DIEU LE SUA DOI LAN 2

DIEU LE SUA DOI LAN 2 tài liệu, giáo án, bài giảng , luận văn, luận án, đồ án, bài tập lớn về tất cả các lĩnh vực kinh t...

TAP DOAN DAU Kill QUO GIA VItT NAM CONG TY CO PHAN OWING HOAN DAU KHI DIEU Lt TO CHtfC VA HO T ONG CONG TY CO HAN CHUNG KHOAN AU KHi I (PETROVIETNAM SECURITIES INT-STOCK COMPANY) (Sira d i fan t hai) HA NQI, THANG NAM 2009 t o rhirr va hnat elAng 2009 MUC • • iUC CHUONG I : NHONG QUY DINH CHUNG Dieu Dinh nghia Dieu Hinh thirc, ten gQi va tru ser Cong ty, nguei dg ien theo phap luat Dieu Thad han hog dOng ciia ding ty CHUONG II MVC TIED, NGUYEN TAC, PHAM VI OAT DONG VA HAN CHE DOI VOI CONG TY Dieu Cac linh vtrc kinh doanh Dieu Mix tieu hog dOng Dieu Nguyen tac kinh doanh chimg khoan Dieu Pham vi hog d6ng kinh doanh Dieu Quyen han va nghia vu dm ding ty Quyen dm cong ty Nglira vu dm ding ty Dieu Cac quy dinh Ilan che Quy dinh han the doi vori ding ty Quy dinh han the d6i \red T6ng Giam d6c cong ty va ngtroi hanh nghe chirng Ichoan dm , cong tyDieu 10 Cac quy dinh ve lciam soar nei be Dieu 11 Cac quy dinh ye bao mat thong tin Dieu 12 Quy tac dap dirc nghe nghiep VA CO DONG SANG AP COA CONG TY CHU'ONG III VON DIEU Dieu 13 V6n dieu le Dieu 14 Cach thirc tang, giam von dieu le Dieu 15 Co dong sang lap cila cong ty, Dieu 16 Han the deli voi quyen dm co dong sang lap Dieu 17 Ca cau g6p von , Dieu 18 S6 dang IcS7 co &mg Dieu 19 Quyen va nghia vu dm co dong ph6 thong Quyen dm co 'Jong Nghia vu dm co &rig Dieu 20 CO phieu, c6 ph'an, phat hanh c6 phiau oh Co g ty Hinh thirc co phiau• Phat hanh co phieu, Dieu 21 Chuyen nhuoTig coO phan Dieu 22 Mua Lai co phan Mua lai theo yeu eau cila c6 &ling Mua lai theo quyat dinh dm cong ty Dieu 23 Thu hoi co phan Dieu 24 Dieu kien town co phan dugs mua lai •A Di eu 25 Phat hanh trai phieu CHUONG IV : CO CAU TO CHOC VA QUAN LY ONG TY Dieu 26 Co cAu te) ,chirc,Cong ty Dieu 27 DO hOi dong CO &rig Dg hei dong CO &mg Quyen va nhiem vu cua Dai h6i dos lig co Tong a Ditu 14 t6 chirc va hog ging 2009 N 6 7 8 8 9 9 10 10 10 11 11 11 12 12 12 12 13 13 13 13 13 15 15 15 15 16 16 16 16 17 17 17 18 18 18 18 19 , , Trieu tap hop Dai hOi dong co dong 20 Chucmg trinh va not dung hop Dail* dong co Ong 21 Dieu kien tien hanh hop Dai 1145i citing co &mg 21 , quyen , Cac dai dien ducyc 22 a The thirc tien hanh hop va bieu quyet tai Dai h i d6ng c6 dOng 23 Thong qua quyet dinh cua Dai heti dOng co don Tham quyen va the thirc lay y kien co (long ba g van ban de thong qua quyet dinh dm Dai 24 hOi dong co (long 25 10 Bien ban hop Dai Ili)i diing co dong 26 , 11 Yeu c'au hily bo quyet dinh dm Dai hOi dong • dong 26 Dieu 28 HOi &mg quan tr.! 26 fliii dOng quan tri 26 Thanh phan, nhiem kS, va so luyng vien of dtmg quan tri 27 Quyen han va nhiem vu dm HOi &Ong quan tri 28 Chu tich Hi5i &mg quan tri 28 , Culic hop HOi (long quan tri va lien ban cuOc Q 31 Dieu 29 Tong Giam doc 31 Tong Giam diic dieu hanh 31 Quyen va nhiem vu cila 'Ring Giam d6c 32 Tieu chuan va dieu hen lam Ttmg Giam d6c 32 , Mien nhiem, bai nhiem Tong Giam doe 32 Dieu 30 Thu ky cong ty 33 Dieu 31 Thu lao, tien luong va loi ich khac oh nguad uan 1ST cong ty 33 Dieu 32 Ban Kiem soat , 33 Thanh vien Ban kiem,soat 34 Nhiem vu oh Ban kiem soat CHUONG V NGHIA V!J CUA NGUOI QUAN I_ST C ',NG TY VA THANH VIEN BAN KIEM 35 SOAT Dieu 33 Trach nhiem can tong oh Thanh vien Hiii g quan tri, Tong giam doc dieu hanh va 35 can bi) quan lY Dieu 34 Trach nhiem trung thut va tranh cac xung d8 ye quyen loi dm nguai quan ly ding ty va 35 vien Ban Kiem soat 36 Dieu 35 Trach nhiem ve thiet hai va boi thueng 37 Dieu 36 Quyen diet' tra so sach va ho so 37 Dieu 37 Cong nhan vien va cong doan 38 CHVONG VI PHAN CHIA LOI NHUAN 38 Dieu 38 Co tirc CHU'ONG VII TAI KHOAN NGAN HANG, QU'Y' D TRU, NAM TAI CHINH VA HE 39 THONG KE TOAN 39 Dieu 39 Tai khoan ngan hang , 39 Dieu 40 Quy du trir bo sung von dieu le 39 Dieu 41 Nam tai khoa 39 Dieu 42 He th6ng ke toan CHUONG VIII BAO CAO THUONG NIEN, TRACT NHIEM CONG BO THONG TIN, 40 THONG BAO RA CONG CHUNG, KIEM TOAN, C( N DAU COA CONG TY 40 Dieu 43 Bao cao hang nam, sau thang va hang quY 40 Dieu 44 Cong bo thong tin va th6ng bao cong chun 40 Dieu 45 Kiem toan 41 Dieu 46 Con dAu us, Dieu le CO chirc va hoot Ong 2009 66f/ CHUUNG IX CHAM Dtrr HoAT DONG VA THAN:41,1;7 Dieu 47 ChAna dirt hoat di)ng Dieu 48 Timing h9p be tac gifra cac vien HOi dor g quan tri va co &Ong Dieu 49 Gia han hog dOng Dieu 50 Thanh 1y Cong ty CHUONG X GIAI QUYET TRANH CHAP NQI BO Dieu 51 Giai guy& tranh chap not bel CHUONG XI BO SUNG VA SODA DOI DIEU Le DiL 52 136 sung va sira d6i Dieu 1e CHUUNG XII NGAY HIeU WC Dieu 53 Ngay hieu hrc 41 41 41 42 42 43 43 43 43 44 441 z Dieu le te• chirc va hoot dOng 2009 CQNG HOA XA HQI CHU GHIA VICT NAM Dec lap — Tu — H phfic DIEU LE CONG TY CO PHAN CHUNG KHOAN DAU Kill PHAN MO D U Cong ty co phan chimg khoan D'au dugc lap heo Giay pile]) s6 26/UBCK-GPHDKD Uy ban Chimg khoan Nha nuac cap 19/12/2006 Ban Dieu le sirs dOi Ian thir hai dugc Dsi hei dOng co deng thuong nien Cong ty thong qua 24 thang 04 narn 2009 thay the cho Ban Dieu le da dugc Dsi 110i deng c6 don thuong nie thong qua 29/04/2008 Ban Dieu le dugc xay dung dua ten cac can cir phap 1Sr sau: • Lust Doanh nghiep s6 60/2005/QH11 dugc Qu6c hei nuOc CHXHCN Viet Nam thong qua 12/12/2005 c6 hieu luc thi hanh to 01/0 /2006 va cac van ban huang dan thi hanh Lust Doanh nghiep; • Lust Chirng khoan se 70/2006/QH11 da dugc Quo 29 thang 06 nam 2006 va e6 hieu luc thi hanh HOi nuesc CHXHCN Viet Nam thong qua 01/01/2007; • Nghi dinh s6 14/2007/ND-CP 19 thang 01 n dieu cua Luat Chimg khoan; 2007 quy dinh chi tiet thi hanh met s6 • Quyet dinh s6 27/2007/QD-BTC 24 thang n m 2007 dm Be tai chinh ve viec ban hanh Quy the to chic va host deng cong ty chung khodn; • Quyet dinh s6 15/2007/QD-BTC 19 thang am 2007 ye viec ban hanh Dieu le mau ap citing cho cac Cong ty niem yet ten So giao dich chimg khodn/Trung tam giao dich chirng khodn/3 DiL le t6 chirc va hoot clOng 2009 CHU'ONG I : NHVNG QUY DINH CHUNG Dieu Dinh nghia 1.1 Trir truang hgp cac ditu khoan hodc ngfr canh c' ngft sau day se c6 nghia nhu dugc quy dinh du6i day: "Cling ty" cc') nghia IA Cong ty ce phAn Chung khoan Dieu le quy dinh khac, nhimg thuat au "Dia ban kinh doanh" c6 nghia la lanh the Viet Nam a nu& ngoai "Win dieu le" c6 nghia Id s6 yen ce (Tong goy dug ghi vao Ditu le Cong ty va dugc Uy ban Chimg khoan Nhd ntrac xac nhan tai tUng thoi diem "Lu;at Chun khoan" co nghia Id Luat Chung khoan da dugc Quiic hed mac COng hod Chu nghia Viet Nam thong qua 29 thong 06 nam 06 xa hOi "Ludt Doanh nghiep" co nghia la Luat Doanh nghiep da dugc Qu6c hOi nu& COng hod xa hoi Chu nghia Viet Nam thong qua 29 thong 11 nam 05 "Dieu khoan" co nghia la mot Dieu khoan dm Dieu le Ay "Ngay 14p" c6 nghia la ma Cong ty dugc c p Gidy phep lap va hoat dOng; "Phil) 1u4t" la tat ca nhUng van ban quy pham phap lu t quy dinh tai Dieu - Luat Ban hanh van ban quy pham phap luat dugc ban hanh 12 thang nam 1996 "Ngtroi quan ly Ging ty" co nghia Id Chi!' tich va cac doc, cac Pho Tong giam d8c va Ke toan tru8mg °zing ty anh vien flOi dong quan tit Tong Giam "Nhihig nguiri lien quan" la ca nhan hoc to chirc c6 quan he voi theo quy dinh tai khoan 34 Dieu Luat Chimg khoan "CO dong 16.n" la ce dong sa hau truc tiep hodc gian quyet cua Cong ty p tir 5% tr6 len s6 ce phdn c6 quytn bitu "Viet Nam" co nghia la nuac COng hod Xa hOi Chi! ngh a Viet Nam "UBCKNN" dugc hieu la UST ban Ching khoan Nha nu c "Tip doan" dugc hitt' Id Cong ty me - Tap doan D'au quec gia Vitt Nam 1.2 Trong Ditu le nay, vitc tham chieu tai bdt kS/ die khoan hodc van ban nao se bao g6m ca nhiing sira d6i hoc van ban thay the cua ditu khoan hod van ban dO 1.3 Cac tieu de dugc dua vao chi dt tien theo dOi va ong anh htrang toi y nghia cua Ditu le Cac tir hodc thuat ner da dugc dinh nghia Lu t Doanh nghitp, Lust Chung khoan se c6 nghia tuong tu Dieu le neu khong mau thuan v chti tht hodc ngfr canh Dieu ter chirc va hog Ong 2009 AO) Dieu Hinh thfrc, ten gyi va try so Cling ty, ngtrivi di?n theo phap 1u4t Cong ty chimg khoan Dau dugc 1ap chrai inh thirc Cong ty co phan, dugc cap giay phep lap va hoat dOng theo quy dinh cua Luat C ' g khoan va cac quy dinh hien hanh khac cua nuac COng hoa XA hOi Chu nghia Viet Nam Ten goi: ❖ Ten hop phap chinh that cua C8ng ty bang tie g Viet: Cong ty Dau kin Co phAn Chung khoan ❖ Ten giao dich bang tieng Anh: PetroVietnam S curities Joint—Stock Company • Ten viet tat bang tieng Anh: PV Securities Tru sa dang 141 cila C8ng ty la: Dia chi : 20 Ng8 Quyen - Quail Hoan Kie Dien thoai : (84-4) - 278.9898 Fax : (84-4) - 278.8989 Email : pysecurities@pvsecurities.com v Website : www.pvsecurities.com.vn —Ha NOi Tong Giam d6c la Nguai dai dien theo phap luat c' Cong ty Ngueri dai dien theo phap luat cua cong ty theo quy dinh tai Dieu le phai thuang tru a Viet Nam; truang hop yang mat a Viet Nam tren ba muai thi phai uS , quyen bang van ban Oho nguai khac theo quy Binh phap luat de thuc hien cac quyen va nghia vu cua nguai dai dien theo hap luat cua cong ty Cong ty co the lap, dung dm Chi nhanh, Van phong dai dien, Phong Giao dich tai cac Tinh, Thanh de thuc hien cac muc tieu cua Cong t sau dugc Uy ban Chimg khoan Nha nuac chap thuan Truang hgp ma Dai 1$: nhan lenh, Cog ty phai bao cao Uy ban Chung khoan Nha nuac truot nam (5) lam viec ke tir dai 15/ an lenh chinh thirc hoat dOng 5.Chi nhanh va Phong giao dich dugc thuc hien viec ma tai khoan giao dich chimg khoan, nhan chimg khoan ltru ky, nhan va truyen lenh true tier) ye T sa/Chi nhanh noi Chi nhanh/Phong giao dich true thu0c Dai 1)'T nhan lenh &rot lien hanh nhan, s kiem va truyen lenh ye Tru sa chinh/Chi nhanh theo Flgp deng dai 13'T vai Cong ty Dieu Thai han hoyt Ong ctia cong ty Trir bi cham dirt hoat dOng truac thai han theo Die 45 va 46 dm Dieu 1e nay, thoi han hoat Ong cua Cong ty la nam muai (50) nam tinh tir Co g ty dugc cap Giay phdp hog dOn k• Uata Ditu i td chirc Ira hog Ong 2009 CHUONG II MK TIEU, NGUYEN TAC, PHAM I HOAT BONG VA HAN CHE DOI VOI CONG TY Dieu Cac linh virc kinh doanh Linh vkrc kinh doanh cua ding ty: - Moi gibi chimg khodn; - Tu doanh thing khodn; - Tu van dau to chimg khoan, to yen tai chinh va cac di h vu tai chinh khac; - Lou ky.T chirng khodn Cong ty co the tin hanh thay d6i hoec b6 sung mot rong nhang loai hinh kinh doanh tren sau &roc US/ ban Chimg khoan Nha nu& phe duyet Dieu Muc tieu hoat Ong Muc tieu cua cong ty la huy d6ng va sir dung Veil co hi u qua nham thu duct loi nhuen t6i da; tao ding an viec lam cho nguoi lao dOng; tang Ion tirc cho c • dong; dong gop vao su phat tri6n cua Thi tnrOng thing khoan Viet Nam va ngan sach cho Nha nu c Dieu Nguyen tat kinh doanh cluing khoin Tuan thu phap luet ve chirng khoan va thi triton thing khoan va cac phap luet khac; Tuan thu dao dirt nghe nghiep; Liem truc va thuc hien hoat d6ng kinh doanh m t cach cong bang; Hoan nghia vu cua minh voi khach hang of cach tot nhat; Dam bao ngu6n luc ve nguoi, yen va co s vet chat can thiet khac de thuc hien hoat dOng kinh doanh chirng khoan va ban hanh ban van ban cac quy trinh thuc hien nghiep vu kinh doanh phu hop; Chi &roc dua loi to van phi' hop vai khach h g teen so no luc thu thep thong tin ve khach hang; ' Phai cung cap cho khach hang thOng tin can thin cho viec quyet dinh dau to cua khach hang; Phai then khong duce tao xung d6t ich voi khach hang Trong tnrong hop khong the tranh &roc, cong ty phai thong bao tr oc cho khach hang va/hoec ap dung cac bien phap can thiet de dam bao doi xir cong bAng of khach hang; Ban hanh va dp dung cac quy trinh nghiep vu Dieu le to chin va hog dOng 2009 ong cong ty phu hop volt quy dinh cu Luat Chirng khoan va cac van ban phap luat lie quan Dieu Pham vi hoat d(ing kinh doanh Ong ty chi dugc pile]) lap ke hoach va tien hanh tat c cac hog d'ang kinh doanh, cung cap dich i dung Giay phep lap va hoat d'ang cong ty chimg khoan va &rot Luat Chimg khoan cho p ep Tnrong hop cong ty cung cap dich vu, san pham mai phai dugc str chap thuan tnrop bang van an dm Uy ban Chimg khoan Nha nuac vu tu van tai chinh va dich vu tai chinh khac n Dieu Quyen han va nghia vu cua cong ty Quyen ctia cong ty ❖ 1“/ hop dang bang van ban vai khach hang ve iao dich chirng khodn, clang ky va hru ky chimg khodn, bao lanh phat hanh chirng khoan, tu van dau to chimg khoan va to van tai chinh; ❖ Thuc hien thu phi theo cac mirc phi, le phi B Tai chinh quy dinh; ❖ ru tien sir dung lao dOng nuerc, bao dam quyen va lad ich cua nguai lao dOng theo quy dinh cua Luat Lao &Ong, ton quyen ti chirc cong doan theo quy dinh cua phap luat; ❖ Cac quyen khac theo quy dinh cila Dieu le v phap luat ❖ Tham gia dau to gop van, mua co phan cua cac doanh nghiep khac va lap cac cong ty de thuc hien hoat dOng kinh doanh chimg oan theo quy dinh cua phap luat Nghia vu ctia cong ty ❖ Thiet lap he thong kiem soat nal b0, quan tri rui o va giam sat, ngan ngira nhimg xung Tat lgi ich not bo cong ty va giao dich von nguai có lien quan ❖ quan ly tacti biet chimg khoan cua tong nha dau tu, tach biet tien va chirng khoan cua nha dau to vOi tien va chimg khoan cua cong ty chin khodn ❖ K)', hop dang bang van ban v6ri khach hang c ng cap dich vu cho khach hang; cung cap day du, trung thuc thong tin cho khach hang ❖ Ult fien thuc hien l'enh cua khach hang trugc le dm cong ty ❖ Thu thap, tim hieu thong tin ve tinh hinh tai chi , muc , tieu du tu, kha nang chap nhan rui ro cua khach hang; bao dam cac khuyen nghi, van dau to cua cong ty cho khach hang phai phu hop vai khach hang ❖ Tuan thu cac quy dinh bao dam van kha dung the quy dinh cua BO Tai chinh ❖ Mua bao himtrach nhiem nghe nghiep cho ng ep vu kinh doanh chimg khoan tai cong ty hoac trich lap quy bao ve nha dau tu de boi thuong thiet hai cho nha dau to str co ky Dieu le t6 chCrc va boat ding 2009 • thuat va so suit cua nhan vien ding ty ❖ Luu gift dAy du cac chimg tir va tai khoan ph: khach hang va cua cong ty anh chi tiet, chinh xac cac giao dich cua ❖ Thuc hien viec ban hoc cho khach hang ban c img khoan khong so huu chimg khoan va cho khach hang vay chimg khoan de ban the quy dinh dm BO Tai chinh ❖ Tuan thit cac quy dinh cua BO Tai chinh ve ngh ep vu kinh doanh chimg khoan ❖ Thuc hien the dO ke toan, kiem toan, th0ng ke, nghla vu tai chinh theo quy dinh caa phap luSt ❖ Thuc hien cong 1)0 thong tin theo quy dinh t Dieu 101 va Dieu 104 dm Lust Chimg khoan va the dO bao cao theo quy dinh cua BO chinh • Tuan thu cac nguyen tic ve quan tri cong ty the Dieu 28 Lust Chimg khoan • Ding gop guy ho tro toan theo quy di toan chimg khodn tai Quy the ve dang 14, lift 14, ba trir va Dieu Cac quy dinh han the Quy dinh hn the doi voi ding ty ❖ Khong dugc dua nhan dinh hoSc bao dam of khach hang ve mire thu nhap hoc loi nhuan dat dugc ten khoan dau to cua minh h ac bao dam khach hang khong bi thua 18, ngoai trir dau to vao chimg khoan c6 thu nhap c • dinh; ❖ Khong dugc fiat 10 thong tin ve khach hang frit dugc khach hang dling yhoc theo yeu cau dia co quan quan 1Sr nha nuac c6 tham quy ❖ Khong dugc thgc hien nhung hanh vi lam cho thing khodn; ach hang va nha dAu to hieu nhAm ve gia ❖ Khong dugc cho khach hang vay tien de mua himg khoan, trir truing h9p BO Tai chinh c6 quy dinh khac Quy dinh hn the daft voi Tang Giam d'ac ding ty va ngtroi hanh nghe chting khofin cfia cong ty: ❖ Khong dugc clang thai lam viec cho to chirc khoan ncri minh dang lam viec; ac c6 quan he so hdu vbi c6ng ty thing ❖ Khong dugc ding thai lam viec cho cong ty ch g khodn, cong ty quan 13'r quy khac; ❖ Khong dugc citing thai lam Giam dec hoc 6ng giam doc cua mOt to chirc chap ban chimg khoan cong chimg hoc to chirc niem et ❖ Chi dugc ma tai khoan giao dich chimg khoan ho minh tai chinh cong ty; 21/ Diki td chirc va heat Ong 2009 10 ... BO SUNG VA SODA DOI DIEU Le DiL 52 136 sung va sira d6i Dieu 1e CHUUNG XII NGAY HIeU WC Dieu 53 Ngay hieu hrc 41 41 41 42 42 43 43 43 43 44 441 z Dieu le te• chirc va hoot dOng 20 09 CQNG HOA XA... ty Dieu 23 Thu hoi co phan Dieu 24 Dieu kien town co phan dugs mua lai •A Di eu 25 Phat hanh trai phieu CHUONG IV : CO CAU TO CHOC VA QUAN LY ONG TY Dieu 26 Co cAu te) ,chirc,Cong ty Dieu 27 ... Dieu 11 Cac quy dinh ye bao mat thong tin Dieu 12 Quy tac dap dirc nghe nghiep VA CO DONG SANG AP COA CONG TY CHU''ONG III VON DIEU Dieu 13 V6n dieu le Dieu 14 Cach thirc tang, giam von dieu le