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NGAN HANG TMCP NGOAI THl/ONG VIET NAM CONG HOA XA HOI CHU NGHIA VIET NAM Hoc lap - Ty - Hanh phuc S6: A\^l /VCB-CL&TKTH Ha Noi, ngay25 thdng 01 nam 2017 V/v CBTT ve Bao cao quan tri ngan hang nam 2016 CONG BO THONG TIN TREN C6NG THONG TIN DIEN TU CUA UY BAN CHIJNG KHOAN NHA NUtfC VA SGDCK TPHCM Kinh giii: - Uy ban Chung khoan Nha nuac - Sa Giao dich Chung khoan TP HCM Cong ty: NGAN HANG TMCP NGOAI THl/ONG VIET NAM Ma chung khoan: VCB Dja chi tru so chinh: 198 Tran Quang Khai, Hoan Kiem, Ha Noi Dienthoai: 043-9343137 Fax:043-8251322 Ngudi thuc hien cong bo thong tin: Ong Nguyen Danh Luang Dja chi: 198 Tran Quang Khai, Hoan Kiem, Ha Npi Dien thoai (di dpng, co quan, nha rieng): 043 - 9343137 (2004) Fax: 043 - 8251322 Loai thong tin cong bo • 24 gio [] bat thuang • theo yeu cau g] dinh ky N91 dung thong tin cong bo: Ngay 25/01/2017, Ngan hang TMCP Ngoai thuang Viet Nam (VCB) da ban hanh Bao cao quan tri ngan hang nam 2016 Thong tin da dugc dang tai len website cua Ngan hang ke tu 25/01/2017 tai duang dan: http;//www.vieteombank.com.vn/Investors/QTNH.aspx#Quyche Chung toi xin cam ket cac thong tin cong bo tren day la dung sir that va hoan toan chiu trach nhiem truac phap luat ve noi dung cac thong tin da cong bo Spt/ NGlTOI DUOC UY QUYEN CONG BO THONG TIN Nffi nltan: UY VIEN HDQT, PHO Tp^GfilkM D6C Luu CL&TKTH VIET N( ^eWjJanh Lirang lieu dinh kem: - Bao cao quan tri ngan hang nam 2016 CONG HOA XA HOI CHU NGHIA VIET NAM D$c lap - Ty - Hanh phiic NGAN HANG TMCP NGOAI THUONG VI$T NAM Dia chi try sd chinh: 198 Tran Quang Khai, Ha Ngi M3 so DN: 0100112437 (cap thay o*6i Ian 12 16/12/2016) S6:M% /VCB-CL&TKTH Ha Ngi, 24 thdng nam 2017 BAO CAO TINH HINH QUAN TRI NGAN HANG NAM 2016 Kinh gui: - Uy ban chumg khoan Nha nuac - Sa Giao dich Chung khoan TP H6 Chi Minh Ten cong ty niem yet: Ngan hang Thuong mai Co phan Ngoai thuong Viet Nam Dia chi try so" chinh: so 198 Tran Quang Khai, Ha Noi Dien thoai: (84.4)39343137; Fax: (84.4) 39360049/38269067 Email: p tkhdqt.ho@vietcombank.com.vn Von dieu le: 35.977.685.750.000 dong Ma chiing khoan: VCB I HOAT DQNG CUA DAI U01 DONG CO DONG Ngay 15/4/2016, Ngan hang TMCP Ngoai thuong Viet Nam (Vietcombank) da to chuc phien hop Dai hoi dong c6 dong (DHDCD) thuong nien Ian thu Tren co so cac bao cao, to trinh va qua qua trinh thao luan, DHDCD da thong qua cac npi dung chinh sau day: So Nghj TT Ngay Noi dung quyet Thong qua cac noi dung: 09/TN2016/ 15/4/2016 NQ-DHDCD - Cac bao cao cua HDQT, Ban dieu hanh, Ban kiem soat ve hoat dong nam 2015 va dinh huong hoat dong nam 2016 1/56 So Nghj TT NQi dung Ngay quyet - Bao cao tai chinh 2015 dugc kiem toan va duoc Ban kiem soat tham dinh; - Dinh huong va cac chi tieu hoat dong kinh doanh chinh nam 2016 HDQT trinh DHDCD; - Phuong an phan phoi loi nhuan nam 2015; - Muc thu lao cho Hoi dong quan tri va Ban kiem soat nam 2016; - Phuong an tang von dieu le bang viec phat hanh co phieu thuong voi ty le 35% cho co dong nien huu va phat hanh co phieu rieng le II HOAT DONG CUA HQI D6NG QUAN TRI (HDQT) Thong tin ve vien HDQT: Trong nam 2016, HDQT Ngan hang TMCP Ngoai Thuong Viet Nam (VCB) da to chuc hop 76 phien (16 phien toan thl va 46 phien theo co che thuong true va 14 Ian lay y kien bang van ban) de dinh huong, chi dao hoat dong cua VCB tung thoi ky, xem xet quyet dinh cac cong viec thuoc tham quyen xu ly cua HDQT, cung nhu trao doi ve mpt so chuyen dh cu the khac r TT Thanh vien HDQT Nghiem Xuan Thanh ' Ngay bat So buoi Tyl? Lydo dau la h9p tham khong vien HDQT du tham HDQT tham dur hpp h9P 01/11/2014 76/76 100% 01/11/2014 76/76 100% 02/10/2014 16/16 100% Chuc vu Chu tjch HDQT TV Pham Quang Dung HDQT, TGD Nguyen Danh Luong TV HDQT, PTGD 2/56 TT Thanh vien HDQT Ngay bat So buoi Tyl§ Lydo dau la tham khong vien h9P HDQT dir tham HDQT tham du h9p h9p 30/09/2012 16/16 100% 25/04/2013 76/76 100% 26/12/2014 76/76 100% 25/04/2013 16/16 100% Chu-c vu • TV Yutaka Abe HDQT, PTGD TV Le Thi Hoa Nguyen Manh Hung HDQT TV HDQT TV Nguyen Thi Dung HDQT doc lap Ghi chu: ': Cac ong Nguyin Danh Luang va Yutaka Abe la cac TV HDQT kiem nhiim; chi tinh ty le tham pa hop doi vai cac phien hgp toan the; Ngoai ra, can cu tinh chat timg vu vi$c cu the, vien HDQT Nguyin Danh Luang co the duac mai tham du cac phien hop thuong true nhung khong thong ke tai bang neu tren; 2: Ba Nguyin Thi Dung la TV HDQT dQC lap, chi tham gia cac phien hop toan the; Hoat dong giam sat cua HDQT doi vol Ban dieu hanh (Tong giam doc va cac Pho Tong giam doc): Hoat dong giam sat cua HDQT doi voi Ban dieu hanh duorc thuc hien theo Quy che quan tri noi bo cua ngan hang Mat khac, Tong Giam doc cung dong thoi la TV HDQT, vay luon dam bao su giam sat cua HDQT hoat dong dieu hanh Tai cac phien hop thuong ky cua HDQT, Tong Giam doc co bao cao ve moi mat hoat dong cua ngan hang; bao cao viec trien khai thuc hien cac Nghj quyet cua Dai hoi dong co dong (DHDCD), cac Nghj quyet, Quylt djnh cua HDQT; bao cao mot so chuyen de theo yeu cau cua HDQT Mat khac, viec giam sat cua HDQT duac the hien thong qua hoat dong cua bo may giam sat thuoc Ban kiem soat HDQT da giao cho Ban kiem soat djnh ky hang thang kiem tra va bao cao tinh hinh thuc hien cac Nghj quyet, Quyet djnh cuaHDQT Trong nam 2016, bam sat dien bien thj truong, quan triet cac phuong cham va quan diem chi dao dieu hanh da dat ra, HDQT da chi dao toan he thong 3/56 nghiem tuc thuc hien cac chu truong, chinh sach cua Chinh phu, NHNN; dam nhiem va hoan tot cac nhiem vu duoc giao, gop phan on djnh vi mo va thuc day tang truong kinh te xa hoi, the hien vai tro tien phong, vj the cua mgt NHTM chu dao h| thong HDQT da nang cao vai tro cong tac hoach djnh chien luge, ke hoach va djnh huong phat trien cho Vietcombank Ngay tu dau nam, HDQT da de djnh huong, chi tieu nhiem vu kinh doanh cho toan h? thong va cac don vj va djnh huong cac giai phap Thuong xuyen hop soat, danh gia de co nhung chi dao djnh huong kip thai Hang tuan, Thuong true HDQT hop de xu ly cac cong viec, ho so thuoc tham quyen quyet djnh cua HDQT Hang thang, HDQT to chuc hop toan thi, danh gia kiem diem tinh hinh hoat dong kinh doanh, phan tich thi truong tu dua nhung djnh huong, chi dao kjp thoi ve hoat dong kinh doanh, don doc trien khai cac nhiem vu quan tri dieu hanh lam co so de Ban dieu hanh chi dao trien khai Tren co so tin hieu thj truong va danh gia phan tich tinh hinh hoat dong cua Vietcombank, tarn nhin va cac muc tieu chien luge da dugc xac djnh, HDQT da chi dao xay dung De an phat trien cua Vietcombank den nam 2020 voi nhung djnh huong Ion, danh dau nhung buoc chuyen quan trong tu chi dao dieu hanh, tao nen tang vung chac cho Vietcombank buoc vao mot giai doan phat trien moi; chi dao xay dung kk hoach Chien luge chung va tung mang hoat dong kinh doanh: ban buon, ban le, kinh doanh v6n, djch vu ngan hang, quan trj CNTT, quan trj nguon nhan luc va dao tao Cong tac quan trj rui ro cua VCB tiep tuc dugc tang cuong; hoat dgng kiem tra giam sat cua VCB dugc day manh, bao quat cac linh vuc hoat dgng va dugc thuc hien co trgng tarn; ch4t lugng cac khuyen nghj, ghi nhan dugc nang cao Doi voi viec trien khai cac du an nang cao nang luc quan trj va hoat dong, HDQT da thuong xuyen giam sat, danh gia va co chi dao quyet lift, thuong xuyen, kjp thai Co che quan ly, giam sat du an da dugc xay dung va ban hanh Nguon nhan luc cho cong tac quan trj du an dugc chu trgng tang cuong, quy che quan ly du an dugc soat hoan thien do tien va chat lugng trien khai nhieu du an da dugc kiem soat tot 4/56 Hoat dong cua cac Uy ban thugc HDQT: Hien tai VCB co 03 Uy ban thuoc HDQT la: Uy ban Quan ly rui ro, Uy ban Nhan su va Uy ban Chien luge Cac Uy ban hoat dgng theo Quy che to chuc va hoat dong cua tung Uy ban HDQT ban hanh Uy ban Quan ly nii ro tham muu cho HDQT viec phe duyet cac chinh sach va djnh huong phu hgp tung thoi ky lien quan den cac loai rui ro (rui ro tin dung, rui ro thj truong, rui ro hoat dong ), bao g6m ca viec xac djnh cac ty le, giai han/han che va muc chap nhan nii ro cua Ngan hang Trong nam 2016, Uy ban Quan ly nii ro da to chuc phien hgp djnh ky, phoi hgp voi cac phong ban co lien quan de tiep tuc xay dung va hoan thien cac quy che ciia VCB, tham muu de xuat cho HDQT ve cac chien luge, chinh sach quan ly nii ro, cac bi$n phap phong ngua nii ro tren nhieu mat hoat dong Uy ban cung dong vai tro tich cue vi?c xiic tien trien khai cac sang kien nham tung buoc ap dung Basel II theo 16 trinh da dugc phe duyet Uy ban nhan su la uy ban co vai tro tham muu, tu van cho HDQT doi voi cac van de lien quan den nhan su, che tien luong, thu lao, tien thuong va cac chinh sach dai ngg khac ciia VCB Sau dugc dong bo cac van ban quy che ve quan ly can bo, UBNS da tich cue, chii dong viec danh gia quan ly can bo thuoc phan cap tham quyen Trong thoi gian qua, viec b6 nhiem, b6 nhiem lai cac chuc vu lanh dao thuoc Tru So chinh va cac don vj kinh doanh deu dugc thong qua boi UBNS, gop phan nang cao nang lire, chat lugng viec quan • ly can bo Uy ban Chien luge tham muu cho HDQT viec xay dung chien luge phat trien kinh doanh ciia Ngan hang, bao gom ca danh gia thuc trang, muc tieu tong the, tarn nhin dai han, djnh huong chien luge, cac chi tieu kinh doanh cho tung giai doan, giai phap va 16 trinh thuc hien Uy ban da tham muu cho HDQT viec xay dung De an phat trien VCB den nam 2020, ke hoach tang von trung - dai han Cac Nghj quyet cua HDQT: Trong nam 2016, HDQT da ban hanh 391 nghj quyet Chi tiet dugc thong ke Phu luc 01 dinh kern III BAN KIEM SOAT Thong tin ve vien BKS r Thanh TT vien BKS Chuc vu Ngay bat So buoi dau la hgp BKS vien tham du Tyl? tham du- hgp BKS Ba Truong Le Hien Ba La Thj Hong Minh Truong Thang BKS 6/2008 Thanh Thang vien 6/2008 4/4 100% 4/4 100% 4/4 100% 4/4 100% Lydo khong tham dy hgp BKS Ba Do Thj Mai Huang Thanh Thang vien 6/2008 BKS BaVuThj Thanh Thang Bich Van vien 4/2011 BKS Hoat dgng giam sat cua BKS doi voi HDQT, Ban Giam doc dieu hanh va co dong: BKS da thuc hien giam sat HDQT, BDH viec thuc hien cac djnh huong va muc tieu kinh doanh nam 2016 ciia VCB dugc DHDCD thong qua, giam sat viec tuan thu quy djnh ciia phap luat, Dieu le Ngan hang viec quan trj, dieu hanh Nhin chung, nam 2016, HDQT va BDH da chi dao, dieu hanh hoat dgng kinh doanh ciia VCB theo dung muc tieu, cac chi tieu kinh doanh dat kit qua tot so voi ke hoach de ra; HDQT va BDH da tuan thu cac quy djnh ciia Luat TCTD va Dieu le Ngan hang quan trj, dieu hanh Thuc hien theo quy djnh ciia Luat TCTD, BKS da thuc hien theo doi danh sach c6 dong sang lap, co dong Ian va nguoi co lien quan ciia TV HDQT, TV BKS, TGD va cap nhat thong tin djnh ky Trong nam 2016, tai VCB phat sinh mot giao djch noi bo mua c6 phieu VCB, giao djch dugc thuc hien diing quy djnh \h cong bo thong tin tren thj truong chung khoan Su- phoi hgp hoat dong gifra BKS doi vol hoat dgng cua HDQT, Ban Giam doc dieu hanh va cac can bo quan ly khac: Thuc hien Quy che quan trj ngi bo VCB, BKS thuong xuyen tham gia cac cuoc hgp thuong xuyen/djnh ky ciia HDQT/thuong true HDQT, cac cuoc hgp giao ban hang thang ciia BDH BKS cung dugc cung cap cac thong tin, tai lieu ve cong tac quan ly, dieu hanh va hoat dong kinh doanh ciia ngan hang phuc vu 6/56 cho vifc kiem soat ciia BKS Cac vien BKS dugc tham gia cac khoa hgc, hgi thao nghiep vu nham nang cao kien thuc quan trj, dieu hanh ngan hang Thong qua hoat dong kiem soat, BKS da dua cac de xuat, kien nghj voi HDQT, BDH cac bien phap tang cuong kiem soat, giam thieu nii ro, dam bao tuan thu cac quy djnh cua Phap luat, Dieu 1? va cac quy djnh noi bg, gop phan nang cao chat lugng, hieu qua hoat dong ciia Ngan hang va hoan tot nhiem vu kinh doanh nam 2016 ciia VCB Hoat dong khac cua BKS (neu co): Trong nam 2016, BKS da hoan viec lap bao cao danh gia he thong KSNB nam 2015, thuc hien cong tac tham djnh BCTC nam 2015 va 06 thang dau nam 2016, to chuc thuc hien 24 cuoc kiem toan theo ke hoach va cuoc kiem toan theo chuyen de, thuc hien giam sat voi cac mang hoat dong ciia ngan hang va giam sat hoat dgng ciia cac cong ty con, theo doi viec tuan thu cac ty le dam bao an toan Nam 2016, BKS da lam dau moi trien khai du an Nang cao nang luc Kiem tra/Kiem toan noi bo va chuyen doi chuc nang kiem toan noi bo (thuoc chuong trinh Basel II ciia ngan hang) va du an kiem toan cong nghe thong tin; thuc hien dao tao can bo thuoc BKS IV DAO TAO VE QUAN TRI Nam 2016, Ban lanh dao VCB va dai dien lanh dao cap phong/ban/trung tarn tai Tru So chinh da tham du cac buoi hoi nghj, hoi thao cac don vj tu van qu6c t6 to chuc de trao doi kien thuc, chia se kinh nghiem ve quan trj ngan hang, trien khai cac du an nang cao nang luc hoat dong, quan trj nii ro Ben canh do, HDQT da thong qua chii truong to chuc cac khoa hgc ngan cac to chuc dao tao quoc te co uy tin doi voi cac lanh dao cao cap nhat ciia ngan hang Ngi dung se dugc tap trung vao kien thuc vb mo hinh ngan hang hien dai, quan trj nii ro Thong tin dugc cung cap tai cac khoa hgc se ho trg viec quan trj ngan hang theo xu huong an toan, hi?u qua, ben vung, dap ling cac tieu chuan quoc te 7/56 I TT CHlTNG KHOAN CHLTC/CA NHAN HUNG NGUYEN MANH LUONG NGUYEN DANH DUNG PHAM QUANG THANH NGHIEM XUAN HOI DONG QUAN TRJ (NEU CO) GIAO DICH TEN TO HDQT UYVIEN DOC GIAM TONG PHO HDQT, UV Giam doc HDQT, Tong Uy vien HDQT Chii tich VU CHlTC DKKD SOCMND/ Danh sach ve nguoi co lien quan TAI KHOAN DANH SACH VE NGlTOfl CO LIEN QUAN V chinh • •W-' * 8/56 aO Srf' 198 Tran Quang Khai, Hoan 198 Tran Quang Khai, Hoan Kiem, Ha Noi Khai, Hoan Kiem, Ha Noi 198 Tran Quang Kiem, Ha Noi Khai, Hoan 198 Tran Quang • Dia chi Tru Stf 26/12/2014 02/10/2014 01/11/2014 01/11/2014 ngiroi co lien quan bat dau la Thoi diem quan khong la ngiroi co lien Thoi diem Lydo H YUTAKA ABE LA THI HONG HIEN TRUONG LE BAN KIEM SOAT DUNG NGUYEN THI LE THI HOA KHOAN NHAN (NEU CO) CHUttG CHlTC/CA TT GIAO DICH TEN TO TAI KHOAN THANH BKS TRUCJNG HDQT UYVIEN DOC GIAM TONG PHO HDQT, UYVIEN HDQT UYVIEN • VU CHlTC 9/56 198 Tran Quang 198 Tran Quang Khai, Hoan Kiem, Ha Noi 198 Tran Quang Khai, Hoan Kiem, Ha Noi 198 Tran Quang Khai, Hoan Kiem, Ha Noi Kilm, Ha Noi Khai, Hoan 198 Tran Quang Ki§m, Ha Ngi chinh Dia chi Tru S6r >?>*!ô: -0./T" DKKD SOCMND/ 25/4/2013 25/4/2013 25/4/2013 25/4/2013 25/4/2013 ngiroi co lien quan bat dau la Thoi diem quan khong la ngiroi co lien Thoi diem Lydo Ta Thi Ann Hong YUTAKA ABE Sadaichiro Abe Junko Abe Maki Abe Yuki Abe Marika Abe Yumiko Inoue 4.7 5.1 5.2 5.3 5.4 5.5 5.6 Le Thi Truyen 6.2 42/56 Nguyen Trac 6.1 NGUYEN THI DUNG Nguyen Cong Cuong 4.6 Nguyen Quynh An NHAN 4.5 TT TEN TO CHUt/CA (NEU CO) KHOAN CHLTNG DICH GIAO KHOAN TAI HDQT Uy vien P.TGD Uy vien HDQT, VU CHUt /DKKD SO CMND ô,',