Bao cao quan tri ngan hang 6 thang dau nam 2016

Bao cao quan tri ngan hang 6 thang dau nam 2016 tài liệu, giáo án, bài giảng , luận văn, luận án, đồ án, bài tập lớn về...

NGAN HANG TMCP CQNG H6A XA H0I CHU NGHIA VIET NAM NGOAI THlTONG VIET NAM Doc lap - Tu- - Hanh phiic Dja chi try sa chinh: 198 Tran Quang Khai, Ha Noi Ma so DN: 0100112437 (cap thay doi Ian 11 07/11/2014) S6^W/vcb-CL&TKTH Ha Noi, ngayZCthdng 07 nam 2016 BAO CAO TINH HINH QUAN TRI NGAN HANG THANG DAU NAM 2016 Kinh gui: - Uy ban chung khoan Nha nirac - Sa Giao dich Chung khoan TP Ho Chi Minh Ten cong ty niem yet: Ngan hang Thuang mai Co phan Ngoai thuang Viet Nam Dja 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(g)vietcombank.com.vn Von dieu le: 26.650.203.340.000 dong Ma chu-ng khoan: VCB I HOAT DONG CUA DAI HOI DONG CO DONG Ngay 15/4/2016, Ngan hang TMCP Ngoai thuang Viet Nam (Vietcombank) da to chuc phien hop Dai hoi dong cd dong (DHDCD) thuang nien Ian thu Tren ca sa cac bao cao, ta trinh va qua qua trinh thao luan, DHDCD da thong qua cac noi dung chinh sau day: TT So Nghj Ngay Noi dung quyet 09/TN2016/ NQ-DHDCD 15/4/2016 Thong qua cac noi dung: - Cac bao cao ciia: HDQT, cua Ban dieu hanh, Ban kiem soat ve hoat dong nam 2015 va dinh huang hoat dong nam 2016 1/45 So Nghj TT Noi dung Ngay quyet - Bao cao tai chinh 2015 dugc kiem toan va dugc 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 lgi nhuan nam 2015; - Muc thu lao cho Hoi dong quan tri va Ban kiem soat nam 2016; - Phuang an tang von dieu le bang viec phat hanh co phieu thuang vai ty le 35% cho co dong hien huu va phat hanh co phieu rieng le II HOAT DONG CUA HOI DONG QUAN TRI (HDQT) Thong tin ve vien HDQT: Trong thang dau nam 2016, HDQT Ngan hang TMCP Ngoai Thuang Viet Nam (VCB) da to chuc hop 39 phien (6 phien toan the va 19 phien theo ca che thuang true va 14 Ian lay y kien bang van ban) de dinh huong, chi dao hoat dong cua VCB tung thai ky, xem xet quyet djnh cac cong viec thuoc tham quyen xu ly cua HDQT, cung nhu trao doi ve mot so chuyen de cu the khac TT Thanh vien Chuc vu HDQT Nghiem Chu tich Xuan Thanh HDQT Pham Quang TV Dung HDQT, bat So buoi Ty le Ly hop tham khong vien HDQT du hop tham hop HDQT tham du dau Ngay la • 01/11/2014 39/39 100% 01/11/2014 39/39 100% 02/10/2014 6/6 100% TGD Nguyen TV Danh Luang HDQT, PTGD 2/45 TT Thanh vien Chucvu • HDQT Yutaka Abe bat So buoi Ty le Ly hop tham khong vien HDQT du hop tham hop HDQT tham du dau la • TV HDQT, Ngay 30/09/2012 6/6 100% 25/04/2013 39/39 100% 26/12/2014 39/39 100% 25/04/2013 6/6 100% PTGD Le Thi Hoa HDQT Nguyen TV Manh Hung HDQT Nguyen Thi TV Dung HDQT TV doc lap Ghi chit: : Cac ong Nguyen Danh Luang va Yutaka Abe la cac TV HDQTkiem nhiem, chi tinh ty le tham gia hop doi vai cac phien hop toan the; Ngoai ra, can cu tinh chat tirng vu viec cu the, vien HDQT Nguyen Danh Luang co the duac mai tham du cac phien hop thuang true nhung khong thong ke tai bang neu tren; : Bd Nguyen ThiDung la TV HDQT doc 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 vai Ban dieu hanh dugc thuc hien theo Quy che quan tri noi bp ciia ngan hang Ben canh do, Tong Giam doc cung dong thai la TV HDQT vay luon dam bao sir giam sat ciia HDQT hoat dong dieu hanh Tai cac phien hop thuang ky cua HDQT, Tong Giam doc co bao cao ve moi mat hoat dong ciia ngan hang; bao cao viec trien khai thuc hien cac Nghj quyet cua Dai hoi dong co dong (DHDCD), cac Nghj quyet, Quyet dinh cua HDQT; bao cao mot so chuyen de theo yeu cau ciia HDQT Mat khac, viec giam sat ciia HDQT dugc the hien thong qua hoat dong ciia bp may giam sat thuoc Ban kiem soat HDQT da giao cho Ban kiem soat dinh ky hang thang kiem tra va bao cao tinh hinh thuc hien cac Nghj quyet, Quyet dinh ciia HDQT Trong thang dau nam nay, bam sat dien bien thi truong, quan triet cac phuong cham va quan diem chi dao dieu hanh da dat ra, HDQT da chi dao toan 3/45 he thong nghiem tuc thuc hien cac chii truong, chinh sach ciia Chinh phii, NHNN; dam nhiem va hoan tot cac nhiem vu dugc giao, gop phan on djnh vT mo va thiic day tang truong kinh te xa hoi, the hien vai tro tien phong, vj the ciia mot NHTM chii dao he thong Viec phan cong nhiem vu dugc HDQT thuc hien chi tiet tai tung vj tri lanh dao Cung vai do, VCB da co nhieu doi mai chi dao dieu hanh dac biet la vai cong tac khach hang; cong tac lap, giao ke hoach, dieu hanh kinh doanh bam sat ke hoach, danh gia ke hoach; kjp thai ghi nhan va xu ly cac vuong mac phat sinh ciia cac chi nhanh; de cao cong tac quan tri riii ro Viec ket noi chat che giua Chi nhanh va TSC, giua VCB vai cac ca quan chuc nang cong tac xii ly thu hoi ng co van de da tiep tuc tao nhung chuyen bien quan trong cong tac xii ly, thu hoi ng xau, ng ngoai bang Cong tac kiem tra giam sat ciia VCB co nhieu buoc chuyen bien, bp may Kiem tra npi bp tai Tru Sa chinh va cac khu vuc da phat huy dugc vai tro va vj tri dpc lap viec kiem tra, giam sat, canh bao nii ro Cong tac kiem tra, kiem soat da bao quat cac llnh vuc hoat dong va dugc thuc hien co trgng tarn; chat lugng cac khuyen nghj, ghi nhan dugc nang cao Doi vai viec trien khai cac du an nang cao nang lire quan trj va hoat dong, HDQT da thuang xuyen giam sat, danh gia va co chi dao quyet liet, thuang xuyen, kjp thai Nguon nhan luc cho cong tac quan trj du an dupe chii tang cuong, quy che quan ly du an dugc soat hoan thien do tien dp va chat lugng trien khai nhieu du an da dugc kiem soat tot Hoat dong cua cac Uy ban thuoc HDQT: Hien tai VCB co 03 Uy ban thuoc HDQT la: Uy ban Quan ly nii ro, Uy ban Nhan sir va Uy ban Chien luge Cac Uy ban hoat dong theo Quy che to chuc va hoat dong ciia tung Uy ban HDQT ban hanh Uy ban Quan ly nii ro tham mini cho HDQT viec phe duyet cac chinh sach va djnh huong phii hop tung thai ky lien quan den cac loai nii ro (nii ro tin dung, nii ro thj truong, nii ro hoat dong ), bao gom ca viec xac djnh cac ty le, gioi han/han che va miic dp chap nhan nii ro ciia Ngan hang Trong nam thang dau nam 2016, Uy ban Quan ly nii ro da to chuc phien hop djnh ky, phoi hop voi cac phong ban co lien quan de tiep tuc xay dung va hoan thien cac quy che ciia VCB, tham mini de xuat cho HDQT ve cac chien luge, j chinh sach quan ly nii ro, cac bien phap phong ngua nii ro tren nhieu mat hoat 4/45 dong Uy ban cung dong vai tro tich cue viec xiic tien trien khai cac sang kien nham tung buoc ap dung Basel II theo 16 trinh da dugc phe duyet Uy ban nhan sir la uy ban co vai tro tham muu, tu van cho HDQT doi vai f » r t J * cac van de lien quan den nhan sir, che dp tien luong, thu lao, tien thuang va cac chinh sach dai ngp khac ciia VCB Sau dupe dong bp cac van ban quy che ve quan ly can bp, UBNS da tich cue, chii dong viec danh gia quan ly can bp thuoc phan cap tham quyen Trong thai gian qua, viec bo nhiem, bo nhiem lai cac chuc vu lanh dao thuoc Tru So chinh va cac don vj kinh doanh deu dupe 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 triln kinh doanh ciia Ngan hang, bao gom ca danh gia thuc trang, muc tieu tong thi, 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 dua cac djnh huong hoat dong ciia nam; dau moi chuan bj bao cao, lam viec vai cac don vj lien quan ve viec danh gia thuc hien De an tai co cau ngan hang, tham gia xay dung phuong an tang von dieu le Cac Nghj quyet cua HDQT: Trong thang dau nam 2016, HDQT da ban hanh 159 nghj quyet Chi tiet dupe thong ke Phu luc 01 dinh kern III TT BAN KIEM SOAT Thong tin ve vien BKS Thanh vien BKS Chuc vu • Ngay bat dau/khong hop BKS la tham du So buoi • vien BKS Ba Truong Le Hien Ba La Thj Hong Minh Truong Thang BKS 6/2008 Thanh Thang vien 6/2008 Tyle tham dir hop 2/2 100% 2/2 100% 2/2 100% Lydo khong tham du • h9P BKS Ba Do Thj Mai Huong Thanh Thang vien 6/2008 BKS 5/45 TT Thanh vien BKS Chuc vu Ngay bat dau/khong hop BKS la tham du So buoi Tyle tham du hop vien BKS Ba Vu Thj Thanh Thang Bich Van vien 4/2011 2/2 Lydo khong tham du hop 100% BKS Hoat dong giam sat cua BKS doi vol 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 tri, dieu hanh Nhin chung, thang dau nam 2016, HDQT va BDH da chi dao, dieu hanh hoat dong kinh doanh ciia VCB theo diing muc tieu, cac chi tieu kinh doanh dat kit qua tot so vai 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 cua Luat TCTD, BKS da thuc hien theo doi danh sach co dong sang lap, co dong Ion va ngudi co lien quan ciia TV HDQT, TV BKS, TGD va cap nhat thong tin djnh ky Trong 06 thang dau nam 2016, tai VCB phat sinh mot giao djch npi bp mua co phieu VCB, giao djch dugc thuc hien diing quy djnh ve cong bo thong tin tren thj truong chung khoan Su phoi hop hoat dong giua BKS doi vol hoat dong cua HDQT, Ban Giam doc dieu hanh va cac can bo quan ly khac: Thuc hien Quy che quan trj npi bp VCB, BKS thuang xuyen tham gia cac cupc hop thuang xuyen/djnh ky ciia HDQT/thuong true HDQT, cac cupc hop giao ban hang thang ciia BDH BKS cung dupe cung cap cac thong tin, tai lieu ve cong tac quan ly, dieu hanh va hoat dong kinh doanh ciia ngan hang phuc vu cho viec kiem soat ciia BKS Cac vien BKS dugc tham gia cac khoa hoc, hoi thao nghiep vu nhim nang cao kien thuc quan trj, dieu hanh ngan hang Thong qua hoat dong kilm soat, BKS da dua cac de xuat, kien nghj vai HDQT, BDH cac bien phap tang cuang kiem soat, giam thieu nii ro, dam bao tuan thu cac quy dinh cua Phap luat, Dieu le va cac quy djnh npi bp, gop phan 6/45 nang cao chat lugng, hieu qua hoat dong cua Ngan hang va hoan tot nhiem vu kinh doanh thang dau nam 2016 ciia VCB Hoat dong khac cua BKS (neu co): Trong 06 thang dau nam 2016, BKS da thuc hien cong tac tham djnh BCTC nam 2015 va 06 thang dau nam 2016, to chuc thuc hien 08 cupc kiem toan npi bp doi vai cac hoat dong nghiep vu tai cac Chi nhanh, thuc hien giam sat vai cac mang hoat dong ciia ngan hang, theo doi viec tuan thu cac ty le dam bao an toan Trong thang dau nam 2016, BKS dang trien khai Du an nang cao nang luc kiem toan npi bp theo yeu cau ciia Hiep uoc von Basel II va Du an kiem toan cong nghe thong tin, thuc hien dao tao can bp thuoc BKS IV DAO TAO VE QUAN TRI Cac khoa dao tao ve quan trj cong ty dugc HDQT, Ban dieu hanh bo tri tham gia thai gian phii hop 7/45 V DANH SACH VE NGlTCfl CO LIEN QUAN Danh sach ve nguoi co lien quan TAI KHOAN TT TEN TO GIAO DICH CHlTC/CA CHUNG NHAN KHOAN SO CMND / Dja chi Tru So bat dau la VU DKKD chinh nguoi co lien khong la nguoi co lien quan quan • HOI DONG QUAN TRI NGHIEM XUAN Thoi diem CHlTC (NEU CO) I Thoi diem THANH PHAM QUANG DUNG Chii tich HDQT Uy vien HDQT, Tong r Giam doc 198 Tran Quang Khai, Hoan Kiem, Ha Npi 01/11/2014 198 Tran Quang Khai, Hoan 01/11/2014 Kiem, Ha Npi UV HDQT, NGUYEN DANH LUTJNG PHO TONG GIAM 198 Tran Quang Khai, Hoan Kiem, Ha Npi 02/10/2014 DOC NGUYEN MANH HUNG UYVIEN HDQT 198 Tran Quang Khai, Hoan 26/12/2014 8/45 , _•., - • •, Lydo TAIKHOAN TEN TO GIAO DICH CHUC/CA CHUNG NHAN KHOAN Thoi diem Thoi diem CHlTC SO CMND / Dia chi Tru So bat dau la V\J DKKD chinh nguoi co lien khong la nguoi co lien quan quan • • (NEU CO) Kiem, Ha Npi LE THI HOA UY VIEN HDQT 198 Tran Quang Khai, Hoan Kiem, Ha Npi 25/4/2013 UYVIEN HDQT, PHO YUTAKA ABE TONG GIAM 198 Tran Quang Khai, Hoan Kiem, Ha Npi 25/4/2013 DOC NGUYEN THJ DUNG II UY VIEN HDQT 198 Tran Quang Khai, Hoan Kiem, Ha Npi 25/4/2013 r BAN KIEM SOAT TRUONG LE HIEN LA THI HONG TRTJ6NG BKS THANH 198 Tran Quang Khai, Hoan Kiem, Ha Npi 198 Tran Quang 25/4/2013 25/4/2013 9/45 •-•- Lydo TAIKHOAN TT TEN TO GIAO DICH CHUt/CA CHUNG NHAN KHOAN SO CMND / Dja chi Tru So bat dau la VU DKKD chinh nguoi co lien khong la nguoi co lien quan quan • VIEN BKS HUONG VU THI BICH VAN III BKS THANH 25 Ly Thuang VIEN Kiet, Hoan Kiem, Ha Npi VIEN BKS 25/4/2013 25/4/2013 BAN DIEU HANH PHAM QUANG DUNG TONG giAm NGUYEN THI TONG KIM OANH GIAM DOC TRUONG THI THUYNGA Da neu tai muc 1.2 DOC PHO Khai, Hoan Kiem, Ha Npi 198 Tran Quang Khai, Hoan Kiem, Ha Npi THANH DO THI MAI Thoi diem CHlTC (NEU CO) MINH Thoi diem 198 Tran Quang Khai, Hoan Kiem, Ha Npi PHO So Me Linh TONG Quan Tp HCM 26/12/2014 1/12/2012 10/45 "• - Lydo TAI MOI KHOAN TT TEN TO CHUC/CA NHAN GIAO DICH CHUC SO CMND VU /DKKD CHlTNG • KHOAN DIA CHI LIEN SO CO TYLE HEVOfI PHIEU sd GHI CO SO HULI CHU DONG HULI % N0IBQ (NEU CO) 4.3 Nguyen Thj Thong Me 0 4.4 Nguyen Manh Dung Con 0 4.5 Nguyen Quynh An Con 0 4.6 Nguyen Cong Cuong Anh trai 0 4.7 Ta Thj Anh Hong Chj dau 0 0 •t Uy vien HDQT, YUTAKA ABE P.TGD 5.1 Sadaichiro Abe Cha 0 5.2 Junko Abe Me 0 5.3 Maki Abe Va 0 5.4 Yuki Abe Con 0 5.5 Marika Abe Con 0 5.6 Yumiko Inoue Chj 0 2.300 0,00008 Uy vien HDQT NGUYEN THI DUNG • 31/45 /.r.t> ^X TAI MOI KHOAN TT TEN TO CHlTC/CA NHAN GIAO CHlTC DICH vu CHlTNG KHOAN SO CMND /DKKD DIACHi • LIEN SO CO TYLE HEVOfI PHIEU SO* GHI CO SO HUTJ CHU DONG HUTJ % N0IB0 (NEU CO) 6.1 Nguyen Trac Cha 0 6.2 Le Thj Truyen Me 0 6.3 Nguyen Ngpc Minh Chong 0 6.4 Nguyen Minh Ngpc Con de 0 6.5 Nguyen Thi Ngpc Uyen Con dau 0 6.6 Nguyen Minh Tarn Con de 0 6.7 Nguyen Tuyet Lan 0 6.8 Nguyen Minh Tuan 0 6.9 Nguyen Minh Phuong 0 0 Con chong Con re chong Con chong Con dau 6.10 Tran Thj Phupng 6.11 Nguyen Chinh Anh rupt 0 6.12 Do Thj Tuyet Mai Chj dau 0 chong 32/45 I£l - s i._£k TAI MOI KHOAN TT TEN TO CHlTC/CA NHAN GIAO DICH CHUC vy CHlTNG KHOAN SOCMND /DKKD DIA CHi • LIEN SO CO TYLE HEV6l PHIEU SO> GHI CO scf HULI CHU DONG HlTU % NOI BO (NEU CO) • • 6.13 Nguyen Liem Anh rupt 0 6.14 Ngo Thj Thu Thuy Chj dau 0 6.15 Nguyen Thj Kien Chj rupt 0 6.16 Le Due Lai Anh re 0 4.677 0,00017 UY VIEN LE THIHOA • HDQT 7.1 Le Van Thi Cha 0 7.2 Vo Thi Hoe Me 0 7.3 Le Van Hong Anh 0 7.4 Le Van Vinh Anh 0 7.5 Le Thj Nga Em 0 7.6 Le Thi My Em 0 7.7 Nguyen Ba Tan Chong 0 33/45 if ^ mi °ii S" i P -an v^afc vrM •m'-g ie ^ iifc IS 2'P O rj jO£ ^ TCrEHONU NHAN ^ aZ * uôog O P CO ft, MM ^N a i â a ^ fc Đs CO o? u -"b pE> u ^^ z A ,uzo H" ft n ^p a a z ft Z O p vj cO CM â â â â r— so ft- h © © © © © © © © © © © © © © © 43 u 43 m 00 So X o c Z -ca & H »