. Tai: Cone an than] phi Ha NiKi

• Ngiy sinh: 17/02/1977

• Noi sinh: Thank H6a.

• Dia chi thtkmg trO: P1707 CT4B, KDT Xa La, Ha Deng, Ha Nei.

• Dia chi lien lac: 229 Nguyen Due Canh, Ha Nei.

• Trinh do van hem: 12/12

• Trinh de chuyen men: Thac Sy Luat.

• Chirc vp Bang nam gift tai Cong ty: Oy vien ROI ding quan tri.

• Chirc vu dang nam gift tai t6 chirc khac: Giam Mc Khgi Tai than va Phe duyet Ngan hang

TMCP Dgi Chimg Viet Nam.

• Quygn loi matt thuin yeti Cong ty: Khong

• NM:mg lchoan no Mit vdd Cong ty: Kheng

Ban Kilns soot Ban Klein soot do Dai KA ding c6 Tong bin ra, nhiem kt ciut Ban Kim soot Icheng qui 05 nam. Ban 1Ciam soot &roc Dai hei ding c6 clang giao thuc hien quygn giam sat Wei ding Quan Tri, Ban Giam doe irong viec dieu hanh, quan 1f tong ty; chiu track nhiem tru6c, phip luat va Dai HOi ding Co ding ye viec thoc hien ale guy& va nghia vu cite minh. Ban Kigm soot Om 03 thanh vien, cu the nhu dtrei day:

Truang Ban Morn soot

• Ho va ten: Nguyen Van Nhiem

• Gi&i tinh: Nam

• Quo° tich: Viet Nam

• Dan tee: Kinh

• CMND: 027062000001

• Ngity sinh: 01/08/1962

13


• Nai sinh: Luong Tai, Bac Ninh • Dja chi throng trio: SO nhit 18, ng8 120, dthang Holing FIoa Tham, phubng Thu Khue,

pan Tay 116, TP Ha Nei.

• Dja chi lien lac: SO nha 18, nga 120, Clueing Holing Hoa Tham, phuOng Thuy Khue, quart

Tay HO, TP Ha Nei.

• Trinh de van h6a: 12/12 • Trinh de chuyen man: Thgc sy Ke taint

• Chao vu clang nim girt tai Cong ty: Tnrbng Ban Kiem soat Gang ty C6 phin Chimg khoan

Diu khi

• Chile vn dang nim gifr tai t6 chfrc Khang

• Quyen 191 mAu than v6i Cong ty: Khang

• Nheng khoin ng doi vial Ging ty: Khang

Thanh Win Ban Kiim soat • 119 va ten: Nguyen Thj An

• Gidi tinh: Ner

• Queic tjch: Viet Nam

• Dan tee: Kinh

• CMND: 012230659; Ngay cap: 08/01/2009; Tai: Cong an thanh ph6 Ha Nei.

• Ngay sinh: 11/04/1980

• Nai sinh: HA Nei • Dja chi thuang WE P1532 HH3A Linh Dam, Holing Liet, Hang Mai, HA Nei.

• Dia chi lien lac: P1532 HH3A Linh Dam, floang Liet, Holing Mai, HA Nei.

• Trinh de van hea: 12/12 • Trinh de chuyen man: Cu nhan

• Chat vu dang nim girt tai Can ty: Thanh vien Ban Kiem soat C8ng ty Co phin Chfrag

khoan Diu khi.

• Chic va dang nim gilt tai t6 chirc khic: Mem man vien chinh tai Ngan hang TMCP Dai

chung Viet Nam

• Quyen lgi matt than vii Cong ty: Khang

• Nhfrng kholut ng dal vii Cong ty: !Chang Thimh vien Ban Kiem scat: • Hg va ten: Rai Th6 Anh

• Gi6i tinh: Nam

• Quec tjch: Viet Nam • Dan tec: Kinh

14


• CMND: 011816581; Ngay cap: 25/04/2008; Tai: Cong an thanh phe Ha Nei.

• Ngay sinh: 17/04/1977 • Nai sinh: Ha Nei

• Dia chi thueing trir. 26/35 HO Ting Matt, phtremg Mai Dich, quen diu Gitty, Ha Nei.

• Dia chi lien lac: P1532 HH3A Linh Dam, Ploang Liet, Holing Mai, Ha Nei.

• Trinh de van Wm: 12/12

• Trinh de chuyen mon: Cu nit

• Chirc vu dang nem gia tai Cong ty: Thanh viert Ban Kiem so& Cling ty Co phk'n Chting

khoan 1:Au

• Quyen lgi mau than vei COng ty: Kheng

• Nhitng khoan no dei yeti Cong ty: ICheng

Ban Gitlin ac

Ban Giam d6c cila Cong ty do Hei deng Quan tri be nhiem, bao gam 02 Pho Giam dee, cu the nhu dm% day:

Pho Gicim ac phy mach Cong ty kiem Thanh vien Ited c vng Quan tri: Ong Nguyen Xuan

Hung (nhte men)

:• PM Giant clac Cong ty

• Ho va ten: Bei Huy Long

• Gioi tinh: Nam

• Qui:SG tich: Viet Nam • Dan tec: Kinh

• CMND: 036083000025; Ngity cap: 02/01/2013; Tai: COng an thanh phe Ha Nei.

• Ngay sinh: 11/07/1983

• Nai sinh: HO. Nei • Dia chi thueng tra: 17/8 Iran Quang Dieu, O Chq DiYa, Deng Da, Ha Nei

• Dia chi lien lac: 17/8 Tran Quang Dieu, O Chq DUa, Deng Da, Ha Nei

• Trinh de van h6a: 12/12

• Trinh de chuyen men: Thac sy Kinh t6

• Chirc vu dang nem gift tai Cong ty: Ph6 Giam Mc Gong ty Co phen Chung khoin Dau lchi

• Cluic IT dang nem gift tai t6 chirc khac: Khong

• Quyen igi naau thuen voi tong ty: Kheng

• Nhitng khoan nq dei \red tong ty: Kheng

15

STT Ti Ic

Ten ee thing Von gop tai 31/12/2013

tri (long) ,S6 itrqng

1 30.621674 306.226.740.000 51,17% Ngan hang Throng mai Co phan Dai thing Viet Nam

BAN LONG 136 THONG TIN

b. Vi tri cull PSI

Hien nay, Ngan hang Tinning mai Ca phAn Dai clueing Viet Nam (PVCombank) IA cong ty mg

cua Cong ty Co phan Chung khan Dau khi (PSI) (chiem 51,17% von dieu

3. Cac hoat Ong kinh doanh chinh cfia Cuing ty va cac dy an chit deo

Cong ty Co phan Chung khoin Dau Ichi la t6 chirc tai chinh hang dau, uy tin tai thi tinting Viet Nam va la °Ong ty dugc niem yet tai Sa giao dich Chimg lchoan Ha Nei (HNX). Val nhimg dinh huOng dau tu mang tinh chien luyc ro rang va dai hen, PSI da dot duce nhieu thanh tich not bat trong suat qua trinh hoat dOng. PSI cung cap da clang cac son pharn dich vu tai chinh theo Tien chilli Qui& to bao gam: Dich vµ chi:mg khoan, Dich vu Ngan hang dau tu va Phan tich phat trim chi so:

Nganh nghe kinh doanh

Dia bin kinh doanh

Mei giai chimg Ichoan; Thanh ph6 HA Nei

Ty doanh chfmg Ichoan; Thanh phi:. Ha CM Minh

Tu van dau tu, tu van tai chinh; Thanh ph6 Vang Tau

Luu kY chfing Ichoan; Thanh ph6 DA Nang

BAo lank phat lath chimg Ichoan.

Giai thuing va Thirong vu tieu bieu

Giai thtrong:

• Giai thuang Throng hieu not tieng Quo° gia nom 2010 va danh hieu Doanh nhan xuat sec Bit Viet nom 2010

• Nhan giai thuoing Thucmg hieu not tieng nhat nganh Chung khoin tai Viet Nam /lam 2010 do ngtrai lieu dung binh chyn cua Phong Thuong mai va Clang nghiep Viet Nam (VCCI)

• Giai throng binh chon Bao coo thirOmg nien tot nhat 2010

• GiAi binh chon Cong ty có Throng vu phat hanh rieng le tieu bieu (ved doi tic Nhat Bin) tai dien don M&A 2011. Dien don M&A Viet Nam 2011 do Bao DAu to ph6i hgp vai Cong ty AVM Vietnam to chirc duOi sy bao try dm BO Id hoach va Dau tu

• GiAi thu&ng COng ty Tu yin M&A lieu bieu giai doan 2009 — 2013 do Dien dan M&A 2013 trao tang

• Top 5 dog ty thing Ichoin tieu bleu trong nghiep vu Tu van niem yet WI dau gia atm 2015 do So Giao dich Ching khoin TP. Ha Chi Minh (HOSE) binh than

• Giai throng Top 50 Sao coo thuong nien tat nhAt am 2015

16

Chi tieu latchinh Don vi

He so nq/Von dui s& hilt % I.9i nhufin sau thui TNDN Trieu ding .. _ LNSTArtin chi) s& hint (ROE) %

Von chis so' hum TriO tong 1

BAN GONG BO THONG TIN AIIMMEIMICC

Cac thuang vy lieu bleu:

• Tu van tai ciu &tic:

Lap de an tai ciu true, thoai v6n cho Tap doan Diu kW Viet Nam (PVN)

Lap a an then khai san xuat he thong xiing &au cho T6ng Cong ty Diu Viet Nam (PVOIL)

Lap a an tai cau true tai chinh the din vi cho Tiing C8ng ty Co plan My lip Diu khi Viet Nam (PVC).

• Tu van M&A:

- Ban c6 phin cho Co Bong chitin lugs T6ng COng ty C6 phAn Bito hiem DAu khi Viet Nam (PVI) giA tri 35 then USD

- Tu vAn sap nhap cho PVOIL Mekong gia tri 20 trieu USD

• Tu yin quin tri doanh nghiep:

- Tu vAn Cong ty con thay d6i ma hinh hoat Ong cho Cong ty thanh vien dm Dam Phd My

Tu van. C8ng ty con di mo hinh hog dOng cho Cong ty thanh vien ctia T6ng C8ng ty DAu Viet Nam (PVOIL)

• Tu van co phAn boa:

Tu vAn IPO, c6 phAn Ma, them yet cho Dam Ca Mau, gia tri IPO dat 50 trieu USD

Tu yin ce plan hOa Cong ty Kinh doanh Xing diu Nha nu& vii gia tri v6n Ma gin 100 trieu USD

Tu van IPO cho COng ty TNHH MOt thanh vien L9c hOtt ditu Binh San (BSR)

- Ttr vAn phutmg an c6 plan Ma cho T6ng Cong ty Dien lye Ditu 'chi - CTCP (PV Power)

• Tu vAn phat hanh:

- Tu vAn phat hanh cho T6ng tong ty Dung dich Khoan va. Hod phim Stu khi (DMC), giA tri —15 trieu USD

- Tu vAn bao lath phat hanh c6 phieu cho Petrosetco, gia tri —10 trieu USD

- Tu yin phat hanh cho Tap doan DAu kid Viet Nam (PVN)

• Tu yin tim kiem c6 ding chisel' lucre cho T6ng Cong ty a phAn Bao hiem Ngan hang DAu to va Phat trien Viet Nam, gia tri 1.080 ty d6ng.

4. Tinh hinh tai chinh

Bing 1: Cac chi dell tai chinh co bin

2017 2018 2019 6 thing wren 2020

608.147 612.972 618.816 621.796 6,43% 5,66% 45,60% 73.04% 5.245 5.325 6.345 3.479

0,86% 0,87% 1.03%

17


(Ngujn : IICTC KiIm soon 2017, 2018. 2019. BCTC sock zit 6 slicing num 2020 dux P.5/)

5. Ket qua hoat &Ong kinh doanh

Bang 2: Kit qua kinh (Ina n 11 PSI

Don vi: clang

Tr chi tii.'m

Doanh thu thuan

Nam 2017

88.690.945.637

Mtn 2018

99.782.608.715

Mon 2019

122.310.031.238

6 thing ciao

atm 2020

72.344.692 508 1

2 Doanh thu hoot dOng tai chinh

2.526.628.009 3.015.906.116 1.622.235.763 558.801.645

3 Chi phi host dOng 44.293.630.456 70.512.446.497 83.109.277.077 39.255.653.127

4 Chi phi tai chinh 39.715.028 10.927,601 6.834.682.878 14.877.249.631

5 Chi phi quail lj, doanh nghiOp

29.225.321.085 27.840.636.181 26.973.697.947 15.451.161.916

6 Kat qui host doing 17.658.907.077 4.434.504.552 7.014.609.099 3.319.429.479

7 Thu nhip kit 92.739.453 899.555.217 18.182.520 183.728.855

8 Chi phi khic 6.000.025 8.701.579 108.429.852 6.968.477

9 Isui nhu#n Mit 86.739.428 890.853.638 (90.247.332) 176.760.378

10 Tong hyi nhutin he loan

A tru*c thue 17.745.646.505 5.325.358.190 6.924.361.767 3.496.189.857

11 Chi phi thut TN ON - - 579.860.655 16.898.283

12 IAyi nhuin sau thua TNDN

17.745.646.505 5325.358.190 6.344.501.112 3.479.291.574

13 Lai ca bin tren co phieu 297 89 106 -

OsIgucin : BCTC Kiln: roan 2017, 2018, 2019, BCTC sobs xit 6 ihOng nam 2020 mia PSI)

6. Tinh hinli thanh toin toe khntin my Gin han

Bang 3: Cie khoin phai tri

Don W: (long

('Iii lieu

I. Nq phai tie nein bun

Nam 2017

38.988.098.081

Nam 2018

34.597.001.382

Niim 2019

282.092.927.820

6 'hang clan mini 2020

453.437.292.075

1. Thai tra host dOng gino djch chimg khogn

1.160.685.489 954.788.460 772.660.128 1.117.803.584

18


2. Phil tra ngtriti bin ngan Mtn

42.272.788 4.042.272.788 13.377.321.188 14.461.072.788

3. Ngtniti mua tra fign trtrit ngin ban

534.895.000 168.100.000 1.809.242.759 1.876.163.075

4. Thug va ac khan phai nap Nhi ate

986.190444 887.913.844 1.053.053.796 601.448.031

5. Phai frit avid lao ding - 230.000.000 - 1.179.493.745

6. Cie khan frith nap phtic hyi nban viin

80.730.005 510.700.857 375.271.875 374.454.121

7. Chi phi phai trit ngan him 734.814.259 571.589.963 1.165.542.698 2.744.309.128

8. Nhan Ity quy, 10 mat ngan Ilan

- 6.240.000.000 6.240.000.000 6.240.000.000

9. am khan phi' trit, phiii Opp nth' ban kluic 35.133.477.173 20.879.702.707 21.990.014.613 47.850.626.842

10. Qu5r khen thuing, ph& 191

315.032.923 111.932.763 9.820.763 481.920.763

IL Nq phii tra did hno 100.472.742 100.472.742 100.472.742 697.231.680

1. Nk(in Ic±quy, kfr arcrc diti han

90.000.000 90.000.000 90.000.000 90.000.000

2. QuSF bio lie Nha dalu to 10.472.742 10.472.742 10.472.742 10.472.742

Tong tong cat khan pluli tilt 39.088.570.823 34.697.474.124 282.193.400.562 454.134.523.755

(Nguen : BCTC KIM wan 2017, 2018, 2019, BCTC soot xit 6 thong nom 2020 act PSI)

- Tinh hinh thank toan cac Ichofin nq den han (bao gam cac khan trai pinta dEn han trong 3 nom gan nhat): CEng Ty da thanh town day dit va dung han cac khoan nq den han trong 3 nam gan nhat. Tinh hinh npp cac Ichoin thut, ngan sach nhit ntr6c: Cong Ty nep du va dung hart cac khoan thug vb. cac khoan thu ngan sach rah& ntrac trong 3 nam din that.

- Mm vay trong then gian 3 nam vira qua, COng Ty di thanh tom day dot cac khoan nq vay den

han va cac khoim trai phieu data han, hohn thanh nghla vu thue.

Tinh hinh nep ngan sach nha nuerc. Cling ty Intim chAp hanh nghiem chinh cac quy djnh cda phap luat ve thue, that hien Op thing, Op au va kip thoi cac khoan thue vao ngan sach Na nuec.

HI. THONG TIN VE DQ'T PHAT RANH TRAI PR1tU

CAC CAN Col" PHA') Lir LIEN QUAN DEN ecir ciao BAN ❖ Lu4t Doanh nghiep so 68/2014/Q1113 do Quec hei mem COng Ma Xa hei Chu nghia Viet

Nam thong qua ngay 26/11/2014

19

BAN CONG BO THONG "1 IN

+ Nghj djnh s6 163/2018/ND-CP nay 04/12/2018 v/v phat hanh Trai PhiOu doanh nght6p

+ Nghj guy& 116i dong gnarl tri s6 16/NQ-HDQT-CKDK ngay 11/08/2020 v/v thong qua

phuong an ghat hanh Trai PhiOu PSI cicrt 1 nom 2020.

DIEU K1$N PRAT HANH THAI PHIEU RIENG LE (ICHONG CHUYEN D61)

Can dr phip 19

Lust Doanh ngitiep s6 68/2014/QH13 do Quac lgoi nu& COng him XI hOi Chu nghia Vi6t Nam thong qua ngay 26/11/2014

Nghj dinh so 163/2018/ND-CP ngay 04/12/2018 v/v phat hanh trai phieu

doanh nghi6p

Myc dick phit

birth trii phieu Ting quy me van hoat dOng phut vy cho hoat dOng kinh doanh

Dieu ki6n phit

hinh trai phieu

Hang 16 (khong

chuyen d6i)

NOi dung lien quan III4n trfng Tii lit'u citing minh

Doanh nghi6p phat hanh la

Gong ty c6 phan hoac cong ty

witch nhi6m hire hen duqc

thanh lap \di hostdOng theo

phap luSt Via Nam

Dap ting

GiAy chfmg nhan DKDN

so 0103014903 ngay

06.12.2006, thay Mi Mn 1

ngay 14.12.2006, do So KO

hooch & Diu tu Thitnh pho

Ha Nei cap.

05 thin gian hoac dOng t6i

thieu te• 01 nim ke tir ngly

dirge cap lin du Gay chfmg x

nhan ding k9 doanh nghi6p

hoac Oily chung nhan ding k9

kinh doanh hoSc Giay phop c6

gia tri Wang throng theo quy

djnh dm phap Mat.

Dap tingngay

GiAy chimg nhan DKDN

so 0103014903 ngay

06.12.2006, thay dal len 1

14.12.2006, do So Kt

hooch & Dan tu Thimh phO

Ha NOi cap.

05 boo coo tai chinh nim

mete lien 1(6 cUa nim phat

hanh dirge kiem town NM t6

chirc kiem town di dieu kien

Dip ling

BCTC kiem town 2017, 2018

va 2019 duqc kiem town bai

Cling ty TNHH Hang ICiem

town AASC.

20


theo quy dinh

Dip ling

Dim bio man dui gieri hen Are

ser limns nhit dau to khi ph&

With, giao dich trai phieu theo

quy dish

Dual 100 nhl dau ur, Ichang

ke nhi dau to chin khaki

chuyen nghiep trong vong 1

nam ke new hoin

dart phat hinh theo Phucmg

An phat hanh trai phieu nay.

Dip ling C6 phuang an phat birth trai

phieu duqc ca quan co them

quyen phe duyet.

Phuang art ph& hanh duqc

I-IDQT Cong ty thong qua tai

Nghi quyet s6 16/NQ- HDQT-CKDK ngity

11/08/2020

Dip frig

Dip (mg cac ty le an town tai

chinh, ty le bao darn an Loin

trong host Ong theo quy dinh caa phap luAt chuyen nganh

Bio cio t9 14 an total till

chinh mint 2019 va bao oho t9 14 an coin tai chinh cic

thing nann 2020 den then

diem hien tai deu clot tren

180% (can cir theo Thong to s6 87/201 7/TT-BTC t9 le t6i thieu IchOng thap hen 180%).

CAC DI.NH NGHIA

Cac thuht ng& vh cum to viet hoa s& cbmg trong Dieu Khoim vi Dieu Kien Trai Phieu sS c6 nghta nth quy dinh ben dual. "TS Chic Phit Minh " la Cong ty C6 plan Chung khottn Dau khi (PSI);

"Trii Phieu" lh Trai Phi& do PSI phat hard; khong chuyen d61, kh6ng &Km dam bito bang QM sari cna TO Chirc Phtit Hinh ;

"Hqp Deng Dist Mua Trii Phieu" c6 nghia la hqp dAng mua bin Trai Phieu k9 ket gitta TS Clukc Phat Iihnh vi Ben Etat Mua Tr& Phieu; "Dai Lf Ding K9 Luu Kt, Quin Ly Chuyin Nhuvng vi Thanh Twin": Cong ty CO Olin Chung Ichoan Dau khi la TS chat thuc hien Bang Ky Lou K9, Quaid,' Chuyen Nhugng vi Thanh Twin;

"Ngtrai S& Hum Trii Phieu" co nghia la chA ser hau hqp le cua Trii Phieu duqc thiet Iap quyen ser him boi Gay Ching NhAn Quyen Ser Hun Trii Phial vi ghi nhAn tai SO Bang IC9 Trii Phieu

21

BAN CON(; BO THONG T

caa DO LS, Dang KY Lint KY, Quart L2 Chuyen Nhugng va Thanh Toon nhu dirge quy djnh Bin COng Be Thong Tin;

"Ngiy Phit Minh": 26/08/2020;

"Ngity Dio Han": 26/08/2021;

"Nay Thanh Tofin Lai": la ngly Ta Chin Phat Hanh thanh town Lai cho ngueri nam giir Trai Phieu;

"Ngity Thanh Tofin Tien Mua Trai Phielu": la ngay dive to Nha dau tir chuyen day dil lien mua Trai Phieu vac tai khoan nhAn tien mua Trai phieu Gila Te Chile Phat Hanh theo quy dinh tai Hop deg dat mua Trai Phieu. Ngay Thanh Thin Tien Mua Trai Phieu dtd voi moi Trai Phieu co the khac nhau va dirge the hien tren Hop Deng Dat Mua Trai Phieu cua Trai Phieu de.

"Ky Tinh Lai": la thed han To Chuc Phat Hanh tra lai cho ngutd dun gill Trai Phieu;

"Ngay hoar' tra cal ding": la Ngay Thanh Toin Lai cila Ky Tinh Lai cutti cling;

"Ngay that hien quyen mua lai": la ngay ma TO Chile Phat Hanh tien hanh mua lai loan be/met phan Trai Phieu truck han caa Ngtxtri Ser Him Trai Phieu;

"Nety Lam VFW: la hat ky ugly nao trir (i) ngay Tit* Bay, Chu Nhat va ngay le tai Viet Nam ve. (ii) bat k' ngay nao ma vac) ugly do the ngan hang tai Viet Nam dirge phep hthc bat bute.ic phai dong cira theo quy djnh caa cac co quan Nha nude co thim quyen;

"Quyen mua heti" hoac "Quyen mua Jai three han": la quyen cua Te Chile Phat Hanh dugc mua lai town be/mOt phin Trai Phitu truer° han cua Ngual S& Hain Tr& Phi& vao Ngay thim hien quyen mua lai;

"Hei nghi Ngirbi So' Him Trai Phieu" la cuee hop dm rutting Ngued S& Hem Trai Phieu tai then diem trieu tap cues hop de;

"Nghi Dinh 163": la Nghi dinh sa 163/2018/ND-CP tha Chinh phu ugly 04 thang 12 nam 2018 ve phat Muth Triii Phan doanh nghiep;

"Su Iden vi pham": La inept trong nhcmg sir ki'en )(ay ra dime quy djnh chi fiat tai Mite 16 Phan IV cila Ban Cong Be Thong Tin nay;

"Cie Dieu 'Chain Va Dieu Kin TrAi Phitu": la cac dieu khoin va dieu hen quy dinh co lien quan den Trai Phieu phat Minh duo° liet ke caa Ban C8ng B6 Thong Tin nay.

"Van De Leal Trir" la bat ICI F van de nao clued day:

• Dieu chinh Ngay Dao Han hthc bat ky Ngay Thanh Toan Lai Ilk; • Giant hoac ngamg thanh Man gee Trai Phieu; • Dieu chinh Lai Suit; • Thay ded loci tien to thanh town doi voi Trai Phieu; • Thay doi dieu kien to chile hOi nghj Ngirbi S& Han Trai Phieu hop le; • Thay del chap thuan can thiat de thong qua nghi quyet cim cac Nguai Str Hint Tr&

Phieu; hoac • Sua dai dinh net ve Van De Loai Tit

LOAI HIM!, HINH 1VINH GTA, PHUtiNG THOt PHAT HANH VA QEVEN

22


So Het THAI' PHIEU

Loai hinh

Thai Phieu cita Cong ty CO phan Chung lchoan Deu khi dirge phat hanh dqt 2 nam 2020 duel hinh thirc chemg chi va but town ghi se, la loci Teti Phieu khong chuyen deg, kitting c6 tai san dam bao va duce thanh tan bang lien Deng Viet Nam.

Hinh thine Trai Phieu

Chang chi va But town ghi s6

Phuong thirc phat hanh: 13an trcrc tiep cho nha deu to

MA Trai Phieu: PSIL2021002

M?nh gia: 100.000.000 VND/ Trai Phi& (Met tram trieu ding met Thai Phieu)

Tang so Trai Phiau chic) bin: 2.000 (Hai nghin) Trai Phieu

Tang gia trj Trli Phieu di; kiln phit Minh: 200.000.000.000 dong (Hai tram ty dang)

Gil chlo ban dv kiln: Bang 100% menh gia

Thai ban Trai Mutri hai (12) thang

Ngiy phit Minh dv Min: 26/08/2020

Hinh that phat hanh

PM halt rieng le. Theo de, toan be so Trai Phieu phat hanh se duqc than ban va philn phOi age tiep cho kheng qua 99 nha dau tix.

Quyan sir hint Trai Phial]

Quyin só• lruu

TO Chao Phat Hinh, trong vai tr6 Dai Ly Bang Ky Luu Quin LY Chuyen Nhircmg va. Thanh Toan, se lap va duy tri SO Bang Ky Trai Phieu ("SO Bang ICY Trai Phial?) ghi ten Ngu&i S& Hire Trai Phieu gem nhcmg thong tin dual day:

(i) HQ ten, se chang mink nhan dan/lie chieu, ngity cep va not cap (neu 11 ca nhan) hoac Gay chimg nhan clang lc, Doanh nghiep/Quyet dinh thanh lap (neu la to claim) va dia chi dui Ngtr&i S& Hau Trai Phieu tai thin diem ho set frau Trai Phieu;

(ii) Tens se Trai Phieu do tang Ngtrai Sat Hem Tad Phieu ntu-n g111;

(iii) Chi tilt ve so tai khoan ngan hang caa Ngueyi S& Hit-u Trai Phieu a chuyen cac lchoan den thanh wan lien quan den Triti Phieu;

(iv) Ngay -Mardi Toan Tien Mua Trai Mien.

Trong Wing 10 (mu&i) Ngay Lam Viec ke tir new ngu&i mua Trai Phieu thanh tan day du tien mua Trai Phieu, TO Chao Phat Hanh se cep cho Mei Ngueri Set Him Triti Phieu met &Ay chfmg

23

Bch CON G RO THONG TIN

nhan ("Glity Chfrng NhOn Quyin Rau Trai Phieu") vet ghi ten Ngubi So Hau Trai Phieu trong S6 Dung Ky Trai Phial'. Mai Giay Chang Nhan Quyen SO Hau Trai Phieu se duge dank s6 rieng nhan biet va se duce ghi trong S6 DAng K9 Trai Phieu elm Ta Chile Phat Minh.

Quyen sex halt dai vol Trai Phi& chi duge chuyen giao sau khi cac din tgc chuyen nhugng va viGe ding lc, the Meng tin ye ban nhan chuyen nhugng trong S6 Dang Ky Trai Phieu dirge heart thanh theo quy dinh Gila To. Chfrc Phat Muth va Cie Dieu Khoin va Dieu Kien Trai Phieu nay. Trong Ong muoi (10) Ngay Lam Viec ke tir ngay nhan dirge day at the tai lieu chuyen nhugng Trai Phieu theo quy dinh, T6 Chic Ph& Hanh cAp cho ben nhan chuyen nhugng met Ogg Ching Nhan Quyen Sa Hau Trai Phi& ghi nhtin s6 tien goo ciut Trai Phieu dA duge chuyen nhugng ?cite nhan ten va quyen sex btu Gila ben nhan chuyin nhucmg Trai Phieu dirge clang kj trong Sal Dang K9 Trai Phieu. Cae chi phi chuyen nhugng a do T6 Chirc Phat Hinh an dinh va phai dirge cac ben c6 lien quan thanh toan trade khi thgc hien viec chuyen nhugng Trai Phi& phit hgp vei luSt Viet Nam va thgc tien thi truong.

Quyen clan Argus& se Hihr Trdi Phan

MOi Ngueyi Sex Hat Trai Phieu se duge col la chit so h&u duy nhatt cua Trai Phieu de ve m9i phucmg then va se co (men nhan tat ca cac khoan thanh toan, thong bao, bio cao va duge hudyng cac quyen lchic lien quan din Trai Phieu do bao g6m nhung lcheng giesi han quy'Ll cam c6 Trai Phieu theo quy dinh cita phap lust.

Dirge T6 Chive Phat Hanh thanh toan tien lai va goo Trai Phieu day du theo dung diet' khoan Trai

fi Dirge to do chuyen nhugng, cho, tang, de 10 thira ke, chiet lchau, dim c6 vay von Triti Phieu trong cac quan he dan str theo quy dinh cua Phap luSt

(1) Chuyin nhurig: Trai Phieu phat hank dirge chuyen nhugng to do bang each chuyen Clay Ching Nhan Quyen Htru Trai Phieu thong qua Hgp dung Chuyen nhugng Trai Phieu theo Mau Gila To Chile Phat Hank. Mgi dill t ie chuyen nhugng dirge thgc hien theo quy dinh cua T6 Chirc Phat Hanh.

(2) Gay Cluing NhOn Quyen So. fff•u Trill Phitu mei: Twang hgp Trai Phieu dirge chuyen nhugng, thi To Chirc Phat Hanh c6 trach nliiem cAp Gidy Ching Nhan Quyen SO Kau Trai Phieu cho Trai ch4 mai trong 10 (mixed) Ngay Lam Viec ke tir ngay nhan duge beg ha so chuyen nhugng day dil va hgp le nhu da net a tren.

(3) Quyen aut Trdi Phi& khi chuyin nhugng: Khi trai chit chuyen nhucmg Trai Phieu cho dal tugng lchac thi dirge coi nhu trai chit cu da ttr tir be mgi quyen lgi tir Trai Phi& mang lai va mac nhien trai chic mesi (ngubi nhan chuyen nhugng Trai Phieu) sS dirge huOng moi quyen lgi ttr Trai Phieu mang lai tuang img voi phan Trai Phieu chuyen nhugrighthan chasten nhugng.

Dirge T6 elite= Phat Hann bao cao thOng tin dinh ky

(i) To Chik Phat Ranh phai cung cap bao cop tai chinh hang Qu9 va bao cao tai chinh 06 thing cho Nguai SO Hau Trai Phial] trong then hart 60 (sau mucci) ngay sau khi ket thitc m8i Qu9. Bang thOi the hien 'dem toan bao cao tai chinh hang nam.

Ngay khi ea dirge bao cao tai chinh hang nam eUa minh (va trong bat ky tnramg hgp nao

24

BAN CONG BO THOM; TIN

trong Ong 90 (chin muoi) ngly sau khi ket thdc Man tai chinh caa TO Ch(rc Phat Ranh), T6 Chirc Phat Ranh phai cung cep cho Ngutri Sb Huu Trai Phieu (neu Nguti Sb Hau TEM Phieu có you cau) ban sao co chang nhan sao y ban chinh bao cao tai chinh hang nam cda Te Chive Phat Hanh.

Ngay khi bao cao tai chiral dtroc kiem man (va trong bat ky trtremg hop nao trong yang 120 (mOt tram hai math) ngly sau khi ket thdc nam tai chinh cua Te Chac Phitt TO Chic Phat Hanh phai cung cep cho Nguti Sb Hatt Trai Phieu neu Ngubi Sb Hau Trai Phieu co yeu cau) ban sao co chime nhan sao y ban chinh bao cao tai chinh da dt.n7c kiem toan do.

(ii) Dinh kt 06 (sau) thing met ran hoar khi co you cau cUe. Ngueli SO Hihi Trai Phieu: TO Chile Phat Minh phiti cung cap day dit cac h6 so, thong tin lien quan den tinh hinh heat Ong sin xuet kinh dearth, tinh hinh thi chinh, quan tri doanh nghiep, v.v... va fink hinh sir dung nguen von Tr& Phieu cho Ngtxtri Sb Hau Trai Phieu neu to yen an.

(iii)T6 Chao Phat HIM phai gal bao cao thong tin dinh k1 tbi dia chi Nguiri Sb Hun Trai Phieu (dia chi ding k1 tong Giay Chang Nhan Quyen Sb Hau Trai Phieu) hoac ding be ten website cua TO Chirc Phat Hinh

Doi ttrong duo•c ding Icy mna

TO char; ca nhan trong nuot va nubc ngoai theo quy dinh cita phap luat.

Lai suit

Trai Phieu co lai suit c6 dinh la 9%/nArn tong Mei han mai hai (12) thing.

Kj Tinh LM

Kt Tinh Lai lit 03 (ba) than met lam

ICS, Tinh Lai du den se bit dau vao Ngity Thanh Tan Tien Mua Trai Phieu va ket thac vao (nhung thong bao gem) Ngay Thanh Toin Lai (nu lien. M8i Ky Tinh Lai tiep theo se bit du vie Ngity Thanh Toan Lai dm Tinh Lai tnncc de va ket that vie (nhung thong bao gem) Ngly Thank Toan Lai tiep theo.

Ngay Thank Toan Lai du tien la ngay 30/11/2021, cac Ngity Thanh Toan Lai tiep thee la 28/02/2021, 30/05/2021 va 26/08/2021. Neu Ngay Thanh Toan Lai thong phai la nay lam viec thi Ngay Thanh Toan Lai la ngay lam viec tiep theo ngay do.

Tien Iii

Tien !Ai Trai Phieu ducyc tinh theo Kt Tinh Lai ke to va bao gOm ngay Ngay Thank Total Tien Mua Triti Phi& cho den (nhung thong bao gam) Ngiy Thanh Toan Lai hoc Ngay thy° hien mua lai Trai Phieu, vi dirge thanh toan sau theo KY Tinh Lai — vim cac Ngay Thank Toin Lai.

Tien Lai Trai Phieu dm KS, Tinh Lai dirge xtic dinh theo tong thire sau:

Tien lai caa Ky Tinh

Menh gig Trai Phieu

X

Lai sat Trai Phieu tai Tinh

Lai

Se ngay thy° to x caa Kv Tinh Lai

do/365

25


(%/nam)

Tneng hop tiers lai Trai Phieu dugc Song khOng tron K3 Tinh Lai, bao gem nhtrng khOng &di hp trteng hop TO Chita Phat Ranh mua 10 Trai Phieu thee han hodc bi buec mua lai Trai Phi& thee han duai day, trir trteng hop co sty thoa thudn khac, thi tien lai dugc hteng se throe xac Binh theo °Ong anew sau:

Tien lai trong tneng hop khong ten

KY Tinh Lai

Lai suet Trai So ngay thgc to nern gitit lvlenh gia = x Phieu tai Ky Tinh x Trai Phieu trong Ky Trai Phial

Lai (%/nam) Tinh Lai do/365

Ngay Ewan tra euei clang

La Ngay Dao Han aim Trai Phieu hoc Ngity thtre hien viec mua lai toan bO Tr& Phieu throe hp theo cac Dieu Khoan va Dieu Kien cud. Trai Phieu.

Tneng hop Ngly Han Tra CuOi ang khong phai la nsay lam viec thi Ngay Hoan Tra Cucii can se la ngay lam viec tiep theo cita ngay de.

Phat cham tra gee, lai Trai Phieu

(i) MSi Trai Phieu se khong duce htrang Mike tIr Ngay Hoan Tra CuOi Clang trir khi tien gee eua Tull Phieu khemg duce thanh town day du. Trong truang hop do, Trill Phieu se titp tic dirge htremg lit yeti mire lei suet btmg 150% lai suet Trai Phieu tip dung cho Ky Tinh Lai ngay thee Ngay Hoan Tra Cu& Gang (ke ea trite va sau khi ea phan quyet) cho den, nhung khong bao gam, !nay ma vao ngay de tat ea cac khoan tiers den han lien quan den Trai Phieu dugc Ngtei SO HIM Trai Phieu hoc netted throe lay quyen eaa NguOi So Ht&u Trai Phieu nhen duce tat ea cac khoin tiers den hp lion quan den Trai Phieu. Tien lai iron gee them thanh team se duce tinh theo °Ong thin saw

S6 ngay qua hp tra gocTrai Phieu/365

150% Lai suAt Trai Phieu tai Ky

Tinh Lai

Menh gid Trai Phieu dang nam

S6 tiers phai

(ii) Tneng hop vao Ngay Thanh Than Lai ma TO Cite Phat Hanh khong thanh town hoe thanh town khong day dii tiers lai Trai Phieu den han thi TO Cite Phat Hanh phai tra lai qui han del vei so lien chain tra tinh tir ngay ahem tra den ngay thanh town thuc to thee mire 150% lai suAt Trai Phieu ip dung cho Ky Tinh uti bi chdm tra tren co s& mot ram co 365 ngay theo cong thirc saw

26

BAN CONE BO THONG TIN

150% Lai suet Se tien lai phat SO tien rai sham tra x Trai Phieu tai Ky x

Tinh Lai

So ngay qua hart tra iai Trai Phieu/3455

Holm tra tien gee

Tre khi duce mua lei tnrerc han thco quy dinh dm Dieu Kien duet day, lien g6c cUa Trai Phi& se duqc hoan tra bang meth gilt vao Ngay Dao Han.

Mua lai Trai Phieu

a) Mua tai theo cam I'M:

• Theo theta du* giUa TO' Chat Phat Hanh va Ngutri Sa HEM Trai Phieu:

Viec mua lei theo cam ket duqc theta thuan tai Hqp Deng D#t Mua Trai Phieukc, girra Te Chirc Phat Hanh va Ngubi Ser HtYu Trai Phieu tai thieu sau 6 (sau) thing ke tt Ngay Phat Hanh theo cac quy clink sau:

i. M3i Trai Phieu, Int khi truerc de da duqc mua lai, se duct T6 Chirc Ph& Minh rim 1ai vao Ngay Cam KM Mua Lai Trude Han bang 100 phatt' tam s6 tien g6c caa Trai Phial do, sung tat ca cac lchoan tien lai phat sinh chua thanh town tir Trai Phieu do cho den Ngay Cam Ket Mua Lai T mere Han nhtmg kheing bao gent Ngay Cam Ket Mua Lai Twee Han;

ii. Ngtrai SO Hav Trai Phieu dug° co town quyen quyet dinh viec ban lai hay khong ban lei Trai Phieu theo viec chao mua cua. T6 Chirc Phat Haub ;

iii. T. Chile Phat Hanh ce nghia vu thong bit° bang van ban trtrerc Ngay Cam Ket Mua Lai True° Han (dtretc dinh nghia duel day) 16i thieu 30 ugly cho Ngtrbi Ser Huu Trai Phieu ye (A) Ngay Cam Ket Mua Lai Truest Han, (B) Kh& ltrqng Triti Pilau thqc hien mua lai truck han theo quy dinh tai Hqp Deng D#t Mua Tnii Phieu vei Ngtred Ser Heti Trai Phieu 45;

iv. Ngtrai SO Hatt Trai Phieu co the ban lai Tr& Phieu bing viec nep cho T6 Chirc Phat Haub Giay Chung Nhan Quyen SO Hutt Trai Phieu lien quan ding yeti van bim yeu eau mua lai Trai Phieu tank han trong Thai Hp Ming Ky Mua Lai Tnrec Han;

v. X* 12 s6 Trai Phieu le ma tit chit phai ban lai cho TO Chet Phat Hanh: Se Trai Phieu le plth sinh khi zip dung ts, 1e cac Dili chit' phai ban lei cho Chet Phat Minh se duce lam trbn xuting 0 Trai Phial;

vi. Te Chirc Phat Hanh co nghia vu mua lai Trii Phieu trues ban theo you cau cea bigubri SO Hilu Trai Phieu va thanh toan den g6c va lei cua Trai Phieu vao Ngay Cam Ket Mua Lai Truec Han;

vii. "Th?ri Hon Hang Ky Mua Lai Trutt Him" la 21 (hai muai met) ngay sau ugly To Chirc Phat Hanh thong bao Ngay Cam KM Mua Lai Tru6c Han; va "Ngly Cam

27


Kat Mua Loi Tnr&c Hon" li ngay mua lai theo cam la duck theta thuen tai Hop Bang Bat Mua Trai Phieu ky gift To Chart Phit Hanh vi Ngtrbi So HIM Trii Phieu..

• Theo de nghi ctla Ngutri SOr Hem Trai Phieu:

Pho thuae vio Ngity Thanh Toin Tian Mua TrAi Phieu cue m6i Trii Phieu duce phit himh, T6 Chirc Phit Hanh co nghia vu mua lai cite Trai Phieu da truck hen sau 6 thing ke tir thing c6 Ngay Thanh Tan Tien Mua Trii Phieu khi co de nghi mua lai cita Ngubi SO HOu Trii Phieu theo cic quy dinh sau:

i. Theo de nghi cue Nguei SO HIM Trii Phieu, T6 Chirc Pith Hanh se thnt hien mua lai tnrOc hen vio ngiy 29 hing thing ke tir thing tit* 6 dm thin c6 Ngay Thanh

Toin ties mua Trii Phieu (cat ngiy nay sau day duck gqi II Ngiy Mua Lai Truck Han Theo De Nghi Cita Trit Chu). Rieng Ngay Mua Lai Truck Hon Theo De Nghi Cita Trii Chit tai thing 2 nam 2021 se duck quy dinh lh ngity 26/02/2021 va Ngiy Mua Lai Tnnk Hon Theo Da Nghi Cita Trii Chu tai thing 08 nam 2021 la ngay twee Ngly Dio Han 01 (met) Ngity Lam Viec;

Twang hqp Ngity Mua Lai Truck Han Theo De Nghi Cita Trii Chit Meng phai lit 01 (mOt) Ngay Lim Viec thi Ngity Mua Lai Truett Han Theo Da Nghi Ctla Trii Chit se la ngay lim viec lien ke trade de.

ii. D6 thue hien bin lai nhu nett tai dieu (i) ben tit, Nha Diu to phial gtli van bin de nghi bin lai truck hart trite ngay thir 15 cita thing du kian you cau bin loi auk hon. Truang hop NM Diu to giri van bin de nghi nay man hon ngay MO 15 ctla thing du kien yea au bin lai Trai Phieu, Ta Chirc Phat Minh c6 toin quyan quyat dinh vies thuc hien mua Jai Trai phieu theo you du dm NM Diu to theo dieu lchoin nay;

iii. Viec mua lai dug° thtrc hien theo de nghi cua Ngusbi Sb Hilo Trdi Phieu vi phtl hup vOti cic ngiy mua 1 1 Trii Phieu coa TO Chirc Ph& Hinh;

iv. Gil mua lai mai Trii phieu duce grit nhu sau:

Gil mua lai moi Triad phieu = Menh gii Trai Phieu + lei Trii Phial) Gang den chug thanh loin tinh den nay bin lai — Phi ban lei x M'anh gii Trii Phieu

v. Phi ban lei dirge xac dinh nhu sau:

• Bin lei tai thing thi 6 ka tir Ngiy Thanh Toin Tian Mua Trai Phieu, Phi bin la 0,25%.

▪ Bin lei tai thing thir 7 ke tir Ngity Thanh Toin Tien Mua Trii Phieu, Phi bin lai la 0,208%. Bin lai tai thing thir 8 ke tir Ngiy Thanh Than Tien Mua Trii Phieu, Phi bin lai la 0,167%.

▪ Bin lot tai thing Mir 9 ke tir Ngly Thanh loin Tien Mua Trii Phieu, Phi bin lai la 0,125%.

28


Ban lai tai thang thfr 10 ke tir Ngay Thanh Than Tien Mua Trai Phieu, Phi ban Jai la 0,083%.

▪ Ban lai tai thang thi 11 ki tir Ngay Thanh Than Tien Mua Tit Phieu, Phi ban lai la 0,042%.

- Ban lai tai ngay trucac han dao han mot ngay lam viec, Phi ban lai la 0%.

b) Mua lai but bui)c:

i. Tai bat 1c thai diem nio tnrerc khi nghia vu tra nq gee va lai Trai Phieu duce TO Chic That lath hoan thanh day du, nL T6 Chik Phat Minh vi pham quy dinh ve phat hanh Trai PhiL hoc vi pham Plurcmg An Phat Hanh Da PM Duyet (bao gam nhung khOng glad han vi pham nghia vu sir dung tien thu tir phat hanh Trai Phieu thing mu° dich phat hanh), thi bat kt Nguai SO Huu Trai Phieu nio acing c6 quyen giri thong bao cho TO Chirc Phat Hanh you cau To Chirc Phat Hanh mua lai toan be Trai Phieu cua ngued d6 vao Ngay Bat BOG Mua Lai Truck Han ved gia bang menh gia cling veld lai Trai Phieu duck tong don tad ya khong bao gam Ngay Bat BuOc Mua Lai Truck Han;

ii. Trong yang 03 (ba) Ngay Lam \lac ke fir ngay nhan dugc thong bao cua Nguai Sa Hem Trai Phieu neu tren, neu clang Y voi thong bao cita Nguiyi Sa Hfru Trai Phieu, TO Chirc Phat Hanh se dai dien giri cho tat ca Nguai So Hint Trai Phieu c6 ten trong s6 Dling KY thong bao nen ro (A) su• kien TO Chirc Phat Himh vi pham quy dinh ve phat hanh Trai Phi& hoac vi pham Phucmg An Phat }lath Da. PM Duyet da phat sink vi Nguai Sa imu Trai Phieu c6 quyAn you eau mua lai Trai Phieu truck han, (B) ve Ngay Bat BO° Mua Lai Tr to Han, vi (C) Thai Han Yeti Cau Mua Lai Truck Han (dugc dinh nghia clued day). Ngtred Sc Hilu Trai Phi& c6 the ban lai Trai Phieu bang yiec nOp cho TO Chirc Phat Hanh Clay Chung Nhan Quyen Ser Hun Trai Phi& lien quan ding ved van ban you cAu mua lai Trail Phieu truck han trong Thai Flan You Cau Mua Lai Truck Han;

iii. TO Chirc Phat Minh co nghia vu mua lai Trai Phieu truck han then you cau cita Nguai SO Hftu Trai Phieu phil hcip va thanh Wan tier gric va Jai ciia Trai Phieu viva Ngay Bat BuOc Mua Lai Tnr6c Han;

iv. "Thai Han Yeti Cau Mua Lai Trust Han" la 21 (hai muoi mot) ngay sau ngay gui thong bao cta TO Chirc Phat Hanh; vi "Ngay Bit Buoc Mua Lai Tnrac Han" la Ngay Lam Viec thir 07 (bay) la tir khi het Thai Han You CAu Mua Lai Truce Han.

Hay bo

Tat ca Trai Phieu dugc hoan Ira va/hoac dugc TO Chirc Phat Hanh mua lai then Cac Dieu Khoin va Dieu Kien Trai Phieu nay se duck hily bo ngay va khOng dugc phat hanh lai hoc ban lai.

Nha dau to mua trill phi& tur dAnh giA mire d(i riii ro trong vies din tin trai phiiu, hat' chi ve giao dich trill phiiu dugc au to va ttr chin trich nhi§M ve quyit dlnh &Au to cua minh.

29

BAN GONG BO THONG TIN

Cie loci thud c6 lien quan

Cac khoan thanh loan lien quan den Trai Phieu sb dugc TO Chirc Phat Hanh thgc hien sau khi khan trir bat ky cad loci thue, phi, phi thitm dinh hoac bat dr loot le phi ma NM nu& hoac do bit ky Be, Ban, nganh, ca quan co thAm quyen, hoac brit ky ca quan nao cfra Chinh phis Viet Nam co quyen ban hanh hoac tip dung.

Syr kien vi phom

Neu bat cir sir kien nao sau day xay ra va dip ten:

i. Khang thanh roan: Neu Teo Chirc Phat Hanh kitting thanh toan tien gee hoac den iai oh bat ky Trai Phieu nao den hen thanh man va vi pham do van tiep dien trong thai gian (30) ba muai ngay; hoac

ii. Vi phom cac Nghta vp ichitc:TO aim Phat Hanh vi pham viec thgc hien hoac chap birth hoac than this bit ky nghTa vu nao khac curt minh dirge neu trong Cic Dieu Khoan va Dieu Kien Trai Phieu vit cac Him Deng CAm Co, Hgp Deng Uy that Quin 19 Trai Phieu va Thanh Toan mkt Cite Dieu Khoin va Dieu Kien Trai Phieu nay ma vi pham do kheing the khi c plum hoac kitting dugc 'chic phut trong thai htm 30 (ba mueri) ngity ke tir ngay phat sinh vi pham do; hoac

iii. Mat khci ndng thanh wan: Ta Chita Phin Hart mat kha liana thanh toan hoac kheng the thanh Loan, hoac thira !than khOng c6 kha Ming thanh toan cac Oman ng den han hotte bj ap dung hoac chap nhan hoac butte phai chi dinh ngutri quan 19, ngutri thanh ly tai san, hoac ngutri quart 19 toan be hay bat k9 phlin Mat deng kinh doanh nao cfra Te Chao Phat Minh , hoac den halt bat dr thu wc nao then yeti cAu cita Ca quan co tam quyen tit dieu chinh hoac tri hart viec thanh toan cac khoan ng cua minh hoac met phan khoan ng.

iv. Phd san, githi thi: Neu c6 lenh hoac mot ngh1 quyet dugc thong qua ve viec pha san, thanh 19 hottc giai the dei vdi Te Chile Phat Hanh, hoac khi Te Chfre Phat Hanh da tien himh btu cif this tic phd san, thanh 19 hay giai the (trig khi TO Chirc Phat Hanh dugc thanh 19 lien quan din viec sap nhap va tong ty dirge thanh lap sau khi sap nhap titp rthan toes be nghla vg lien quart den Trai Phieu); hoac

v. Buec phcii thyv hien nghla vit: Viet thi hanh an, tich thu, tjch bien hoac bat cir thfr tut phap19 nao 'tithe dugc ap dung hoac buec phii thi Minh lien quart den phlin Ion bat deng san, tai san hotic doanh thu cfra Te Chirc Phat Hank trfr khi viec tich thu, tjch bien, thi Mnh an hoac thii

tut to nun khac dugs thgc hien nen tinh thAn thien chi hoac dinh chi, hoac

vi. Ngfing hogt Iffing kinh doanh: Chfrc Phat Hart nun ngimg hoac c6 nguy ca nun ngtmg loan be hoac met pham clang ke hoat deng cfra minh hoac ngimg hoac co nguy ca ngfrng dive hien tat

ca hoac met pha.'n dang ke hoot deng kinh doanh nhu dugc titn hanh vio nay phat hart Trai Phieu; hoac

vii. Dia vj phcip ly act Td Chac Phat Hanh: Neu TO Chfrc Phat Muth vi blit air ljr do gi ngimg hoat dong va kheng con ten tai, hoac bAt cir hanh deng hoac thfr tuc nao duce Te Chao Phat HAS' hoac bat ky ngutri nao khac that hien hoac den hanh ciAn tai viec Te Chat Phat Hanh ngUng toan be hoac met plan citing ke hoot Ming kinh doanh cfra minh hoac 1:4 giai the, sap

30


nhtlp hoc hop that he* viec thanh lap bi hay b6 hoac bai be hotic ngimg hotic co nguy ea ngUng thanh toan, hthe khOng c6 kha nang thanh wan, hoSc this nhan kh8ng co kha nang thanh toan the khan nq (hotic bat ky GAG khoan nq nao) khi den han, hthe dugc xem la Ichang ce kha nang trit ng theo bat ky luat ap dung nao, hoac tuyen b6 bi phi san hay mat kha nang thanh toan; hotic

Kien Ring lien quan din To Chic PM: Hanh: Neu (1) co cac vu kien thong lai Ta Chirc Ph& Hanh theo bat ky luat hien hanh nao ve viec thanhly, mat kha nang thanh wan, lien ket, tin tó chirc hthe bat ky luat nao khac co lien quan hoac khi co don you cliu (hotle van ban duce gni cho tea an) ve viec be nhiem mat nguoi quan 19 Minh chinh hoac, mat ngtred quan It, mat ngtred chit quan hthc cac chirc dash twang to lien quan den TO Chine Phat Muth hotly lien quan den toan ba hay bat ky phan nao etia Gong viec kinh doanh, tai san cita TO Chirc Phat Hanh , ttly tong twang hop, hotic ngtred thoc hien hien phap brio dim chiem heu toan ba hoac mat phap cong viec kinh doanh hthc tai san, hoSc khi bi ap dat, buac phai thoc hien, bi yeu cau phai 'hoc hien viec tich bien, thus thi, tich thu, tich thu tam then hotic the bien phap khac dal von toan ba hotic bat ky cong viec kinh doanh hoac tai san cita TO Chtic Phat Hanh , va (2) trong bat ky tnremg hqp nao not tren (ngoai viec chi dinh mat ngtrea chit quan) trir khi viec chi dinh not tren do cong ty co lien quan thoc hien, ma khang chiim din trong theri han 60 (sau mtrai) ngtly; hotic

viii. Bit hop phdp: Bet cir thbi diem nao ma viec that hien nghia vu thanh wan tha TO Chile That Hardt theo cac Dieu kien nay ira nen bat hop phap; hoSe

Cho phep va chip thu4n: Bat cu hanh tang, dieu kien hoac bat cir van de nao (bao gam viec xin hotic thqc hien the chip thuan, phe chuan, cho ph6p, mien giam, de trInh, gity ph6p, lenh, nap ha sa hose Clang k9) tai bat cir thai diem nao can phai tien hanh, hotIn thinh, thqc hien de : (1) cho ph6p T6 Chirc Phat Hanh co the ky kat, thoc thi hqp phip quyan cita minh, thus hien va wan this cac nghia Ai thee Trai Phieu, viz (2) dam bao rang cac nghia vu do co gia tri rang buac va co the thus thi ye mot phap ly, nhimg chug duqc tiers hanh, hoan thanh vi that hien, thi bit ky Argued set Haw Mil Phi& nao ding co the gin van ban thong bao tea van phang caa TO Chile Phat Himh, tuyen ba Trii Phieu den han va phai thanh wan trong thed han khong it ban 15 ngay ke tit ngay TO Chile Phat Hanh nhan dirge tuyen ba Trai Phieu den han vi ngay tai thei diem do khoan den geic va lai cong don duce coi la den han va phii thanh win ma Ichang phai thoc hien them bat ky thit toe nao khac, trir khi stir kien vi pham duce khic phqc tarot khi TO Chirc Phat Hanh nhan dirge thOng lxio do.

Trong Dieu hien nay: "Khan nq" nghia la bat cir khoin lien ng nao lien quan t6i:

i. the khoan den vay;

ii. bit ky giay nq, Triii Phieu, ky phieu, hal phieu nhan nq, hotic cac chimg khoan khac;

iii. bit ky chap 'than thanh toan nao;

iv. the khoan phai thu &roc ban hoac chi& lchau (ngoai trir cac, khoan phai thu mien troy del);

31


v. chi phi mua tai sin (tong throng hap chi phi d6 duct thanh toan truerc hoac sau thbi diem ben c6 nghia vg thanh toan tiep nhan hole chiem hftu tai ski do) dirge tai trg thong qua viec cho vay von hay cho tra eham a mua tai san do;

vi. bat c* hop deng thue nao dirge ky kat chit yeti theo each thirc nhim huy long von hole cap von (16 mua tai san cho thug de;

vii. bat ky khoan den nao dirge huy dOng theo bat ky giao dich nao kHz co tinh chat thuong mai la vay lien hay huy gong yen;

viii. bat dr bao lath, bei hoar' hole the Wen phap bao dam tuang to nao de nhan no tai chinh del veri bat ky Ben nao theo bark* muc nao (lucre nen tai cat down o tren.

Cap lai Clay Cluing Nhan Quyin Sfr Huv Trai Phieu

Neu Giay Chfing Nhan Quyen S6. Film Trai Phieu bi that lac, mat cap, rich nat, bi nhee, hoac bi hity be thi Gay Chting Nhan Quyen SO Hftu Trai Phieu de co the dirge cap lai tai van phOng &rye chi dinh cua To Clthe Ph& Hanh va thanh town phit hop vai the quy dinh phap luat hien hitnia sau khi dirge ngutri yeu cAu cAp lai Trai Phieu da thanh toan cat chi phi phat sinh lien quan den viec cAp lai Trai Phieu va ngutri yeu au phai cung cAp chirng cur va bei thuong thiet hai ma Te Chi:re Phat Hanh co the yeu au mot each hgp 1Y. Giay Chang Nhan Quyen Ser Hftu TrAi Phieu bi rich hole bi nhOc phiti dirge nap lai twee khi dune cap lai.

Hai nghi Nguti Him Trai Phieu

i. FlOi nghi Ngtreri So Hitu Trai Phieu co the dirge trieu tap beri Te Chirc Phat Hat* hole Ngutri Ser Hftu Trai Phieu nam gift It abit 10% tong menh gia Trai Phieu tai theri diem do ma chua dirge thanh toan (tong tratmg h9p Ngueri Ser Han Trai Phieu trieu tap H*i nghi Ngutri Ser Hftu Trai Phieu thi co the thong bao hoac khong can thong bao cho Te Chile Phat Hank) thong bao bang van ban tnitc it /that 21 (hai muai met) ngay. Hei nghi Ngutri Sar Him Trait Phieu c6 the doge to chic duei the hinh th*c ph* hap theo yen au eta nguoi triOu tap nhu hoi nghi qua dien thoai, video conference, tao dei qua thu dien dr, v.v...

ii. Phu thuOc vac Dieu Hen (iii) dudri day, se) dai bitu can thiet a cuOc h9p dirge tien hanh meat hoac nhieu ngutri narn gift hoac dai dien cho it nhat 50% (nam muai phiin tram) tong menh gia Trai Phieu chua dirge thanh Wan tai thei diem de, hole dei vai bat ky cutie hop nao dugc trieu tap lai thi so dai bieu can thiet de lien hanh cuOc hop la met hole nhieu ngued nam gift hole dai dien Nguiri Ser Frau Trai Phieu vei bat ky tY le Trai Phieu theo menh gia nao ma he !Am gift hoac dal dien.

Trong bat ky hoi nghi nao co nOi, dung guy& dinh the Van de loaf trir, thi se dai bieu can thiet de tan Matt hop la met nguti hole nhieu ngutri nam gift hole dai dien it that 75% (bay lam phan tram) tong menh gia Trai Phieu tai theri diem chua duct thanh toan, hoac bat ky cuec hop Mc dune trieu tap lai thi so dai bieu de tiers hanh hap la met ngutri hoac nhieu ngtrai nam gift hole dai dien da s6 theo tang menh gia Tr& Phieu tai thoi diem chua duqc thanh than.

iii. Trong throng hap Nghi quyet dune thong qua bang hinh thire bieu quyet tai Frei Nghi, Nghi Quyet phai dtroc Ngutri Se Hitu Trai Phieu nam gift it nhat 65% (sau lam phap tram) tong meth gig Trai Phieu tham gia cuec h9p thong qua, va se rang buec tat ca Ngtrei Se Him Tr&

32


Phieu (du h9 co tham du two tiep hay kW:Mg) v6i dieu kien la duce sty chap thuan dm T6 Chirc That Hirt. Bat ky sv thay doi nito ve Van de loci trU phai dugc six chap thuan Gila 75% (bay lam phan tram) tong math gia Trai Phial tham gia cuac hop thong qua.

iv. Trong tnrerng hqp Nghi Quyet th8ng qua bang hinh thirc lay y kien bang van ban, Nghi guy& dugc thong qua Mu dugc 75% (bay lam phan tram) tang menh gia TM; Phieu chap thuan.

IV. MIX DICH CHAO BAN; KE HOACH VA CAC CAM KET

1. M VC Dial CHAO BAN

PSI huy dOng von thong qua phat FILM Trai Phieu rieng le yea mut dich de* tang quy mo An hog

clang phut Iry cho host clang kink' doanh.

2. ICE ROACH Sti DVNG TIEN THU DTJVC TUJ• DOT PHAT HANH VA THANH

TOAN GOC LAI

Toan ba so ti6n thu dugc tir viac Oat hanh Trai Phieu se duce sir dung de tang quy mo von hoat

clang phut vu cho hoat clang kinh doanh.

3. CAC CAM KET

Thin ttr thanh roan

i. Tai moi died diem sau khi dugc phat hanh, Trai Phieu xac lap nghia vu tra nq Ulm ti6p, khong the chuyen dei thanh ce phiau, khong co tai san dam Wm. Cac Tit Phieu pith hanh cimg dqt co thir to thanh loan uu den ngang nhau, voi tat ca cac khoan nq khac cua T6 Chile Phat Ranh, trir cac khoan nq uu lien. Khong Trai Phieu nao c6 quyen uu den thanh toan hon Trai Phieu kia td ly do uu lien ve ngay phat hanh hoac ve d6ng tien thanh loan hoac cac ly do khac bit kt va dugc uu flan thanh toin tru6c cac nghia vu khac dm T6 Chdc Phat HAIM khi xir ly tai san bao dam theo quy dinh cua phap lust Via Nam ve giao dich bao dam.

ii. Dap Ung dieu kien phat hank Trai Phieu va quy climb khac co lien quan trong boat clang clia T6 Chirc Phat Hark

Cam kett khac

(1) T6 Chirc Pbat Hanh cam ket sir dung von dimg !nue dich neu tai phan Sir Dung Tien Thu Dago trong Ban COng 136 Thong Tin;

(ii) T6 Chirc Phat Hank' darn bao va tao moi dieu kien tot nhat co the de Ngueri S8 Him Trai Phieu c6 quyen giam sat va y8u c&u T6 Chirc Phat Hand there hien cac earn kat ve phat hanh va thanh town Trai Phieu.

(iii)Thtrc hien dung ke hoach va phuang an phat hanh, chi sfr dung tien thu duce tt phat hanh Trai Phieu vio dung ratio dich sir dung se tien thu duct da dugc nett trong Ban Cong Be Thong Tin nay.

(iv) Cam kat dam bao thuc hien dUng phucrng an tra nq g6c va lai Trai Phieu.

33

BAN LONG sd THONG TIN

(v) Mua lai Trai Phieu truck Ngay Dao Hon theo you cAu ctia Ngtreri Ser FICru Trai Phieu trong truang hop phat sinh cac Su Kien Vi Pham dm T8 Chit° Phat Hanh (theo quy djnh ve Sty Kien Vi Phom trong Ban Cong136 ThOng Tin) hoc trong truOng hqp T8 Chterc That Hitnh vi pham quy djnh ve phat himh Trai Phieu doanh nghiep, vi pham phtrong an phat hanh Trai Phieu da duce phe duyet.

(vi) Rao cao thOng tin djnh ky cho Ngueri Sa Hatt Trai Phieu:

■ Bao cao tai chinh thtrong niOn di kiem town caa T6 Chirc Phat t lank se &gm gui cho Nguiri Sa HOu Trai Phieu trong thbi gian 90 (chin muoi ngay) kc tir ngay ket thim mgi nom tai chinh tucmg img. Bao cao tai chinh ban nien dm T6 Chirc Phil Harsh se dtron gui cho Ngueri Su Hem Trai Phial trong thOi &an 60 (sau muoi ngity) ke tir khi ket thim Icy bao cao tuong irng. Ngueri Set HOu Trai Phieu se thin bin sao cac bao cao tai chinh d6 neu cd you

■ Dinh ky 06 (sau) thing met lArt hoic khi c6 you cAu cda Ngtred SO Hint Tral Phieu: T6 Chirc Phat Hanh phai cung cap day du cac ha so, thong tin lien quart den tinh hinh hoot dung san xuat kinh doanh, tinh birth tai chinh, quart trj doanh nghiep, tinh hinh thqc hien cac du an dttu tu, v.v... va tinh hinh sir dung nguen von Trai Phieu cho Ngutd SO hau Trai Phieu neu c6 yeu eau.

• TO Chirc Phat Hanh phid girl bao cao thOng tin djnh ky tod dja chi Nguti SO Hau Trai Phi& (dja chi ding ky trong GiAy ChImg Nhan Quyen So Hatt Trai Phieu).

■ Tao dieu kien cho Ngtried Sa Hau Trai Phieu duqc quyen kiem tra giam sat hoot deng san xu'At kinh doanh, tai chinh cua TO Chu? Phat Hatt; giam sat viec T8 Chile Phat Haab tuan this cac cam ket ve phat hanh va thanh toan Triti Phieu, bao gem ca viec gilun sat TO Chu° Phat Hanh sir dung tien thu tir phat hanh Trai Phieu theo thing mix dich phit Muth neu trong phuong an phat birth Trai Phieu va cam ket v6i NM Diu Tit (Ngtrid SO Him Trai Phieu) theo quy djnh trong Ban COng B6 Th8ng Tin va Hqp dOng mua ban Trai Phieu.

34


V. CAC RU! RO CO THE XAY RA CHO DOT PHAT HANH

amg ty C6 Oat' Chimg Ichotin Diu Ichi (PSI) xin hru 9 cac nhl dau to ve cac nhan t6 rai ro ca the anh huong tea ket qui kinh doanh, qua da ath huong tryc trap toi ;chi nang tra gee va lAi Trai Mien cita Cong ty. CO the c6 nhang van de vi ratting rui ro khac ma hien C8ng ty !thong biet den boat cho la khOng quan tong, ding co the gay firth huong hat lqi den khoan dau to Trai Phieu.

1. RU1 R() VE K1NH Tit

Rini ro ye kinh to la met loci raj ro he thong ea It Ong true tiep va gian Op den heat *g sin xuat

kinh doanh caa tat ca cac death nghiep host Ong trong nen kinh to (the doanh nghiep dau khl, dien,

than va ke a cac c8ng ty chimg Ichoin).

Theo bao cao cap nhat Trien vong Kinh to me glad do Quy Tian to (lac to (IMF) ngay 24/06/2020

cho they tang trutmg kinh te toan cau nam 2020 wit giam 4,9% do anh huong vo ding nghiem tong

city dich viem ph& do virus corona (COVID-19) gay ra. NhOng nen kinh to 16n rim My, Nhat Ban,

Cong Ong chung chau Au dang mat via firth trang suy thoai kinh to sau, tei * ;that trong nhitu

thap ky qua; thucmg mai toan au tiep ttc suy giam, chuOi cung (mg bj gian doan, gia den the, giam mph do nhu eau sir dung hen che; that nghiep tang cao. Cimg voi do, chi& tranh thirong mai My -

Trung van tiep dien, tang thing chinh tri gia tang gifra My - Iran, bit Ong not bo trong t6 chirc cac

mem xuat khan ditu m6 vi ten ban dao Trieu lien da tic deng tieu ctrc den kinh to Viet Nam.

Trong nude, ben canh nhCmg thuan lcd lir kat qua tang truang tfch cue nam 2019, kinh ti vi m8 en

dinh nhung phai d61 mat v6i rat nhieu khO khan, thach that. Djch Covid-19 &En lien phCrc tap, kho luting lam tang trueng o hau het cac nganh, 11th vtrc cham lei; ty le that nghiep, thieu viec lam tang cao. Ben canh do, hen ban, xam nhap man dign ra som ant huemg den riling suet NI sari hrong cay treing, djch to lqn chau Phi chua dupe Icheng che hoin toan. Theo bao cao caa T6ng eye Thong ke, Tong sin pham trong nuem (GDP) quY11/2020 roc tinh tang 0,36% so ved ding ky nam trade, la mire tang thip that caa quY II cac nam trong giai dean 2011-2020, qu9 0/2020 chju ant huang pang rte 'that cue dich Covid-19 khi Chink phi chi dad thyv hien math me cac giai phip nham gian each xa hei. GDP 6 thing din 'tam 2020 tang 1,81%,1a mac tang thtip that dm 6 thing cac aim trong

giai Oita 2011-2020, trong do khu we ding, lam nghiep va they sari tang 1,19%, clang gOp 11,89% vao misc tang trueng chung; khu vuc ding nghiep va xay dung tang 2,98%, d6ng gap 73,14%; khu

Arc djch vu tang 0,57%, Ong gop 14,97%.

Ve then vong tang truemg kinh g caa Viet Nam nam 2020, cac chuyen gia cho fang, co nhtmg yeu g co the h6 trq cho tang truang trong phan con lai ala nam, bao gem ky Arcing ye then \Tong kinh to

do viec hoan tat ky ket Hiep ditch Thucmg mai ty do (EVFTA) va Hiep djnh Bao he dau to gifia Viet Nam va EU (EVIPA) dem IS; den de giE nem va thi tong cac dy an dau to ding tong diem. Ben

canh 46, chi phi nguyen nhien vet lieu duqc duy tri a mire thap do suy giam nhu cau tieu thy vi san xuat; lan sting djch chuyen dau to nharn phin tan rai ro tir tang thAng throng mai my - Trung va tan

&sing cac in dal diu to tai Viet Nam; mei twang vi me en dinh, lam phat kicrn soit es mitt trung

birth, v.v... Tuy titian, nen kinh to van con dem an nhieu riti ro not tai nhtr mat can del tai khaa Lon,

35

BAN CONG BO HIONG TIN

toe dg va mot de din ttr phat trien, disc biet la ha tang, bj chin lei; stir khae he thong ngan hang - tii chinh tuy din duce Gang co nhtmg con de' ten throng; sir phr thuec Ming ne dm tang truing vao khu Arc FDI va thieu to chit tong nghe va nguyen lieu; chit luong lao Ong thap; hieu qua din to tong thap va tinh trang nhang nhiCu caa be may ding quyen con nen ne; nen trinh CO phin hOa dm doanh nghiep nha nuerc bi ngung tre, Mei twang va the the kinh doanh chat lugng con thap. Trong giai down teri, de khk phut hiu qua do dich COVID-19 gay ra, dam bao On dinh kinh te vi m6, Chinh phti se ap chpg car chinh sach tai Ichea, chinh sach tien tg phu hop. Gang vier kinh doanh, tinh hinh tai chinh, ket qua host dung kinh doanh va then yr:mg caa cluing tOi c6 the bj anh luremg bit Iqi tfr nhtmg thay dui chinh sach do.

Lai suit

Lai mat la met yeu te tit nhay cam dad veri nen kinh te, anh huerng trvc dap den tiet kiem, vi dau ar, sin xuet kinh doanh tha cit doanh nghiep not chung va car doanh nghiep kinh doanh trong linh vvc thing khoan net rieng, cOng nhu tic nha dau to Chang Ichotm.

Rtii ro lei suit &Si voi cong ty chinh la tureing hgp gilt ca chime khoin thay del do lei suet thi truong dao Ong that thuong. Gift lei suit thi throne vi gil ca chimg khoan co moi quan he ty le nghich. Khi lei suit thi truortg tang, nha dau to co xu huOng ban chfrng Ichofin de lay tien girl vito ngfin hang

clAn den gia chung khoan giam va nguqc lei.

Ngoai he qua tnic tiep dui yen gia chung !chain, lei suit can anh huemg gian tiep den gia co phieu thuerng. Khi lei suet tang lam gia CO phieu giant vi ck nha dau co vay mua ky quy se 1;4 la haat' tg.

Nhieu ding ty kinh doanh thing khoan host dung chit yeu bang yen di vay thi yeti mac Ili suet tang can& lam cho chi phi von tang.

Nam 2020 la nam thi trubng tai chinh quee to tiep tuc c6 nhieu bien Ong theo huerng khOng thuan kri do kb hiking cue tinh hinh djch benh, ap km buy dung von trai phieu Chinh pith tiep tuc tang cao va nhu du tin dung run dai hen gia tang thi ap Ivc len mat bang lei sat la rat len. Ben canh de, Gang do tic dung dui djch benh, nil ro lien quan den hour dOng kinh doanh cite car doanh nghiep, dac biet nhOm rmarth lien quan den bat dung sin, gia tang, khien Jai suet phat himh trai phieu, lei suet di vay trung va dai hart c6 xu htrong tang.

Lam phat

Lam phat la met trong nhang yeti to kith te vi m8 quan trnng, c6 mei quan he mat thiet veri str On (firth viz phat trien eta nen kinh tie. Nen kinh te pith then throng di deli ved lam phat. Tuy nhien, lam phat cao 10 a nguy co gay bit on dui veri stir phat then kinh te, xi hut, do der tic dung rat lieu

eve den thi truerng chimg khoan vi tic doanh nghiep hoot dung trong ltnh Arc chimg khoan. Lam

phat ming la mot loci rill ro he thing, do de VLIQI ngoai pham vi dieu chinh cria doanh nghiep.

Theo 'Icing cvc thong Ice, Chi se CPI binh quan 6 thing din nam 2020 tang 4,19% so veri ming Icy, cao nhat trong wing 5 nam qua. Cu the, tot de tang CPI blnh pan 6 thing diu nam so yeti rung k5' atm track tic nam 2016-2020 Ian Itrot la: 1,72%; 4,15%; 3,29%; 2,64% va 4,19%. Chi

36

131‘N (TONG BO THONG TIN

s6 CPI tang chn yeu la do gia 'tang dau tang cao 3 dgt lien tiep sau chuoi giam keo dai ke t* Tat Nguyen dan, trong khi de, gia thit lgn cling lai tiep tue tang tong nharig ngay dau than Sau, anti hue/1g tai CPI chung c»a ea nutv.

De giam thi'eu tac dung caa rni ro lam phat Mnd hoat Ong kinh doanh, PSI Juan tang cuOng he thing quan tri rai ro va chit tong ding tic du bao kinh to vi ma vi thi trutmg chimg khoan.

gia

Cong ty Cluing Ichoin Dau kill it bi tae dOng true tiep tir so hien Tong ti gia. Tuy nhien, hoax &Ong kinh doanh c6 the bi aah htrang a mOt mire do nhat dinh thong qua su tae ding den thi twang thong khoan.

Dien Min dm ty gia bed doii trong filet gian gin day

USD/VND Cy gii NNW 24200 — — —Trin ry Sid —'r}' gia ming tam

23000 ......

23600

23300

23000

22700 072010 082019 10/2010 122019 02/2020 04/2020 06/2020

Ngudn: Bloomberg, NUNN, BVSC tang hop

Ti gia hai dold tae &jug clang ke den nen kinh to va thi trtemg chimg khoan thong qua tic dOng 01 cac doanh nghiep xuat nhap khau, can can thanh town va su di chuyen cila the nguen vein dau ttr. Theo ca the quan ly hien tai, ti gia phin Einh quan he sung au gifta cac don vi tien to Ale nhau va dat du6i su pan 1y, dieu tiet tha Nha nuOc. Nhiem vo tong tic quart ly ti gia la bao darn su fin dinh tien to va ti gia, phut vu su nghiep phat then kinh to xa hOi.

2. ROI RO LIEN QUAN DEN DOT PHAT HANH

Rui ro eita dot chio bin

PSI thuc hien dot chit° bEin Trai Phieu trong thtri diem nen kinh to ding nhu thi truang eking khoan Viet Nam dang trong giai doan hOi phut, nen kinh to vi me da xuat hien nhieu tin hieu lcha

quan. Nhi-mg bieu hien tich cue tir nen kinh to se la ca so de cite nha deli to chuyen nghiep chit tang hon tai Trai Phieu ctia doanh nghiep.

Do vay, viec chao ban thanh ding Trai Phieu etla Cong ty dugc danh gii lit kha quan va gap it rdi

ro.

37

BAN CONG BO THONG 11N

Rai ro thanh town

MSc da PSI da than tong trong viec lap ke hoach kinh doanh, nhung cling co nhieu tae Ong khOng the du doan duce do the lam anh hthang dan &mg tien eta doanh nghiep va thOng qua 46 anti huong den khanang thanh town lai va g6c Trai Phieu mla the do phat himh.

Tinh thanh khofin eaa thi trtamg thfr cap

PSI Ichong co ka hoach niem yet Trai Phieu cua dqt phat hank Hang le dqt 2 nazi.' 2020 tren the Ser giao dich chang khoan. Do do, tinh thanh khoan caa Triti Phieu co the khang cao.

3. RUI RO LUE:iT PHAP

PSI hogt ding trong anh we chfrng both; met Iinh wc nhieu nhay cam, co inh huang den (led song kinh to xa hei. Float deng caa. cOng ty chfrng khoan bi dieu chinh trot ti6p bad he thOng cac van ban phap lust cua Quee hei, Chinh phis, Be Tai chinh, cac Be nganh va the ca quan ohm nang lien quan. Do eliding Idiot' la met link we con Idia mai me a Via Nam nen he thong lust con dang duce, thay doi, b6 sung va hoan thien. MSc dit Nha nubs da ban hank vi fip dung mot so chinh sash bit led cho hog ding kinh doanh nhu chink sach thue thu nhap cthi vai hog deng dau tu, nhung thi trutmg chimg khoan van khOng gitim di sir hap dan, thanh khoan eta thi trubng van gia tang. Nhin chung, rai ro nay thuang it xay ra vi xu huOng Chung la NM lurk ngay tang ban hanh cac quy Binh Phip lust thong thoing, tao dieu kien thuan igi ham cho the doanh nghiep va

hog Ong kinh doanh.

Ben earth 46, heat Ong caa PSI cling nhu the doanh nghiep Ichic tren thi twang chimg khoan chiu sir chi phoi true ti6p dm he thong phap lust lien quan nhu Luat Doanh nghiep, Luat Chung !chain, Lira Dau tu, Lust Thua.... Do vay, ngoiti rui ro lien quan den str thay cl6i, dieu chink the van ban lust A Firth virc chirng khoan, con tin tai riligng rui ro khac lien quan dan viec thidu that deng be va Tula clan gifts. Luat chimg khan va cac lust lien quan. DE phong chOng rui ro nay, PSI luau co ki phan Phap cha theo d5i, barn sat qua trinh xay dtmg cac van ban Phap lust de don du co hOi va phong tranh Intro rui ro.

Ngoai rai ro phap Ur A lust phap not chung, trong hog deng eta cac tong ty chimg khoan con c6 loci rai ro phap 19 phat sinh tir sty xung det A quyM va igi ich gift C6ng ty va cac doi tie hay Ichach hang c6 the gay nhirmg bat led cho Cong ty. De phong trait raj ro, tong ty Co phan Chfrng khoan Den khi luon co thai de ton trong va chap hank Phap luat met each nghiem tae. Cong ty co the chuyen gia phap 1y giOi, giau kinh nghiem trg gitip cho Ban Lath dao Cengty va cac be phan, phOng ban dm Cong ty hogt Ong theo dung cac quy dinh caa phap 141, than go nhang Ich6 khan ve phap 19 co the thy ra trong qua trinh hog Ong. VI nhung 19 do do, ang ty co the Sat spit, hart the toi da dirge log rai ro nay.

4. RHI RO 1)4C Tilt

Rai ro NgnOn nhan lye

Trong Iinh wc kinh doanh chima khoan, nhan th con ngutti c6 vai tro quyet dinh. Do 46, nguan nhan

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Ivc cling la Met yeu to canh troth kha math. Trong dieu kien canh tranh khit gay gal ye nhan str tong nganh climg Ichoin, PSI van darn bao sv an dinh va phat trien nguen nhan luc ce chat luring cao, tinh than down ket, gat b6 vai C6ng ty, va dap ang yeu oau hoat tang kith doanh ngity tang phat then.

PSI luon huong den the de dai ng6 dua ten gia tri ma del nga nhan vien PSI tao ra ding cot ser hai hoa veri loi ich cita tong ty va quy dinh caa nha nuac Viet Nam. Cho' de nay the hien sv ten tong caa PSI del vai rnOi than vien, dkn bao nhan vien c6 the an tam tap trung phat trien sir nghiep tai PSI de tiep tut tao ra va chin se nhang gia tri mei.

Ngoai ra PSI cling chu tong tai viec dim tao ',ham xay dung nguen nhttn lye co nen tang kien thirc yang yang. Tong nam 2020, PSI da tap trung day math cat Ichea diva tao ye cat ngitiep vu Chimg Ichoan giap niing cao chat lugng than str toan tong ty. Ngoai cat Idtha dao tao phei hop yeti Trung tam dio tao tha US' ban Chang Ichoan Nha nu& to claim cat lap dio tao chimg chi hanh nghe, PSI can to chfrc cat buei dao tao nen be trao dei ve kien thirc, kinh nghiem, hieu biet vai the san phlitn, dich ru dang sung cap, kien thac nganh, cat that' 461 lien quart den khung phap ly, mei traang kinh doanh, hoat deng kinh doanh Chung khoan tai Viet Nam va ki niing trong tong viec.

Riii TO ve Canh tranh

Canh tranh la quy lust tat yeu trong nen kinh thi trutmg, lubn tan tai trong bat dr mei trtrang hoat dOng kinh doanh nao. Cuac canh tranh gianh thi phan cua de Ong ty Chung lchoan tai thi truang Via Nam dang din ra kha gay gat, cu the:

• Cuec canh tranh ve giam mite phi dich vu Whamthu but khach hang, giluth thi phan;

• Canh tranh chiem lath dia ban kinh doanh thuan Igi;

• Canh tranh ve viec dau tu, trang bi Gong Tighe thong tin hien dai;

• Cart tranh tong viec sang tao ra cat sat pheun, dich vu mot hap dan cac nha dau

tu;

Canh tranh nhan sv co chat Itrong cao...

5. Rill RO KHAC

MOt se rai ro Ichic mang tinh bat kha khang tuy it co kha nang xay ra nhung neu c6 thi se tat dang 16n den tinh hinh kinh doanh cua aing ty, do la nhang rui ro ye dang dat, haa hoan, han hi; bao chien tranh hay dich benh hiem nghto vs...

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"DANH MVC CAC Au TO ROI RO NEU TREN KHONG PHAI Lk BANG LIFT ICE HAY GUI TH(CH DAY DU VE CAC Rill RO LIEN QUAN DEN DAU TO VAO TRAI PHIEU CUA CONG TY CO PHAN CH-ONG KHOAN DAU KW.

NHA DAU TU. MUA TRAI PHIEU Tlr DANH GIA MCC Do ROI RO TRONG VIEC DAU TRAI PHIEU, HAN CHE VE CIAO INCH TRAI PLUM; DUQC DAU TO VA

CHIU TRACH NHIE1VI VE QUYET DINH DAU Tus CUA MINH.

CONG TY KHANG DINH RANG NEU XAY RA BAT Kt SI/ KIEN VI PHAM NAO (VI PHAM MOT TRONG CAC CAM KET HOAC DE XAY RA BAT Kt SO' KEEN NAO TRONG DIEU KIEN VI PHAM TAI CAC DIEU KHOAN VA DIEU KIEN CUA TRAI PHIEU), CONG TY CO PHAN ofirNG KIIOAN DAU KIII - Vol TU. CACH LA TO CHCC PHAT HANH - SE KHONG VIEN DAN CAC NHAN TO Rif RO NEU TREN DE LAN TRANH VIEC TUAN THU NGHTA VC VA THIX HIEN TRACH NHIEM CUA CONG TY THEO CAC DIEU KHOAN DIEU KIEN THAI PHIEU Doc BAN HANH

TAI BAN CONG BO THONG TIN NAY."

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BAN LONG BO THONG TIN 1

'W. DOl TAC LIEN QUAN DEN DQT PHAT HANH

T6 CHIYC PHAT HANH

CONG TY C S PHAN CHONG KHOAN DAU KHI

Tru sa chinh : [tins 2, Oa nha Ha Noi Tourist, s6 18 LS, Thuang K*, phubng Phan Chu Trinh,

quart Hoan Mem, HA Nei

Dien thoai : (024) 3934 3888

Fax: (024) 3934 3999

Website www.psi.vn

TO CHtt KIEM TOAN (tir 1/1/2017)

CONG TY TNHH HANG KIEM TOAN AASC

Tra so chinh : s6 I, Le Phung Hieu, phubng Trang Tien, quttn Holm Kiem, HA Nei

Dien thoai : (024) 3824 1990 Fax: (024) 3825 3973

Website : www.aasc.com.vn

HSI Li' HANG Kt LIT Kt, QUAN LY CHUYEN NIIUTING VA THANII TOAN

Au 1

Try so chinh : Tang 2, tea nha Ha Noi Tourist, s6 18 LS, Thubng Kiet, phubng Phan Chu Trinh,

quart Haan Kitm, Ha Nei

Dien thoai : (024) 3934 3888 Fax: (024) 3934 3999

Website : www.psi.vn

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PHI) LIJC

1. BAN SAO IIQP LC, GUY CHUNG NHAN DANG KY KINH DOANH 2. BAN SAO HOP LC DIEU LC CONG TV 3. BAO cAo TA! CHINH DA KIEM TOAN NAM 2017, 2018, 2019, BAO CAO TAI

CHiNH SOAT xEr 6 'MANG NAM 2020 4. CAC TAI Lila; KIIAC CO LIEN QUAN

'Vey 12 thing 08 nom 2020

DAl DIN TO clittc PRAT HANH

CON ' OR

PHAN CHUNG KHOAN DAU

HOI DONG QUAN TB! CONG TY ":CN C6 41AV

tiOA 101

ite 1--tc.`?"‘ GUYEN ANH TURN

PHO GIAM DOC rukr TRACH

NGUYtN XUAN HUNG

KE TOAN TRUONG

VU THI TRA MY

TRUONG BAN KIEM SOAT

NGUYEN VAN NIUSM

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