QĐ BAN HANH QUY CHE

CONG TY c6 PHAN TM & DT CONG HOA VI NA TA BA $ Doc lap >v< HOI cHiI NGHIA VIET NAM - TE - Hanh phric (6aE) SiJS'/QD-HDQT VNTB QUYETDINH V/v Ban hinh Quy cha ttdu tu tdi chinh cria Cong ty c6 phin thuong m4i vi at6u tu VI NA TA BA HOI DdNG QUAN TRI CONG TY c6 PHAN TM VA DAU TII VI NA TA BA Cdn cu Luat doanh nghiCp s6 68/2014/QI-I13 c6 hi6u luc rhi hdntr tu ngAy 01 rhAng 07 nAm 2015: lin dAu ngdy 07 tl'fng 06 ndm 2007 va rnal thdng 02 nam 2014; tri uyet sd 03/NQ-VNTB ngdy 29 thilng 03 ndm 2017 cta LI6i dong Quan thuong mai vd diu tu VI TA BA; C J\ Cdn cu Diiu lq Cong ry co plrin rhu,Jng mai vA dAu ru hai c6 hidu ltrc tu ngdy 01 thdng 07 ndm 2015; Vt NA 'tn Dn sria di,i lan lhu QUYfT DINH: Diiu l Nay ban hdnh kdm theo quy6t dinh ndy Quy ch6 c6 phAn thuong mai vd diu Lu diu Lu lAi chinh ctra C6ng ry VI NA TA BA Di6u Quy6t dinh ndy c6 hi6u luc k6 tii ngdy k1i Didu Tiiiu Ban Ddu tu thuQc LIEQI, Ban ciem d6c, Truong phdng Nhdn su Hdnh chinh, Tnrong phdng Tdi chinh - Ki toan :l'rlrong cAc don vi, Chi nhdnh Hi N6i vu\ todn thd CBCNV C6ng ty chiu trech nhi6m thi hdnh quy6t dinh nAy / oNc quAN - Nhu dieu i; , ]IDQT,BKS; - Luu: V'l c6No 7y CO PHi BUCt0 tllIvA guycn r rlca r cTY CP THTJONG MAr & DAU VI NA TA BA fll xA HQI cHiI NGHiA VIET NAM DQc lAp - Tq - H?nh phric CQNG HoA >v< Crgae) euY cHf DAU rrlrAr cniNn CONG TY CO PHAN THT'dNG MAI vA DAU (Ban hdnh kdm theo Quy€t dinh sii3.8 cia C6ng ty cd phdn Thtrong TUVI NA TA BA /QE-VNIB ng nai vit Ddu ru /! NA thangz?.adm 2017 TA BA) CHIiONG I: NHt/Nc QUY DINH CHUNG Di6u - ThUc hidn Lh6ng nhrit vifc qudn llj'hoat d6ng diu tu rdi chinh tbao gdm dy thric tu vd dau tu chr?ng kho6n, M&A, cdc hinh thuc driu rrr tAi chinh theo quy dinh phdp luat) cia C6ng ty Mgc ttich d c u a Dam bAo c6c hoat ddng ddu tu tdi chinh vd ciic hoat dQng li6n quan duoc ti6n hdnh ch6 ndy cfrng nhu c6c quy dinh n6i b6 khdc cda Cdng ry phi hqp vdi quy dinh cria ph6p luQt, quy djnh cta quy Diiu Pham vi vd d6i tuong dp dung Quy cht! ddu tu ndy rlp.dung cho todn b6 hoat d6ng ddu tu tdi chinh cria C6ng ty cii ph6n Thuong mai vd Dau tu VI NA TA BA Didu Tii liQu tham ctritiu vi c6c tir vidt tit 3.1 Tdi li€u tham chi6u - Lu{tchung kho6n s6 70l2006/QHll ngity 29/06/2006 vd Ludt sria d6i, b6 sung m6t s6 didu cda Ludr Chring khodn s6 LuAt doanh nghi€p s6 OZIZO t aa/zoru/qnn OlqH tZ ngiry ngiLy 24 | /2010 26/tt/2014 Th6ng tu s6 2C3/2O15TT-BTC Ilgiry 2t/12/20t5 cta giao dich ren Thi tnrong Chring kho6n 86 Tdi chinh vd Hudng din Ng: i quyA s6 I0jN.Q_VNTB ngdy 22/06/201 cta HQi d6ng qu6n trj C6rg ty c6 ph6n Thuong mai vd Ddu tu VI NA TA BA vigc thdnh lap TiCu Ban dau tu Tdi Chinh v - C6c vdn ban phep luat c6 liCn quan 3.2 C6c tir viet - VTi HEQT tlt : C6ng ty c6 phdn Thuong m4i vd Edu tu VI NA TA BA : HQi cl6ng quan Ouy chd DAu tu ?Ai chinh l/TJ tri cria VTJ Page BDTTC DMDT :Tiiiu Ban ttAu tu Tdi Chinh duqc thdnh l6p bdi HQi ddng Quen hi :Danh mgc ddu hr Cd phidu OTC :Cd phidu cria c6c cdng kloen t4p trung M&A : ty chua ni6m yet tr6n Sd giao dich chitng Hoat dQng mua b6n, s6p nhfp doanh nghi6p Cdp c6 th6m.quydn: Bao gdm c6c c6p HEQT, BDTTC, Ban Gi6m dtic vit clc cdp duqc riy quy€n c6 th6m quy€n quy6t r inh vi€c dau tu cdn cri vdo phan cap tham quy6n tring thdi kj' 3.3 Giei thfch tu ngt - "Diu tu tdi chinh": li ho4t dgng mang v6n chu sq hiru cia VTJ horic ngudn v6n khdc phi hqp vrii quy tljnh ph6p luit d€ ti6n hdnh hoat d6ng ty thtic/ d6u tu, g6p vdn, mua cdc lo4i chring kho6n - "Chung khodn": lir bing.chung x6c nhin quy6n vd lqi ich hqp ph6p cia ngudi sd htu d6i vdi tdi sdn ho{c phdn v6n cria t6 chtlc ph5t hdnh Chimg kho6n dugc th6 hiQn duoi hinh thtc chfng chi, brit to6n ghi s6 ho{c dii liQu diQn tt, bao g6m cdc lo4i sau dav: - Cd phidu, tnii phi€u chung chi qu!: Quydn mua co phan chr?ng quydn quydn chon mua quydn chon ban hqp ddng tuong lai, nh6m chL?ng khodn hoac chi s6 chung khoen; Hgp dong gop von dau lu: Cric loai chimg khoi4n kh6c theo quy dinh cria ph6p luQt "Danh muc dAu tu": ld chrlng khorin ctla doanh nghiQp tluqc C6ng ty lua chon ddu hr' "Han mric dAu tu": gi6 tri viSn duqc phan b6 cho danh muc ddu tu "Ddu tu riy th6c chi dinh": Id ho4t dQng diu tu th6ng qua hop d6ng uy th6c d6 VTJ giao viin bing tidn honc tdi sdn h p ph6p kh6c cua VTJ cho b€n nhin 0y th6c d6 b€n nh@n riy th6c thay mat VTJ thrrc hi€n hoat dong d6u tu theo chi dinh cria d4i diQn md VTJ dE xu6t "Ddu tu tryc titip": ld hoqt dQng dAu tu tdi chinh doVTJ tryc tiilp ti6n hanh, khdng th6ng qua b6t cri ben trung gian ho|c b6n nhQn riy th6c ndo kh6c - "BDTTC": ld b0 phdn dusc thdnh l6p bdi HDQT gdm it nhit 03 tba) thdnh vi6n trd ldn vdL c6 cbtc ndng thgc hiQn cric phuong en dau tu hong ph4m vi th6m quydn dugc phAn c5p BDTTCloat dong tlen co sd minh b?ch, dAn cht Quyiit dinh dau tu se dugc thqc hi€n c6 EEn.5Uo/o t! l€,bi6u quy€1 cia c6c thdtth vi6n cia Ti6u BDTTC Hinh thric xin i ki6n bi€u quy€t c6 the bang vdn b6n, Email, ho4c cdc hinh thric hgp nh6n khdc Trudng BDTTC ld ngudi c6 tr6ch nli6m thi hdnh cdc quyet dinh dau tu theo su ph€ duyet cta BDTTC "Tho6i viin": ld viQc b6n mQt phin hay todn diu nr t4i cdng ty nh6n iy thric diu tu ()uy che Dau It Ial cnlnn v lJ bO khodn ddu tu ho{c rut von Liy thric Page - "lhC duy€t dAu tu": ld viQc m quyitt dinh ph4m vi thdm quyin duoc phdn cip vd vi€c ddu tu m6i, dAu tu tEng th€m, tho6i v6n vd c6c n6i dung khric li6n quan diin hoat d6ng dAu tu .,'' hdnh": '; chric ' 'ld t6 ', thyc hi€n ph6t hdnh chung khodn "T6 chric phrit - "Viin chn sd hiiu": ld phdn ngu6n ,rdn duoc thi hien hen bdo crio tdi hinh g6n nh6t oia doanh nghi€p chri doanh nghiep vii c6c nhd dau tu g6p v6n hoa hinh thdnh tir Ket oua Krnn doann - V6n chi so hiu bao g6m: v6n kinh doanh (von gop vd loi nhuiin chua chia), ch€nh lech drinh gi6 l4i tdi san, c c qu! ctia doanh ngbi€p nhu: quy phdt trien, quy du tni, quy khen thudng phric loi Ngodi v6n chri sd hiru g6m vOn diu hr xay dqng co brin vd kinh phi su nghi p (kinh phi ngdn sdch Nha nuoc cap ph6t kh6ng hodn lai ) Didu Nguy6n tic ddu tu thi cdc nguydn tac sau dAy d6ng ddu tu duo c thgc hi6n t€n quan di€m tim ki6m ciic co hdi diu tu Cdc hoqt ddng d6u tu cia VTJ phdi rudn 4.1 AnJoan: Lloat chic chin dd bio toan v6n vd giii tri danh muc ld uu ti6n hdng ddu 4-2 HiAu qud danh muc; Ddm b6o hidu qud diu tLr theo muc tieu loi nhuan tirng thdi kj', cric mi ro dugc ki€m soiit, phi hqp voi ch siich dau tu hdng nAm at 4.3 Minh bach: JC hoat ddng ddu nr cin ddm bdo d6y.dn vd rd rdng vd thong tin, tao dugc sU tin tu6ng v6i c6 d6ng, d6i tdc Hoat d6ng dau tu phdr t6ch bi6t, kh6ng xung d6t loi ich vdi cdc hoqt ddng kinh doanh khdc cta C6ng ty CAc ,l ,}l quyOn phe duyet vd quy dinh cua VTJ timg thdi nghiQp Didu C6c loai hinh ttAu - Theo hinh thuc ddu ki, tu6n thi quy t6c vi dao dLic nghe tu u f,au U Lly rnac Cnl Olnn n: udu .-."^ tu U lrL ritrcP Theo thoi h4n diu tu: ngan n?n: Knoan thuc hiCn toiin Ddu nr trung ddi hqn: khodn ddu nr c6 thdi gian ndrn ngdy thuc hion toiin t,au TU OaU tu c6 thdi gian nirn giii dudi 12 th6ng kd tu ngdy gii tir 12 th6ng trd lCn kC tu Cec hinb thr?c ddu tu khric theo quy dinh cia phiip luat Didu CHIJONG II: QUY DJNH Chinh s6ch ttiu tu Vt Chinh sdch ddu tu cria VTJ rong timg thdi Ouv chd Ddu ttt Tdi chinh VTJ CHiNH SACH DAU TU' k/ phdi quy dinh 16 nhtng di€m sau: Page 6.1 Gi