CNG TY C PHN SA VIT NAM VINAMILK

QUY CH
QUN TR CNG TY

BN PHT HNH: 2 LN PHT HNH: 2

Thnh ph H Ch Minh, thng 10 nm 2013

MC LC
MC LC ........................................................................................................................................2 CHNG I: NHNG QUY NH CHUNG ..............................................................................5 iu 1: iu 2: iu 3: iu 4: ngha v phm vi iu chnh ................................................................................5 Gii thch thut ng v t vit tt ............................................................................5 Nguyn tc Qun tr cng ty ....................................................................................6 Quy tc o c kinh doanh ....................................................................................8

CHNG II: C NG V I HI NG C NG .....................................................9 iu 5: iu 6: iu 7: iu 8: iu 9: iu 10: iu 11: iu 12: iu 13: Quyn ca c ng ...................................................................................................9 i x cng bng gia cc c ng ....................................................................... 10 Quyn v ngha v ca C ng ln trong Qun tr cng ty ............................... 11 Chnh sch c tc ca Cng ty ............................................................................... 11 Chun b cuc hp HC thng nin ............................................................. 12 T chc hp HC thng nin ....................................................................... 17 HC bt thng ............................................................................................... 23 Ngh quyt HC ............................................................................................... 24 Bo co ca HQT v BKS ti HC................................................................ 25

CHNG III: HI NG QUN TR ................................................................................... 26 iu 14: iu 15: iu 16: iu 17: iu 18: iu 19: iu 20: iu 21: Thm quyn ca Hi ng qun tr ....................................................................... 26 Thnh phn, c cu ca Hi ng qun tr ........................................................... 29 Bu v bi nhim, min nhim thnh vin Hi ng Qun tr ........................... 32 Bn phn v ngha v php l thnh vin Hi ng Qun tr............................. 33 nh gi v o to thnh vin Hi ng qun tr .............................................. 36 Ch th lao ca thnh vin Hi ng Qun tr ................................................ 37 Quy trnh lm vic ca Hi ng Qun tr ............................................................ 37 Cc Tiu ban ca Hi ng Qun tr ..................................................................... 41

CHNG IV: B MY QUN L .......................................................................................... 47 iu 22: iu 23: B my qun l v Thm quyn ca B my qun l ........................................... 47 Thnh phn ca B my qun l ........................................................................... 48

iu 24: B nhim, bi nhim, min nhim v cch chc B my qun l ........................... 49 2

iu 25: iu 26: iu 27: iu 28:

Quy trnh hot ng ca B my qun l ............................................................. 52 Ch lng thng v li ch khc cho B my qun l................................... 52 o to v nh gi nng lc hot ng .............................................................. 53 Th k Cng ty ....................................................................................................... 54

CHNG V: BAN KIM SOT ............................................................................................... 59 iu 29: iu 30: iu 31: iu 32: iu 33: iu 34: iu 35: Thnh phn v yu cu i vi thnh vin BKS................................................... 59 Thm quyn v trch nhim ca Ban kim sot ................................................... 60 B nhim, min nhim thnh vin Ban kim sot ................................................ 62 Tha thun vi thnh vin Ban kim sot............................................................ 62 Th lao cho thnh vin Ban kim sot .................................................................. 62 Quy trnh hot ng ca Ban kim sot ................................................................ 63 Bo co ca Ban kim sot ...................................................................................... 63

CHNG VI: QUY TRNH, TH TC PHI HP HOT NG ...................................... 64 iu 36: iu 37: iu 38: iu 39: Nguyn tc lm vic................................................................................................ 64 Quy trnh, th tc phi hp hot ng ca ca BKS ............................................ 64 Quy trnh, th tc phi hp hot ng ca HQT .............................................. 66 Quy trnh, th tc phi hp hot ng ca B my qun l ................................ 67

CHNG VII: NH GI HOT NG, KHEN THNG V K LUT ....................... 68 iu 40: iu 41: iu 42: nh gi hot ng ................................................................................................ 68 Khen thng ........................................................................................................... 69 K lut ..................................................................................................................... 69

CHNG VIII: H THNG KIM SOT NI B................................................................. 70 iu 43: iu 44: iu 45: iu 46: iu 47: Nguyn tc kim sot ni b .................................................................................. 70 Thnh phn ca h thng kim sot ni b .......................................................... 71 Trch nhim v kim sot ni b ........................................................................... 71 Kim ton ni b..................................................................................................... 73 Kim ton c lp ................................................................................................... 74

CHNG IX: GIAO DCH TRNG YU V GIAO DCH VI ........................................... 76 iu 48: iu 49: Cc giao dch trng yu trng Cng ty .................................................................. 76 Giao dch vi Ngi c lin quan.......................................................................... 77 3

iu 50:

Cc bn c quyn li lin quan n Cng ty ........................................................ 80

CHNG X: CNG B THNG TIN MINH BCH V BO MT THNG TIN .......... 80 iu 51: iu 52: iu 53: iu 54: iu 55: iu 56: iu 57: Nguyn tc v cng b thng tin ........................................................................... 80 Thng tin b mt ..................................................................................................... 81 Thng tin ni b v giao dch ni b..................................................................... 81 T chc cng b thng tin, qun l thng tin v tnh minh bch ........................ 82 Cc ni dung cng b thng tin ............................................................................. 83 Cng b thng tin v cc c ng ln .................................................................... 85 Bo mt thng tin .................................................................................................... 85

CHNG XI: CH BO CO, GIM ST V X L VI PHM.................................. 86 iu 58: iu 59: iu 60: Bo co ..................................................................................................................... 86 Gim st................................................................................................................... 86 X l vi phm .......................................................................................................... 86

CHNG I: NHNG QUY NH CHUNG iu 1:

1.1

ngha v phm vi iu chnh

Quy ch qun tr cng ty (Quy Ch) c xy dng v ban hnh theo yu cu ca php lut v qun tr cng ty c phn nim yt theo Lut Doanh nghip, Lut Chng khon v cc quy nh php lut c lin quan. ng thi, Quy ch c cn nhc v p dng cc thng l tt c chp nhn rng ri trn th gii v qun tr cng ty ph hp vi iu kin ti Vit Nam v bi cnh ca Cng ty. thc thi mt chnh sch r rng v Qun tr cng ty v m bo s pht trin bn vng v minh bch ca Cng ty, Quy Ch ny quy nh (i) nhng nguyn tc c bn v qun tr Cng ty bo v quyn v li ch hp php ca c ng; (ii) thm quyn, ngha v v quy trnh, phng thc hot ng ca cc cn b qun l, iu hnh trong Cng ty; (iii) thit lp nhng chun mc v hnh vi, o c ngh nghip ca Ngi qun l, Ban kim sot v (iv) quy nh cc quy trnh, th tc phi hp hot ng gia Ngi qun l, Ban kim sot khi tham gia vo qu trnh qun tr ca Cng ty. ng thi, Quy Ch l c s nh gi vic thc hin qun tr ti Cng ty. Quy Ch c p dng i vi Cng ty C phn Sa Vit Nam. Khuyn khch vic p dng cc ni dung ph hp ca Quy ch ny i vi cc cng ty con ca Cng ty C phn Sa Vit Nam. Quy ch c p dng i vi phm vi cc i tng l c ng, Ngi qun l, Ban kim sot.

1.2

1.3

1.4

iu 2:
2.1

Gii thch thut ng v t vit tt

Cc thut ng c nh ngha ti iu l ca Cng ty th mc nhin c hiu v p dng tng t trong Quy Ch ny. Cc thut ng c nh ngha v t vit tt di y s c ngha nh sau: Qun tr cng ty: l h thng cc nguyn tc v quy tc m bo cho Cng ty c nh hng iu hnh v c kim sot mt cch c hiu qu v quyn li ca c ng v nhng bn c quyn li lin quan n Cng ty. iu l: l iu l ca Cng ty, bao gm mi sa i, b sung ti tng thi im sau khi c thng qua hp l. i hi ng c ng (HC): gm tt c cc c ng c quyn biu quyt, l c quan quyt nh cao nht ca Cng ty. Hi ng qun tr (HQT): l c quan qun l Cng ty, c ton quyn nhn danh Cng ty quyt nh, thc hin cc quyn v ngha v ca Cng ty khng thuc thm quyn ca HC v chu trch nhim qun l Cng ty

v cc quyn li hp php ca c ng. Quyn hn, trch nhim v c ch hot ng ca HQT c quy nh ti Chng III ca Quy ch ny. Ban kim sot (BKS): l c quan chu trch nhim gim st Ngi qun l trong vic qun l v iu hnh Cng ty, chu trch nhim trc HC v vic thc hin cc nhim v c giao. Quyn hn, trch nhim v c ch hot ng ca BKS c quy nh ti Chng V ca Quy ch ny. Ngi qun l: theo quy nh ti im f Khon 1 iu 1 ca iu l bao gm thnh vin Hi ng qun tr, Tng Gim c, v Cn b qun l cp cao bao gm Gim c iu hnh, K ton trng. C ng ln: l c ng hoc nhm c ng s hu trc tip hoc gin tip t nm phn trm (5%) tr ln s c phiu c quyn biu quyt ca Cng ty. Ngi c lin quan: theo quy nh ti im i Khon 1 iu 1 ca iu l l c nhn hoc t chc c quy nh ti Khon 17 iu 4 ca Lut Doanh nghip v Khon 34 iu 6 Lut Chng khon v cc i tng khc c quy nh ti cc quy ch c lin quan ca Cng ty. Cng ty: Cng ty C phn Sa Vit Nam.

2.2 Trong Quy Ch ny, cc tham chiu ti mt hoc mt s iu khon ca iu L hoc vn bn php lut s bao gm c nhng sa i b sung hoc vn bn thay th cc vn bn .

iu 3:

Nguyn tc Qun tr cng ty

Qun tr cng ty c th c hiu chi tit hn nh sau: Qun tr cng ty l nhng bin php ni b iu hnh v kim sot cng ty, lin quan ti cc mi quan h gia B my qun l, Hi ng qun tr v cc c ng ca mt cng ty vi cc bn c quyn li lin quan. Qun tr cng ty cng to ra mt c cu ra cc mc tiu ca cng ty, v xc nh cc phng tin t c nhng mc tiu , cng nh gim st kt qu hot ng ca cng ty. Qun tr cng ty ch c cho l c hiu qu khi khch l c B my qun l v Hi ng qun tr theo ui cc mc tiu v li ch ca cng ty v ca cc c ng, cng nh phi to iu kin thun li cho vic gim st hot ng ca cng ty mt cch hiu qu, t khuyn khch cng ty s dng cc ngun lc mt cch tt hn. Qun tr cng ty gm nhng ni dung chnh: Qun tr cng ty l mt h thng cc mi quan h, c xc nh bi cc c cu v cc th tc, quy trnh. Nhng mi quan h ny nhiu khi lin quan ti cc bn c cc li ch khc nhau, i khi l nhng li ch xung t. Tt c cc bn u lin quan ti vic nh hng v kim sot cng ty. Tt c nhng iu ny u nhm phn chia quyn li v trch nhim mt cch ph hp - v qua lm gia tng gi tr lu di ca cc c ng.
6

3.1 -

Nhng mc ch v mc tiu ca Cng ty Tm nhn: Tr thnh biu tng mang tm vc th gii trong lnh vc thc phm v thc ung, ni m tt c mi ngi t trn nim tin vo sn phm an ton v dinh dng. S mnh: Mang n cho cng ng ngun dinh dng gi tr nht bng tt c s trn trng, tnh yu v c trch nhim vi cuc sng. Gi tr ct li: cc gi tr ct li lm nn tng cho vic xy dng khun kh Qun tr cng ty ti Cng ty cn phi c tun th mt cch y v lin tc l: + S cng bng: khun kh Qun tr cng ty phi bo v quyn li ca cc c ng v m bo s i x cng bng i vi mi c ng. Tt c cc c ng u phi c m bo c hi bo v quyn li ca mnh nu quyn li ca h b xm phm. + Tnh minh bch: khun kh Qun tr cng ty phi m bo rng vic cng khai thng tin v cc vn quan trng lin quan ti Cng ty, bao gm tnh hnh ti chnh, kt qu hot ng, quyn s hu, v c cu kim sot lun c thc hin mt cch kp thi v chnh xc. + Tnh trch nhim: khun kh Qun tr cng ty phi cng nhn nhng quyn li ca cc bn c quyn li lin quan theo quy nh ca php lut, v khuyn khch s hp tc tch cc gia Cng ty v cc bn c quyn li lin quan trong vic to ra ca ci, cng n vic lm, v m bo tnh bn vng v mt ti chnh ca Cng ty. + Trch nhim gii trnh: khun kh Qun tr cng ty phi m bo vic ra nh hng chin lc cho Cng ty, m bo vic gim st c hiu qu t pha HQT v m bo trch nhim gii trnh ca HQT trc Cng ty v cc c ng.

3.2

Cc nguyn tc Qun tr cng ty

Cc nguyn tc Qun tr cng ty l mt tuyn ngn cp cc nguyn tc v nhng thng l qun tr ca Cng ty, nhm gip cho c cu qun tr ca Cng ty c minh bch v th hin s cam kt ca Cng ty trong vic Qun tr cng ty hiu qu v vic xy dng v y mnh: Mt m hnh qun l c trch nhim v da trn cc gi tr o c kinh doanh. Mt Hi ng qun tr v B my qun l phc v nhng li ch cao nht ca cng ty v cc c ng, bao gm c cc c ng nh l, v tm cch lm gia tng gi tr cho cc c ng mt cch bn vng. Vic cng khai thng tin mt cch ph hp v m bo tnh minh bch, cng nh mt h thng qun tr ri ro v kim sot ni b hiu qu.

Cn c vo cc mc ch v mc tiu ca Cng ty, cc nguyn tc Qun tr cng ty bao gm: Tun th cc quy nh hin hnh ca php lut Tn trng o c kinh doanh, c trch nhim i vi x hi m bo mt c cu qun tr hiu qu m bo quyn li ca c ng i x cng bng gia cc c ng m bo vai tr ca cc bn c quyn li lin quan n Cng ty Minh bch trong hot ng ca Cng ty Hi ng qun tr nh hng v gim st v Ban kim sot kim sot Cng ty c hiu qu

iu 4:

Quy tc o c kinh doanh

Trn c s nguyn tc tn trng o c kinh doanh, Cng ty xc nh cc quy tc o c kinh doanh nh sau: 4.1 Quy tc o c kinh doanh ( hay cn gi l Quy tc ng x) ca Cng ty l nh hng c bn v cch ng x, ni ln trch nhim v bn phn ca cc cp qun l v nhn vin ca Cng ty i vi cc bn c quyn li lin quan, bao gm cc nhn vin, khch hng, i tc kinh doanh, c ng, ngi tiu dng, php lut, cc c quan nh nc v x hi bn ngoi. Quy tc o c kinh doanh ng vai tr rt quan trng trong Qun tr cng ty, cc quy tc ny s: Nng cao uy tn ca cng ty: Cng ty th hin cc gi tr ct li m Cng ty tin tng vo cc thng l tt trong kinh doanh. Ci thin nng lc qun l ri ro v i ph vi khng hong: Quy tc o c khuyn khch nhn vin pht hin vphn ng trc nhng vn lin quan ti o c ngh nghip, do cung cp tm nhn v cc vn tim tng v cc ri ro hoc khng hong. Xy dng vn ha cng ty v cao cc gi tr ca cng ty: Quy tc o c kinh doanh c xy dng v truyn t ti ton b nhn vin gp phn xy dng mt mi trng vn ha gn kt, da trn cc gi tr chung, gip nh hng cho cc nhn vin trong cng vic hng ngy. Tng cng giao tip gia cc bn c quyn li lin quan: Quy tc o c kinh doanh truyn i thng ip ca Cng ty v s cam kt ca mnh i vi vic tun th o c v chng minh rng nhng vi phm nu c ch l ngoi l v him xy ra.

4.2

Trnh tranh chp v kin tng: Quy tc o c kinh doanh, kt hp vi mt chng trnh thc hin quy tc o c hiu qu, gp phn gim thiu ri ro lin quan n tranh chp v kin tng bt ngun t s gian ln, xung t li ch, tham nhng, hi l, v giao dch ni gin. Xc lp v thc thi Quy tc ng x ti Cng ty

4.3

B Quy tc ng x c Cng ty xy dng, thng qua v t chc thc hin thng qua c ch c th nh sau: HQT ng vai tr ch o trong vic xy dng, thng qua v t chc thc hin B Quy tc ng x. B Quy tc ng x c cc ni dung ch yu da trn cc gi tr ct li m Cng ty khng nh. B Quy tc ng x c ph bin ti ton b nhn vin nhm mc ch ton b nhn vin thu hiu v hnh ng theo tinh thn ca B Quy tc. B Quy tc ng x c th bao gm nhiu b quy tc ng x thnh phn c xc lp ring bit cho tng bn c quyn li lin quan.

CHNG II: C NG V I HI NG C NG iu 5: Quyn ca c ng

C ng c y cc quyn theo quy nh ca Lut Doanh nghip, Lut Chng khon, cc quy nh lin quan khc ca php lut Vit Nam. Quyn ca c ng c quy nh ti v iu 10 ca iu l Cng ty. Trong , mt s quyn quan trng c quy nh c th nh sau: 5.1. Quyn c thngtin y theo nh k v t xut v hot ng ca Cng ty: . C ch cung cp thng tin v ni dung thng tin c cung cp cho c ng c quy nh ti Chng X ca Quy Ch ny. Quyn yu cu hy b quyt nh ca HC: Trong trng hp ngh quyt ca HC, ngh quyt ca HQT vi phm php lut hoc vi phm nhng quyn li c bn ca c ng theo quy nh ca php lut, c ng c quyn ngh khng thc hin cc quyt nh theo trnh t, th tc php lut quy nh. Trng hp cc quyt nh vi phm php lut nu trn gy tn hi ti Cng ty th HQT, BKS, B my qun l phi n b cho Cng ty theo trch nhim ca mnh. C ng c quyn yu cu Cng ty bi thng theo trnh t, th tc php lut quy nh.
9

5.2.

5.3.

Quyn khi kin nhn danh cng ty: C ng hoc mt nhm c ng s hu t 1% tr ln tng s c phn ph thng trong thi hn t nht l su thng lin tc c quyn yu cu BKS khi kin v n dn s i vi thnh vin HQT, Tng gim c trong cc trng hp sau: Thnh vin HQT, Tng gim c khng thc hin ng cc quyn v nhim v c giao; khng thc hin, thc hin khng y , khng kp thi quyt nh ca HQT; thc hin cc quyn v nhim v c giao tri vi quy nh ca php lut, iu l Cng ty hoc ngh quyt ca HC. Thnh vin HQT, Tng gim c s dng thng tin, b quyt, c hi kinh doanh ca Cng ty nhm mc ch t li hoc phc v cho li ch ca t chc, c nhn khc. Thnh vin HQT, Tng gim c lm dng a v, chc v v ti sn ca cng ty nhm mc ch t li hoc phc v li ch ca t chc, c nhn khc. Thnh vin HQT, Tng gim c lu gi, s dng con du nhm mc ch t li, hay phc v cho li ch ca c nhn hoc ca ngi khc. Cc trng hp khc theo quy nh ca php lut. Trong thi hn 15 ngy, k t ngy nhn c yu cu khi kin ca c ng, nhm c ng ni trn, BKS phi tr li bng vn bn xc nhn nhn c yu cu khi kin v tin hnh cc th tc khi kin theo yu cu. Trng hp BKS khng khi kin theo quy nh ti iu 5.3. ny th c ng, nhm c ng ni trn c quyn trc tip khi kin thnh vin HQT, Tng gim c theo cc quy nh v trnh t, th tc ca php lut v t tng dn s.

5.4. Quyn c nhn c tc: C ng c quyn nhn c tc theo Chnh sch c tc ca Cng ty c cp ti iu 8 ca Quy ch ny. 5.5. Quyn u tin i vi c phncho bn C ng c quyn u tin mua i vi c phn mi cho bn tng ng vi t l s hu c phn trong Cng ty.

iu 6:

i x cng bng gia cc c ng

6.1. i x cng bng gia cc c ng l mt trong s cc vn ct li ca nguyn tc Qun tr cng ty. Cc c ng c i x cng bng thng qua vic c bo v bng cc quyn ca c ng c quy nh trong iu l, Quy Ch ny v quy nh ca php lut. 6.2. Cc c ng nh l cn c bo v quyn ca mnh thng qua hnh ng tp th. Hnh ng tp th l mt nhm cc c ng thiu s, khng c c mt quyn no khi ng ring r, c th kt hp li vi nhau c c s phiu biu quyt mt mc nht nh c th cng nhau c c quyn .
10

6.3. i x cng bng gia cc c ng cn c m bo bng h thng thng tin lin lc hiu qu vi c ng, c cp c th ti iu 7 v Chng X ca Quy Ch ny.

iu 7:
7.1. 7.2.

Quyn v ngha v ca C ng ln trong Qun tr cng ty

Ngoi cc quyn c bn ca c ng, C ng ln (trong trng hp khng c i din trng c HQT) c quyn: Quyn c tham gia C ch lin lc thng xuyn vi C ng ln ca Cng ty. C ch ny c cp ti Chng X ca Quy ch ny. C ng ln khng c li dng u th ca mnh gy tn hi n cc quyn v li ch chnh ng v c php lut bo h ca Cng ty v ca cc c ng khc. C ng ln c ngha v cng b thng tin theo quy nh ca php lut.

iu 8:
8.1.

Chnh sch c tc ca Cng ty

Quyn nhn C tc: C tc l khon li nhun rng c tr cho mi c phn bng tin mt hoc bng ti sn khc t ngun li nhun cn li ca cng ty sau khi thc hin ngha v v ti chnh. Nhn c tc l mt trong cc quyn ca c ng.

8.2. -

Phng thc thanh ton c tc: C tc s c chi tr bng tin hoc bng c phn ca Cng ty hoc bng ti sn khc c quy nh ti iu 34 iu l. Nu chi tr bng c phn ca Cng ty, vic pht hnh c phiu tr c tc phi c i hi ng C ng ph chun. HQT ( Tiu ban Chnh sch pht trin) phi trnh Ngh quyt i hi ng C ng thng qua phng n pht hnh c phiu cng vi bo co ti chnh c kim ton gn nht ti y ban Chng khon Nh nc v cng b thng tin trn cc phng tin thng tin i chng ti thiu mi (10) ngy lm vic trc khi thc hin vic pht hnh. Th tc v trnh t chi tr c tc: Cn c vo tnh hnh sn xut kinh doanh v cc k hoch u t ca Cng ty, Hi ng qun tr c trch nhim xut mc c tc v phng thc chi tr c tc hng nm i vi tng loi c phn trnh i hi ng C ng ph chun. i hi ng C ng tho lun v thng qua mc c tc hng nm i vi mi loi c phn nhng khng c vt qu mc do HQT xut.

8.3.

11

Cn c vo s ph chun ca i hi ng C ng, HQT s quyt nh v thng bo v mc c tc, tn sut chi tr (s ln c tc c chi tr trong nm). Hi ng qun tr lp danh sch c ng c nhn c tc cn c vo s ng k c ng hoc danh sch c ng ca Trung trm lu k chng khon ti ngy cht quyn nhn c tc. Ngy cht quyn nhn c tc s do Hi ng qun tr quyt nh. Thc hin cng b thng tin v vic chi tr c tc: loi c phn, t l c tc, ngy cht quyn, thi gian v th tc thanh ton c tc. Thc hin chi tr c tc theo cng b. Cc ni dung khc Cc ni dung khc ca Chnh sch c tc bao gm: Li nhun dng phn phi; Cc vn lin quan n c phn u i, nu c (c tc c nh, c tc thng); Mc chi tr xut ( c nh hoc bin i), mc c tc chi tr gia k; Thi gian, a im chi tr; Phng thc thanh ton c tc bng ti sn, nu c; iu kin chi tr v cc trng hp khng chi tr c tc.

8.4

Cc ni dung ny s do Tiu ban Chnh sch pht trin xut trong ti liu Chnh sch c tc v c HQT ph chun. Chnh sch c tc c th c thay i vo bt k lc no ty theo quyt nh ca HQT.

iu 9:
9.1.

Chun b cuc hp HC thng nin

Trnh t, th tc t chc v triu tp cuc hp HC thng nin c quy nh ti iu 12 ca iu l Cng ty. Cng ty s cng b trn trang thng tin in t ca Cng ty quy trnh ni b v trnh t, th tc triu tp v biu quyt ti HC. HQT chu trch nhim triu tp hp HC thng nin v la chn a im hp thch hp trn lnh th Vit Nam. Thm quyn ca HC c quy nh ti iu 13 ca iu l Cng ty. Cc bc chun b cuc hp HC thng nin Quy nh v vic triu tp HC, chng trnh hp v thng bo mi hp HC c quy nh ti iu 16 ca iu l Cng ty, c th cc bc chun b hp HC thng nin nh sau:

9.2. 9.3.

12

9.3.1. -

D tho chng trnh v ni dung hp Chng trnh hp v ni dung cuc hp s xc nh c cu cuc hp, cc vn cn c a ra tho lun v thng qua ti cuc hp HC thng nin. Trong khong thi gian trc khi khi a ra quyt nh t chc cuc hp HC, HQT s xem xt tt c cc kin ngh, chnh thc hoc khng chnh thc, do c ng xut a vo chng trnh hp. Vic chun b ti liu cho cc thnh vin HQT phi m bo thi gian xem xt v quyt nh v p ng quy nh v quy trnh lm vic ca HQT a ra cc quyt nh s b

9.3.2.

HQT a ra cc quyt nh s b v nhng vn sau y trong vic chun b cuc hp HC: Ni dung, chng trnh i hi; Ngy t chc HC: HQT s quyt nh ngy t chc cuc hp HC thng nin trong thi hn theo quy nh ti iu 12 ca iu l Cng ty. a im t chc cuc hp HC: HQT s quyt nh a im t chc HC theo quy nh ti iu 12 v 16 ca iu l Cng ty. Trong , a im t chc cuc hp HC s cho php cc c ng c th tham d hp, m bo c ch cho c ng tham d. S lng c ng s tham d v k hoch c th v a im t chc hp c HQTd tnh trc. Cc th tc lin quan n vic thng bo cuc hp, danh sch cc ti liu v ngy cht danh sch c ng cui cng: Ngy cht danh sch c ng cui cng c xc nh l ngy c ng c ng k vo s c ng ca Cng ty v c quyn tham d cuc hp HC nh c quy nh ti iu 16 ca iu l Cng ty. Lp danh sch c ng

9.3.3.

Danh sch c ng c xc lp vi mc ch: Xc nh cc c ng c quyn tham d cuc hp HC. Danh sch c ng cn bao gm thng tin v tt c cc c ng c ng k ti ngy ng k cui cng, bao gm: + H, tn; + a ch thng tr, quc tch, s giy chng minh nhn dn, h chiu hoc chng thc c nhn hp php khc ca c ng l c nhn; tn, a ch thng tr, quc tch, s quyt nh thnh lp hoc s chng nhn ng k kinh doanh ca c ng l t chc;
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+ S lng c phn tng loi; + S v ngy ng k c ng ca tng c ng; + a ch th in t, nu c. Cng ty cng b thng tin v vic cht danh sch c ng c quyn tham d hp i hi ng c ng ti thiu nm (05) ngy trc ngy cht danh sch. Thng bo ti cc c ng v cuc hp HC, c quy nh ti on 9.3.4 ca iu ny. Th k Cng ty s gip c ng xc minh thng tin m bo rng cc quyn ca h c ng k y . C ng c quyn xc minh tnh chnh xc ca thng tin trn s ng k c ng v chnh bn thn h v s c phn m h nm gi. C ng c quyn yu cu sa i nhng thng tin sai lch hoc b sung nhng thng tin cn thit v mnh trong danh sch c ng c quyn d hp HC theo quy nh ti iu 10 ca iu l Cng ty. HQT c th sa cha, b sung hoc thay i danh sch c ng sau ngy ng k cui cng cho mc ch khi phc li quyn hp php ca nhng c ng khng c a vo danh sch ny hoc sa cha nhng sai st khc (lin quan n thng tin ca c ng) C ng danh ngha: (Trung tm lu k chng khon v cc thnh vin lu k): Nu trn s ng k c ng ch c thng tin v c nhn hoc t chc i din vi t cch l c ng danh ngha thay v cc thng tin v c ng c quyn li i vi c phn, thng bo mi hp HC phi c gi ti c ng danh ngha nu khng bit a ch ca c ng c quyn li.

9.3.4. Thng bo mi hp HC Thng bo mi hp HC c quy nh ti Khon 3 iu 16 ca iu l Cng ty, c th nh sau: Cch thc gi thng bo mi hp: Cch thc thng bo mi hp theo quy nh ti Khon 3 iu 16 iu l. Thng bo mi hp c th c (i) gi qua a ch th in t v ng ti trn trang thng tin in t - website ca Cng ty; (ii) cng b cng khai trn cc phng tin truyn thng c s lng ln c gi; (iii) ng ti trn cc bo ra trung ng hoc a phng ni Cng ty ng tr s chnh t nht l 03 (ba) s bo lin tip. Thng tin trong thng bo mi hp: Thng bo mi hp HC phi bao gm y cc thng tin hng dn c ng cch thc tham d cuc hp. Cc thng tin bao gm: + Tn v a ch Cng ty
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+ S v ngy cp Giy chng nhn ng k kinh doanh, ni ngk kinh doanh ca Cng ty + Thi gian v a im hp + Tn, a ch thng tr ca c ng hoc ngi i din theo u quyn ca c ng + Ngy ng k cui cng + Chng trnh ngh s + Mu giy y quyn + Phiu biu quyt v ti liu tho lun; d tho ngh quyt + Thng tin v thi gian v a im m c ng c th nhn c ti liu hp + Th tc nhn c cc thng tin c bn + Thi gian bt u ng k d hp + a im ng k d hp + Ngi c Cng ty c ra tip nhn cc thng bo ca c ng v nhng sai phm trong vic ng k d hp + a ch lin lc v thng tin v ngi m c ng s gi ch dn biu quyt bng vn bn ti. Thng tin v ti liu hp HC: Thng tin v ti liu cuc hp HC cn cung cp cho c ng khi tham d cuc hp HC bao gm: + Bo co thng nin v Bo co ti chnh hng nm + Bo co ca Kim ton c lp + Bo co ca cc b phn kim sot (Ban kim sot, Kim ton ni b) + Bo co hot ng ca HQT + D tho sa i iu l cng ty, d tho iu l mi (nu c) + D tho ngh quyt HC thng nin + Thng tin v cc ng vin c c vo HQT v Ban kim sot + Th chp nhn ca cc ng vin nu c bu vo HQT v Ban kim sot + kin ca HQT i vi tng vn trong chng trnh hp v cc kin phn i (nu c). + Cc ti liu cn c trong trng hp cuc hp HC tho lun v thng qua vic ti c cu cng ty: Gii trnh chi tit ca HQT v nhng iu kin v cc th tc ti c cu (Bo co ca HQT).
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Bo co thng nin v cc bo co ti chnh hng nm ca tt c cc cng ty c lin quan n vic ti c cu trong ba nm ti chnh gn nht hoc k t khi cng ty thnh lp nu cng ty thnh lp cha c ba nm. Cc ti liu k ton ca qu trc qu a ra quyt nh ti c cu. Bo co ca Kim ton vin c lp; v Bo co ca Ban kim sot (nu c). Cch thc gi phiu biu quyt: Cch thc gi phiu biu quyt c quy nh ti iu 17 ca iu l Cng ty hoc theo hng dn ti Quy ch biu quyt bu c ca HQT gi km Thng bo mi hp HC.

9.3.5. Thng qua chng trnh v ni dung cuc hp Xc nh cc c ng c quyn kin ngh a cc vn vo cc ni dung chng trnh hp: C ng hoc nhm c ng c quy nh ti Khon 3 iu 10 ca iu l c quyn kin ngh a cc vn vo ni dung chng trnh hp thng qua C ch lin lc thng xuyn vi c ng ln. Vic kin ngh cc vn a vo chng trnh hp HC phi c lm bng vn bn v phi c gi cho Cng ty theo quy nh ti Khon 4 iu 16 iu l ca Cng ty. Vn bn kin ngh cc vn a vo chng trnh hp HC phi bao gm cc thng tin sau: Tn c ng; S lng, loi c phn m c ng nm gi; S v ngy ng k c ng ti Cng ty; Vn kin ngh a vo chng trnh hp; Ch k ca c ng; L do a ra kin ngh Nu ngi k vn bn kin ngh l i din ca c ng phi gi km theo giy y quyn hp l. + HQT c quyn t chi cc kin ngh ca c ng trong cc trng hp c quy nh ti Khon 5 iu 16 iu l Cng ty. Ngoi ra, HQT cng c quyn t chi kin ngh ca c ng nu kin ngh khng tun th quy nh php lut.

HQT s a cc vn do c ng kin ngh hp l (khng b t chi) vo thnh cc ni dung ring bit trong chng trnh hp HC. HQT s thng bo cho c ng cc quyt nh t chi kin ngh ca c ng ti cuc hp HC cng l do t chi kin ngh ny. HQT cng c th gi vn bn t chi kin ngh cng l do t chi.
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Cc vn s c a vo chng trnh hp bao gm: + + + + Thng qua mc c tc ca tng loi c phn; Thng qua bo co thng nin v cc bo co ti chnh hng nm ca Cng ty; Thng qua Bo co ca HQT v Bo co ca Ban kim sot; Cc vn khc thuc thm quyn ca HC.

9.3.6. D tho Ngh quyt HC HQT phi chun b d tho ngh quyt cho nhng vn trong chng trnh hp HC theo quy nh ti Khon 6 iu 16 ca iu l.

iu 10:

T chc hp HC thng nin

Trnh t, th tc v cc iu kin tin hnh HC thng nin c quy nh ti iu 17 ca iu l Cng ty. Ngoi ra, cc bc t chc cuc hp HC c th c quy nh b sung nh sau: 10.1. ng k d hp HC Vic ng k tham d cuc hp HC c quy nh ti Khon 6, 7, 8 iu 17 ca iu l Cng ty, c th nh sau: Th k Cng ty hoc mt b phn/c nhn c HQT ch nh c trch nhim thc hin vic ng k d hp HC. Vic ng k d hp HC bao gm vic ng k c ng v i din c y quyn ca c ng tham d trc khi khai mc cuc hp HC. C ng c ng k xc minh t l ti thiu c ng hoc i din c y quyn ca c ng d hp theo quy nh cuc hp HC bt u mt cch hp l. Trong trng hp c ng c hn mt ngi i din c y quyn th phi xc nh c th s c phn v s phiu bu c y quyn ca mi ngi i din. Trong trng hp Thng bo c km phiu biu quyt, c ng c xem l c tham d cuc hp trong trng hp gi phiu biu quyt bng th m bo n Hi ng qun tr chm nht 1 ngy trc khi khai mc cuc hp. Vic kim tra t cch i biu c quy nh ti Khon 12 iu 17 iu l Cng ty. Cc giy t cn c mang ti cuc hp, xut trnh v kim tra khi ng k tham d cuc hp HC s c ghi r trong thng bo mi hp HC, bao gm: chng minh th nhn dn, h chiu hoc bn sao giy ng k kinh
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doanh, th mi v giy y quyn (trong trng hp c y quyn). Vic ng k c thc hin ti a im din ra cuc hp HC. 10.2. Kim tra v cng b t l c ng tham d ti thiu Vic kim tra v cng b t l c ng tham d ti thiu c thc hin theo quy nh ti Khon 5 iu 17 ca iu l Cng ty. C th, Th k Cng ty hoc mt b phn/c nhn c HQT ch nh c trch nhim kim tra v thng bo s lng i biu d cuc hp tha mn t l tham d ti thiu theo quy nh. T l ny phi c Ch ta cuc hp HC cng b ngay sau khi kt thc vic ng k c ng d hp v trc khi c ng thc hin biu quyt. 10.3. Khai mc cuc hp HC Khi t s lng thnh vin d hp ti thiu c quy nh ti iu l Cng ty, Ch tch HQT tuyn b khai mc cuc hp HC. Ch ta cuc hp HC c quy nh ti Khon 1 iu 17 ca iu l Cng ty. Trong trng hp bu Ch ta (khi vng mt Ch tch HQT), tn cc ng vin c c v s phiu bu s c cng b v ngi c s phiu bu cao nht s lm Ch ta cuc hp. Ch ta HC c mt th k ghi bin bn hp HC theo quy nh ti Khon 1 iu 17 ca iu l Cng ty.

10.4. Bu Ban kim phiu Ch ta s yu cu HC bu Ban kim phiu ti mi cuc hp HC theo quy nh ti Khon 7 iu 17 ca iu l Cng ty. iu kin ca cc thnh vin Ban kim phiu bao gm: + Mt trong s cc thnh vin Ban kim phiu l ngi c hiu bit v cc quy nh ca php lut, c th l nhn vin thuc b phn Php l ca Cng ty. + Thnh vin Ban kim phiu khng phi l thnh vin HQT hoc ng c vin thnh vin HQT; + Thnh vin Ban kim phiu khng phi l thnh vin Ban Gim c iu hnh v ng c vin thnh vin Ban Gim c iu hnh; + Thnh vin Ban kim phiu khng phi l nhng ngi c lin quan vi nhng i tng trn; + Thnh vin Ban kim phiu nn l ngi c kinh nghim v cng tc biu quyt, bu c. Ban kim phiu chu trch nhim kim phiu v lp bo co bng vn bn v kt qu kim phiu sau khi kt thc cuc hp HC. Bo co ny s c cung cp cho cc c ng thng qua trang thng tin in t ca Cng ty v bng bn
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in ti vn phng tr s chnh ca Cng ty. Bo co v kt qu kim phiu phi c ch k ca tt c cc thnh vin Ban kim phiu. Cc thnh vin t chi k bo co ny s phi gii thch l do t chi v l do ny s c a vo ph lc ca bo co. Nhm m bo th tc kim phiu c cng khai v r rng, Ban kim phiu phi c gim st trong qu trnh kim phiu. Ch ta cuc hp HC c ngi hoc b phn chu trch nhim gim st qu trnh kim phiu. Ngi ny nn l mt c ng thiu s v c lp vi Cng ty. Ngi ny c quyn can thip v bo co ngay khi pht hin c du hiu bt thng hoc khng minh bch trong qu trnh kim phiu. Ngi c ch nh gim st qu trnh kim phiu c quyn: + + Ngn chn mi hnh vi vi phm quy ch bu c Bo co cho Ch ta HC v nhng du hiu bt thng trong qu trnh kim phiu, nu c.

Trng Ban kim phiu c quyn quyt nh v s lng c th hoc b sung, thay th nhn s ca B phn gip vic cho Ban kim phiu trong cng tc t chc biu quyt ti HC.

10.5. Khch mi tham d cuc hp Kim ton vin c lp c th c mi tham d HC theo quy nh ti Khon 2 iu 12 ca iu l Cng ty pht biu kin v cc vn kim ton v cc vn lin quan n vic thng qua cc bo co ti chnh hng nm. Ngoi ra, HQT Cng ty c th mi ch n, cc nh u t tim nng, cn b cng nhn vin, cc quan chc chnh ph, nh bo, cc chuyn gia v cc c nhnv t chc khc khng s hu c phn ca Cng ty ti tham d cuc hp HC bng quyt nh v khch mi ca HQT khi triu tp HC. . 10.6. Cng b chng trnh v th l cuc hp Ch ta cuc hp HC trnh by ni dung chng trnh hp ti cc i biu. ng thi, Ch ta s gii thch trnh t, th tc tin hnh cuc hp theo quy nh ti iu 17 ca iu l Cng ty. Ni dung chng trnh hp phi xc nh chi tit v thi gian tho lun cho tng vn . Chng trnh v ni dung hp phi c HC thng qua ngay trong phin khai mc. Ch c HC mi c quyn thay i chng trnh hp c gi km theo Thng bo mi hp. i vi trnh t, th tc hoc cc s kin pht sinh ngoi chng trnh ca HC th quyt nh ca Ch ta mang tnh phn quyt cao nht theo quy nh ti iu 17 ca iu l Cng ty.

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10.7. Tho lun cc vn trong chng trnh ngh s Vic tho lun cc vn trong chng trnh ngh s ca HC phi tun th nhng nguyn tc sau: To c hi cho c ng (i) t cu hi vi thnh vin HQT, Ban kim sot, Kim ton c lp v nhn c cc cu tr li r rng (ii) c th a ra quyt nh trn c s nhng thng tin y v khng thin lch i vi tt c cc vn c a ra trong cuc hp. Cc cu hi do c ng t ra cn c tr li ngay. Nu mt cu hi no khng c tr li ngay, Cng ty cn c vn bn tr li ngay sau cuc hp HC. Kim ton vin c lp, Tng Gim c, thnh vin HQT, thnh vin Ban kim sot v cc Tiu ban ca HQT (nu c) cng vi thnh vin Ban Gim c iu hnh Cng ty cn phi c mt ti cuc hp HC. Trong trng hp vng mt, Ch ta ca HC cn gii thch nguyn nhn vng mt ca h. Nhng ngi qun l ca Cng ty, bao gm c Trng cc Tiu ban trc thuc HQT cn c pht biu ti cuc hp HC, khi c yu cu. Ch ta HC ch c php ngt li ngi trnh by m bo trnh t hoc tun th ng vi cc yu cu v th tc ca cuc hp.

10.8. Biu quyt Thng thng, vic biu quyt ti cuc hp HC c thc hin thng qua hnh thc b phiu kn. Cc trng hp biu quyt cng khai phi c HC quyt nh ti tng thi im. HQT s xy dng v thng qua Quy ch biu quyt, bu c cn c theo Quy Ch ny. Cc thng tin s c a vo th biu quyt bao gm: + Tn v a ch Cng ty + Loi cuc hp HC (thng nin hay bt thng) + Thi gian v a im t chc hp HC + Cc vn cn biu quyt c sp xp theo trnh t trong chng trnh ngh s + Cc la chn biu quyt ng , khng ng hoc khng a ra kin i vi tng vn c biu quyt + Trong trng hp bu thnh vin HQT hoc Ban kim sot, tn ca tng ng vin

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+ Hn cui phi gi cc phiu (th) biu quyt c in ti Cng ty (nu cc phiu biu quyt ny phi c gi ti Cng ty); + a ch gi cc phiu biu quyt c in (nu cc phiu biu quyt ny phi c gi ti Cng ty); + Ni dung hng dn phiu biu quyt cn phi c c ng k tn, tr khi phiu biu quyt c s dng theo hnh thc b phiu kn + Gii thch v vic bu dn phiu vi ni dung nh sau: Khi thnh vin HQT c bu theo nguyn tc bu dn phiu, c ng c th dng tt c s phiu biu quyt ca mnh bu cho mt ng c vin hoc mt s ng c vin; + Th biu quyt cn c trng c ng c th in s phiu biu quyt m h dnh cho tng ng c vin; + Th biu quyt phi ghi r s lng phiu biu quyt m mi c ng c th b phiu quyt nh v tng vn ; + Ni dung hng dn dn cch thc in vo th biu quyt, theo , hng dn rng nu c nhn i din cho c ng l mt php nhn in vo th biu quyt th phi nu r tn, chc v ca c nhn v tn y ca t chc m c nhn i din; + Hng dn rng Bn sao giy y quyn cn c nh km th biu quyt v i din ca nhng c ng ny s phi k vo th biu quyt (nu vic biu quyt c thc hin thng qua i din c y quyn). 10.9. Kim phiu v ghi li kt qu biu quyt Ban kim phiu c trch nhim tng hp kt qu kim phiu trong bin bn kim phiu. Tt c cc thnh vin trong Ban kim phiu phi k tn trn bin bn kim phiu. Bin bn kim phiu bao gm cc ni dung chi tit sau y: 1. 2. 3. 4. 5. Tn, a ch tr s chnh ca cng ty; s v ngy cp Giy chng nhn ng k kinh doanh, ni ng k kinh doanh; a im cuc hp HC; Thi gian hp HC; Tng s phiu biu quyt i vi tng vn biu quyt, tng s phiu pht ra, thu v; Tng s phiu biu quyt i vi tng vn trong chng trnh hp v t l c ng tham d ti thiu;
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6. 7.

Chng trnh v ni dung cuc hp; Kt qu biu quyt (trong ghi r tng s phiu tn thnh, khng tn thnh v khng c kin; t l tng ng trn tng s phiu biu quyt ca c ng d hp); Tnh cht ca cuc hp HC (thng nin hay bt thng); Thi gian bt u thc hin ng k c ng d hp; Tng s phiu biu quyt cho tng vn trong chng trnh hp khng c tnh do khng hp l; Hnh thc biu quyt; Tn cc thnh vin Ban kim phiu; Ngy lp Bin bn kim phiu; Thi gian bt u kim phiu, trong trng hp quyt nh c HC thng qua v kt qu kim phiu c cng b trong cuc hp.

8. 9. 10. 11. 12. 13. 14.

10.10. Cng b kt qu kim phiu v quyt nh ca HC Kt qu kim phiu c Ch to/Trng Ban kim phiu cng b ngay trc khi b mc cuc hp HC. Kt qu kim phiu bao gm tng s phiu ng h, phn i hoc b phiu trng ca tng vn . 10.11. B mc cuc hp HC Ch ta hp HC tuyn b b mc cuc hp HC sau khi: (i) Tt c cc vn trong chng trnh hp c tho lun v biu quyt v (ii) Kt qu biu quyt c cng b. 10.12. Lu phiu biu quyt Sau khi kt thc cuc hp HC, Ban kim phiu phi m bo rng tt c cc th biu quyt v cc vn bn hng dn biu quyt u c ng du v b vo hm phiu. Ton b ti liu s c Th k Cng ty lu theo ch bo mt theo Quy nh v lu tr ca Cng ty. 10.13. Lp bin bn hp HC Trch nhim lp bin bn hp HC thuc v Th k lp bin bn cuc hp HC theo quy nh ti iu 17 ca iu l Cng ty. Ch ta v Th k lp bin bn HC phi lin i chu trch nhim v tnh trung thc, chnh xc ca ni dung bin bn. Ngoi ra, bin bn hp HC cn phi tun th nhng yu cu nh sau: + Bin bn hp HC phi c lp v thng qua trc khi b mc cuc hp;
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+ Bin bn i hi ng c ng phi c cng b trn website ca Cng ty trong thi hn hai mi bn (24) gi v gi cho tt c cc C ng qua email hoc fax trong thi hn mi lm (15) ngy k t ngy i hi ng c ng kt thc; + Bin bn hp HC phi c ch k ca Ch ta v th k cuc hp. + Trong iu kin cho php, Bin bn hp HC nn c kim tra bi mt (01) c ng do HC chp thun v c ng ny phi k tn trn Bin bn hp sau khi kim tra. Bin bn hp HC phi c cc thng tin nh c quy nh ti im 1, 2, 3, 4, 5, 6, 7, 11, 12, 14 iu 10.9 ca Quy ch ny v nhng thng tin sau y: 1. Tn ca ch ta v th k HC; 2. Tn ca c ng c bu lm ngi kim tra bin bn hp; 3. Cc quyt nh c thng qua ti cuc hp; 4. Tm tt din bin cuc hp v cc kin pht biu ti HC v tngvn trong ni dung chng trnh hp; 5. Thi gian bt u v kt thc cuc hp; 6. a ch nhn th ca Cng ty ni m cc c ng gi cc phiu biu quyt c in, trong trng hp Cng ty gi th biu quyt ti cho c ng trc ngy hp HC. 7. Ngy lp Bin bn hp HC Ngoi ra, cc ti liu c lin quan phi c lu tr km theo bin bn hp HC ti tr s chnh ca Cng ty bao gm: + Danh sch c ng ng k d hp; + Ton vn ngh quyt c thng qua ti cuc hp; + Ti liu c lin quan gi km theo thng bo mi hp; + Vn bn u quyn tham d HC.

iu 11:

HC bt thng

Trnh t, iu kin v trch nhim triu tp cuc hp HC bt thng c quy nh ti iu 12 ca iu l. Ngoi ra, cc quy nh c th nh sau: 11.1. Trng hp t chc HC bt thng Cc trng hp t chc hp HC bt thng c quy nh ti Khon 3 iu 12 iu l Cng ty.
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11.2. Chun b hp HC bt thng Trch nhim triu tp HC bt thng, bao gm thm quyn, thi gian triu tp c quy nh ti Khon 4 iu 12 ca iu l Cng ty; Trng hp HQT hoc BKS khng triu tp hp HC nh quy nh th Ch tch HQT v Trng BKS phi chu trch nhim trc php lut v phi bi thng thit hi pht sinh i vi Cng ty; HQT c quyn t chi ngh triu tp hp HC bt thng trong cc trng hp sau: + Yu cu hp HC bt thng khng ph hp vi quy nh ca php lut; + C ng hoc nhm c ng yu cu khng s hu hoc i din cho t l phiu biu quyt theo yu cu (t nht l 5% tng s c phn c quyn biu quyt i vi vn c yu cu a ra tho lun v thng qua ti HC) trong thi hn lin tc su (06) thng; + Vn kin ngh a vo chng trnh hp khng thuc thm quyn ca HC bt thng. Ni dung chng trnh hp HC bt thng s c ni dung khc nhau lin quan ti mc ch c th ca vic triu tp hp HC bt thng. Thi hn tin hnh cuc hp c th b nh hng bi cc yu t: + + + + Thi gian ti a t ngy quyt nh t chc HC bt thng ti ngy t chc cuc hp. Thi gian ti a t ngy nhn c yu cu t chc HC bt thng ti ngy t chc hp Ngy ng k cui cng Thng bo mi hp ti cc c ng

11.3. Ly kin C ng bng vn bn thng qua quyt nh ca HC: Thm quyn v th thc ly kin C ng bng vn bn thng qua quyt nh ca HC theo quy nh ti iu 18B ca iu l.

iu 12:

Ngh quyt HC

Ngh quyt HC c thng qua theo quy nh ti iu 16 v iu 18 ca iu l ca iu l, c th nh sau: 12.1. Cc quyt nh phi c thng qua vi t l phiu biu quyt c quy nh ti Khon 2 v 3 iu 17 v Khon 8 iu 18 ca iu l;

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12.2. Cc quyt nh phi c HC a s ng thun thng qua bng vn bn. Cc quyt nh lin quan n vic pht hnh cc loi chng khon khc phi ph hp vi quy nh ca pht lut v chng khon v th trng chng khon. 12.3. Cc quyt nh ca HC c th c yu cu hy b theo quy nh ti iu 18B ca iu l Cng ty. Cc trng hp khc sau y cn phi c c s cn trng v c th dn ti vic hy b quyt nh ca HC: Khng thng bo mi hp kp thi ti tt c cc c ng; Khng cho c ng c c hi c tip cn vi cc ti liu hp HC; Quyt nh c thng qua l vi phm thm quyn ca HC Cc ni dung c trong Ngh quyt m khng c trong chng trnh ngh s din ra trong thc t.

iu 13:

Bo co ca HQT v BKS ti HC

13.1. Bo co hot ng ca HQT Bo co hot ng ca HQT trnh HC phi ti thiu c cc ni dung sau: nh gi tnh hnh hot ng ca Cng ty trong nm ti chnh; Hot ng ca HQT; Tng kt cc cuc hp ca HQT v cc quyt nh ca HQT; Kt qu gim st i vi Tng Gim c v Ban iu hnh Cc k hoch d kin trong tng lai

13.2. Bo co hot ng ca BKS Bo co hot ng ca BKS trnh HC phi ti thiu c cc ni dung sau: Hot ng ca BKS; Tng kt cc cuc hp ca BKS v cc quyt nh ca BKS; Kt qu gim st tnh hnh hot ng v ti chnh ca Cng ty; Kt qu gim st i vi thnh vin HQT, thnh vin B my qun l; Bo co nh gi s phi hp hot ng gia BKS vi HQT, B my Ban iu hnh v c ng.

Bo co hot ng ca BKS phi m bo: C ch k ca tt c cc thnh vin BKS Trng hp ngi khng k vo bo co s phi gii trnh l do khng k vo bo co hoc bo co phi th hin c ngi khng k .
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CHNG III: HI NG QUN TR

iu 14:
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Thm quyn ca Hi ng qun tr

Thm quyn, trch nhim v nhim v ca HQT c quy nh ti iu 20 ca iu l Cng ty. HQT chu trch nhim trong vic xy dng chin lc ca Cng ty v xc nh cc u tin trong hot ng kinh doanh ca Cng ty, nh hng v kim sot cng tc qun l, a ra quyt nh v nhng vn khng thuc thm quyn ca HC. HQT c thm quyn a ra cc quyt nh trong nhng lnh vc c quy nh c th ti iu 20 ca iu l, c th 4 nhm chnh nh sau: + Gim st chin lc v kim sot hot ng qun l, tuyn chn v gim st Tng gim c v Cn b qun l cp cao. + T chc hp HC + Vn iu l v ti sn ca Cng ty + Cng b thng tin v tnh minh bch ca thng tin

14.1 Gim st chin lc v kim sot hot ng qun l, tuyn chn v gim st Tng gim c v Cn b qun l cp cao: HQT ng vai tr quan trng trong vic gim st vic xy dng v t chc thc hin chin lc pht trin, k hoch kinh doanh trong tng thi k v kim sot hot ng ca B my qun l theo cc quy nh ti iu 20 iu l Cng ty, c th nh sau: Xy dng cc nh hng chin lc quyt nh cc chin lc v k hoch pht trin trung hn v k hoch kinh doanh thng nin ca Cng ty. HQT s ban hnh cc quy ch ca Cng ty nhm m bo thc hin cc quyn v ngha v ca mnh theo quy nh ti Khon 3,4 iu 20 ca iu l, c bit l: + Quy nh cc th tc chi tit i vi Tng gim c v Ngi qun l khc trong vic xin php thc hin nhng giao dch nm ngoi phm vi k hoch kinh doanh v ti chnh ca Cng ty; Quy nh c cu B my qun l, quyn v ngha v ca B my qun l, cng nh trch nhim phi gnh chu trong trng hp hnh ng vt qu thm quyn.

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B nhim v min nhim Tng Gim c v Cn b qun l cp cao, ph chun cc iu kin ca hp ng lao ng v quyt nh mc th lao ca Tng Gim c v Cn b qun l cp cao theo quy nh ti Khon 3 iu 20 ca iu l. Gim st hot ng ca Tng Gim c v Cn b qun l cp cao theo quy nh ti Khon 2 iu 20 ca iu l. HQT s quy nh trch nhim gim st c th cho cc Tiu ban ca HQT ph hp vi lnh vc ph trch, chi tit ti iu 21 ca Quy ch ny. Cc ni dung gim st nh sau: + Thnh tch chung ca Cng ty, c bit trong s so snh vi i th cnh tranh; + S tun th ca B my qun l i vi lut php v cc th tc ni b lin quan ti Qun tr cng ty, qun tr ri ro v kim sot ni b, cng nh cc vn v o c kinh doanh; + Thnh tch ca B my qun l, cp nhm ln cp c nhn; + Vic trin khai chin lc kinh doanh ca Cng ty; + Cc ch tiu tip th v kinh doanh ca Cng ty; + Cc kt qu ti chnh ca Cng ty; + Quan h vi cc bn c quyn li lin quan, bao gm c cc c ng cng nh cc nhn vin, cc nh cung cp v khch hng ca Cng ty. Tr khi c quyt nh khc ca HQT, Cn b qun l cp cao gi bo co t nh gi n TG. TG s cho kin v gi cc bo co ny v bo co t nh gi ca mnh cho Tiu ban Nhn s. Tiu ban Nhn s s tng hp bo co gim st TG v Cn b qun l cp cao v gi cho HQT ly kin thng qua. Bo co c xc lp theo nh k 6 thng ( cui qu 2 v qu 4 ca nm ti chnh). Bo co c thng qua khi c a s cc thnh vin HQT chp thun (c th thng qua tho lun ti bui hp HQT hoc ly kin bng vn bn). Thi gian gi bo co cho HQT phi tun th theo cc quy nh v hp v ly kin ca HQT c quy nh trong Quy ch ny. Ni dung bo co bao gm nhng khng gii hn vic gim st t chc thc hin cc Ngh quyt ca HC, HQT, cc kt qu hot ng kinh doanh ca Cng ty, cc cng tc, nhim v qun l iu hnh theo quy nh ti iu l, Quy ch qun tr Cng ty. Thnh lp cc Tiu ban trc thuc HQT: HQT s cn nhc thnh lp cc Tiu ban trc thuc c nng lc chuyn mn ha hot ng ca HQT theo quy nh ti iu 23B ca iu lca iu l v iu 21 ca Quy Ch ny.
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B nhim v min nhim cc Th k Cng ty: HQT s chu trch nhim b nhim v min nhim Th k Cng ty theo quy nh c th ti iu 27 ca iu l. Thng qua cc ti liu ni b: HQT c trch nhim thng qua cc ti liu ni b, tr cc ti liu thuc thm quyn ca HC. C th bao gm: + Quy ch hot ng v hng dn ni b dnh ring cho mi Tiu ban c c thnh lp; + Ti liu hng dn vic bu chn cc thnh vin HQT, BKS theo phng thc dn phiu (nh cp ti iu 10.8); + Quy nh v vic cng b thng tin ph hp vi cc quy nh ca lut php; + Quy tc ng x; + Chnh sch c tc; + Chnh sch an ninh thng tin; + Cc quy nh lin quan n kim sot v r sot (chnh sch qun l giao dch vi Ngi c lin quan); + Qun l ri ro; + Kim ton cc hot ng ti chnh v kinh doanh ca cng ty; + Th k cng ty; + Cc ti liu khc.

Thng qua quy tc Qun tr cng ty hiu qu. HQT c trch nhim m bo thng qua cc quy tc Qun tr cng ty hiu qu m bo quyn li cho cc C ng. Mt s ni dung quy tc Qun tr Cng ty c cp ti iu 3 ca Quy Ch ny.

14.2 m bo quyn li ca c ng HQT c trch nhim trong vic t chc HC, c quy nh c th ti iu 9 v 10 ca Quy Ch ny. HQT c trch nhim xy dng Chnh sch c tc m bo quyn li cho cc c ng. HQT s ch tr trong vic ngn nga v gii quyt cc xung t gia c ng v Cng ty. HQT c trch nhim xy dng mt h thng tun th cc quy trnh th tc thng qua cc c ch gim st v h thng kim sot ni b cc xung t. HQT c trch nhim xc nh phn cng nhim v cho Tiu ban ph hp m bo cho ni dung ny. Tiu ban Gii quyt xung t c cp ti iu 21 ca Quy Ch ny.
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14.3

Ti sn v vn iu l: Thm quyn ca HQT i vi ti sn v vn iu l c quy nh ti iu 20 ca iu l Cng ty.

14.4 -

Kim sot, cng b thng tin v m bo tnh minh bch: HQT s ph duyt trc cc bo co ti chnh c kim ton v gi n BKS thm nh trc khi trnh HC. HQT c trch nhim chun b cc bo co v cng tc qun l v tnh hnh hot ng ca cng ty, c bit l bo co qun tr cng ty (chi tit ni dung ti iu 57.1) v trnh ln HC thng nin. HQT chu trch nhim thng qua bo co s kin quan trng. Vic cng b cc thng tin quan trng ny c cp c th ti Chng X Quy ch ny. HQT s thit lp mt c ch m bo vic xy dng mt h thng cho php nh gi v kim sot ri ro. C th l: + Thng qua chnh sch, th tc qun l ri ro v m bo vic tun th cc th tc ny, th tc phi m bo vic thng tin v s thiu st ca c ch qun l ri ro cho HQT. + Thng xuyn phn tch, nh gi v ci thin hiu qu ca chnh sch, th tc qun l ri ro. + Xy dng cc chnh sch ph hp nhm khuyn khch B my qun l, cc phng ban v nhn vin Cng ty p dng h thng kim sot ni b. + Giao cho Tiu ban Kim ton hoc thnh lp mt Tiu ban Qun l ri ro trc thuc HQT khi cn thit.

iu 15:

Thnh phn, c cu ca Hi ng qun tr

15.1. S lng thnh vin HQT S lng thnh vin HQT, nh quy nh ti Khon 1 iu 19 ca iu l, c quyt nh da trn cc yu cu ca php lut, nhu cu c th ca Cng ty v c ng vo tng thi k. S lng c xc nh da trn xut ca Tiu ban Nhn s. 15.2. C cu HQT
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C cu HQT c quy nh ti iu 21 ca iu l. HQT bao gm Ch tch HQT, cc thnh vin HQT. HQT s thnh lp cc tiu ban ph trch cc lnh vc c th theo ngh quyt ca HQT ti tng thi im.

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Quyn hn v ngha v ca Ch tch HQT, thnh vin HQT c quy nh ti iu 21 ca iu l. Ch tch HQT, c bu theo nguyn tc qu bn, s xy dng ti liu m t cng vic ca tng v tr cng tc cho cc thnh vin ca HQT khi cn thit. Chc trch, nhim v, quyn hn, t chc, b my ca cc tiu ban trc thuc HQT c quy nh ti iu 21 ca Quy Ch ny.

15.3. Nhim k ca thnh vin HQT Nhim k ca thnh vin HQT c quy nh ti Khon 1 iu 19 ca iu l. Nhim k c tnh theo thi gian m thnh vin tham gia mt HQT c th. Nhim k ca thnh vin HQT c bu b sung l thi hn cn li ca nhim k HQT . 15.4. Cc dng thnh vin ca HQT
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Cc thnh vin ca HQT c phn loi nh sau:

Theo tnh iu hnh: Thnh vin HQT tham gia iu hnh v thnh vin khng iu hnh Theo tnh c lp: Thnh vin HQT khng iu hnh c thnh vin c lp v thnh vin khng c lp.

Nh vy, Nh vy, c 3 (ba) dng thnh vin HQT nh sau: (i) thnh vin HQT iu hnh; (ii) thnh vin HQT c lp v (iii) thnh vin HQT khng iu hnh (khng c lp). Tng s thnh vin thnh vin HQT c lp phi chim t nht mt phn ba (1/3) tng s thnh vin HQT.
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Thnh vin HQT khng iu hnh l thnh vin HQT khng nm gi bt k chc v qun l, iu hnh no trong Cng ty. Thnh vin HQT khng iu hnh s phi m bo cc phm cht sau: + Lim chnh v c tiu chun o c cao; + Phn quyt chun xc; + Kh nng v ch ng u vi thch thc v tm ti ci mi; + K nng giao tip tt.

Tnh c lp ca thnh vin HQT c lp ch c p ng khi thnh vin HQT p c cc yu cu bt buc sau y: + Khng phi l ngi c lin quan vi Tng gim c, Gim c iu hnh, K ton trng v nhng cn b qun l khc c Hi ng qun tr b nhim; + Khng phi l thnh vin HQT, Tng gim c, Gim c iu hnh ca cc cng ty con, cng ty lin kt, cng ty do Cng ty i nm quyn kim sot;
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Khng phi l c ng ln hoc ngi i din ca C ng ln hoc ngi c lin quan ca c ng ln ca Cng ty; + Khng lm vic ti cc t chc cung cp dch v t vn php lut, kim ton cho cng ty trong hai (02) nm gn nht; + Khng phi l i tc hoc ngi lin quan ca i tc c gi tr giao dch hng nm vi cng ty chim t ba mi phn trm (30%) tr ln tng doanh thu hoc tng gi tr hng ho, dch v mua vo ca Cng ty trong hai (02) nm gn nht. Ngoi cc vic p ng cc yu cu nu trn, tnh c lp ca thnh vin HQT c lp cn c xem xt v cn nhc khi p ng c cc yu cu sau mt cach tt nht: + + Khng phi l nhn vin ca Cng ty hay ca Ngi c lin quan trong 5 nm gn nht; + Khng phi l thnh vin gia nh trc h ca mt c nhn ang l, hoc trong 5 nm gn nht l, mt Ngi Qun L ca Cng ty hoc ca Ngi c lin quan; + Khng phi l cn b iu hnh ca mt cng ty khc m mt gim c ca Cng ty l thnh vin HQT ca cng ty . + Khng c mi lin h lin kt vi mt t chc phi li nhun nhn nhng khon tin ng gp ln t Cng ty hoc t Ngi c lin quan.

15.5. ng c, c, thm tra t cch ng c vin Vic ng c, c thnh vin HQT c quy nh ti iu 19 ca iu l. Thng tin v cc ng vin c c vo HQT phi c cng b trc khi t chc HC m bo cho cc c ng nhn c y thng tin xc nh nng lc ca cc ng vin cng nh nh gi tnh c lp ca h. Cc thng tin c cng b bao gm: + H v tn ca ng vin; + H v tn ca c ng (hoc nhm c ng) c ng vin ; + tui v trnh hc vn ca ng vin; + Kinh nghim v trnh chuyn mn ca ng vin; + Nhng v tr cng tc m ng vin m nhim trong vng 5 nm qua; + Nhng v tr cng tc m ng vin ang m nhim; + Bo co nh gi v ng gp ca ng vin cho Cng ty vi t cch l thnh vin Hi ng qun tr, trong trng hp ng vin c ti b nhim; + Bn cht mi quan h ca ng vin vi Cng ty; + Cc v tr trong HQT ca nhng cng ty khc hoc cc v tr chnh thc khc m ng vin nm gi;
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+ Vic ng vin c c vo HQT ca cc cng ty khc v cc v tr chnh thc khc + Quan h ca ng vin vi cc Ngi c lin quan; + Quan h ca ng vin vi cc i tc kinh doanh chnh ca Cng ty; + Quan h ca ng vin vi cc i th cnh tranh ca Cng ty; + Nhng thng tin lin quan ti tnh hnh ti chnh ca ng vin v nhng vn khc c th c nh hng ti nhim v v tnh c lp ca ng vin vi t cch l thnh vin HQT; + Vic ng vin t chi cung cp thng tin theo yu cu ca Cng ty; Tiu ban Nhn s s ph trch vic thm tra cc thng tin trn ca ng vin. i vi thng tin v Quan h ca ng vin vi cc i th cnh tranh, mc ca vic u t nh c quy nh im m Khon 1 iu 1 ca iu l c cho l i th cnh tranh l 10%.

15.6. Phm cht, nng lc Yu cu v thnh vin HQT c quy nh ti iu 19 ca iu l Ngoi ra, cn c cc phm cht v nng lc sau y: C t cht lnh o, lim chnh, c trch nhim, chn chn, c o c, v nhn c s tin tng ca cc c ng, cc thnh vin khc trong HQT, cc cn b qun l, v nhn vin ca Cng ty; C kh nng cn bng li ch ca tt c cc bn c quyn li lin quan v a ra nhng quyt nh hp l; C kinh nghim chuyn mn v trnh hc vn cn thit hot ng mt cch c hiu qu; C kinh nghim kinh doanh quc t, am hiu cc vn a phng, hiu bit v th trng, sn phm, v i th cnh tranh; C kh nng bin kin thc v kinh nghim thnh cc gii php thc tin.

iu 16:

Bu v bi nhim, min nhim thnh vin Hi ng Qun tr

Nguyn tc bu HQT c quy nh ti iu 17 ca iu l. Theo , vic biu quyt bu thnh vin HQT phi c thc hin theo phng thc bu dn phiu. C th nh sau: 16.1 Bu thnh vin HQT Vic bu dn phiu xc nh thnh vin HQT c quy nh trong Quy ch biu quyt bu c do HQT quy nh;
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Cng ty s n lc trong vic chia s thng tin cho c ng thng qua vic chun b ti liu hng dn cch dn phiu mt cch c hiu qu cho c ng. Trong , quyn li ca c ng trong vic bu dn phiu v cc hu qu khi s dng quyn ny mt cch khng hiu qu. Theo Khon 4 iu 19 iu l, vic b nhim mt thnh vin mi th vo mt ch trng bt ng pht sinh s c thc hin theo xut ca Tiu ban Nhn s. HQT s thc hin biu quyt theo phng thc i nhn. Kt qu ch c thng qua khi t ti thiu t 65% phiu thun. Min nhim Vic min nhim thnh vin HQT c cp theo quy nh ti cc im a, b, c Khon 3 iu 19 ca iu l ca iu l. Trng hp mt thnh vin HQT khng t cch theo quy nh ca Php lut hoc khng c nng lc hnh vi th Tiu ban o c v hoc Tiu ban Nhn s ca HQT s chu trch nhim thu thp bng chng, thng tin v lp bo co v xut, trnh HQT biu quyt quyt nh theo c ch i nhn. i vi trng hp t nhim, th Tiu ban Nhn s s th l vic xem xt v trnh HQT quyt nh. Vic Min nhim ch c hiu lc khi c Ngh quyt bng vn bn ca HQT. Bi nhim Vic bi nhim thnh vin HQT c cp theo quy nh ti cc im a,d,f Khon 3 iu 19 ca iu l. i vi trng hp thnh vin HQT b php lut cm khng c lm thnh vin HQT, HQT s triu tp cuc hp ban hnh ngh quyt. i vi trng hp thnh vin HQT: khng hon thnh nhim v; gian di Tiu ban o c v hoc Tiu ban Nhn s ca HQT s chu trch nhim thu thp bng chng, thng tin v lp bo co v xut, trnh HQT biu quyt quyt nh theo c ch i nhn

16.2 -

16.3 -

iu 17:

Bn phn v ngha v php l thnh vin Hi ng Qun tr

Quyn hn v nhim v ca HQT c quy nh ti iu 20 ca iu l v iu 14 ca Quy ch ny. Theo , thnh vin HQT phi hnh ng mt cch trung thc, sing nng v cn trng v li ch cao nht ca Cng ty v phi c cc bn phn v ngha v php l nh c quy nh ti iu ny nh sau:

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17.1. Bn phn Bn phn chm lo: th hin vic cc thnh vin HQT c trch nhim thc thi quyn v ngha v ca mnh mt cch cn trng, thin , v chuyn nghip, c th: + Hnh ng mt cch trung thc vi thin ; + Phi ch ng v trnh b ri vo tnh th th ng; + Chm lo v cn trng mc ti a m mi ngi c th mong i i vi mt thnh vin HQT tt trong mt tnh hung v hon cnh tng t; + Khng khin Cng ty phi vi phm php lut; + Thng xuyn tham gia mt cch tch cc vo cc cuc hp ca HQT; + Tp trung vo cc vn trong chng trnh ngh s ti cc cuc hp HQT, v ch ng yu cu t chc cc cuc hp HQT khi cn thit; + m bo rng Cng ty c mt h thng kim sot ni b hiu qu; + Yu cu Tng gim c v cc thnh vin Ban Gim c iu hnh cung cp y thng tin cho HQT cc thnh vin HQT nm vng nhng vn trong Cng ty; + Thc thi trch nhim gim st ph hp i vi Cn b qun l cp cao. Bn phn trung thnh: Thnh vin HQT phi trung thnh vi Cng ty v li ch ca Cng ty v cc c ng. Thnh vin HQT s khng c thc hin cc hnh ng sau: + Tham gia vo HQT ca i th cnh tranh; + Thc hin bt k mt giao dch no vi Cng ty m khng cng b giao dch v khng xin php HQT hoc HC; + S dng ti sn v tin ch ca Cng ty phc v nhu cu ring; + Tit l thng tin b mt ca Cng ty; + S dng thng tin hoc cc c hi kinh doanh ca Cng ty v li ch c nhn thu li ring; Thnh vin HQT s khng thc thi bn phn ca mnh nu c xung t li ch. Thnh vin HQT phi ngay lp tc thng bo cho Hi ng qun tr thng qua Th k Cng ty v bt k mt xung t li ch tim n no. Thnh vin HQT s tit l thng tin v xung t li ch theo quy nh ti iu 23 ca iu l v Chng IX ca Quy Ch ny.

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Thnh vin HQT phi thc hin vic bo mt thng tin. Quy nh v cc thng tin c cp ti Chng X ca Quy ch ny. c bit l: + Thnh vin HQT s thc hin cc bin php cn thit bo v thng tin b mt ca Cng ty thng qua vic xc lp cc quy nh ni b v bo v v cng b thng tin ca Cng ty cng nh cc tiu chun s dng thng tin b mt . + Thnh vin HQT khng c tit l thng tin b mt ca Cng ty hoc s dng thng tin mt ca Cng ty v li ch ring. + Thnh vin HQT khng c tit l thng tin b mt ca Cng ty trong [05] nm k t ngy ri khi Cng ty. Yu cu ny s c quy nh trong Tha thun thnh vin c k kt gia Cng ty v thnh vin HQT. + Thnh vin HQT trc khi m nhn vai tr thnh vin hoc trong mt thi gian ngn nht t khi tr thnh thnh vin s k bn cam kt v vic nhn thc v thc hin cc yu cu ca php lut v cc bn phn lin quan n vic bo mt thng tin.

Thnh vin Hi ng qun tr c trch nhim cng b vi Cng ty v th lao ca thnh vin ny t cc cng ty con. Cc bn phn khc (c quy nh c th ti Quy Ch ny khi pht sinh).

17.2. Ngha v php l Thnh vin HQT vi phm ngha v php l quy nh ti iu l, iu 17.1 Quy ch ny, bao gm nhng khng gii hn khng hnh ng trung thc, khng hon thnh nhim v ca mnh vi s cn trng, mn cn v nng lc chuyn mn cn thit s phi chu trch nhim v nhng thit hi do hnh vi vi phm ca mnh gy ra. Thnh vin HQT c trch nhim cng b vi Cng ty cc khon th lao m thnh vin ny nhn c t cc Cng ty con, Cng ty lin kt v cc t chc khc m h l ngi i din phn vn gp ca Cng ty. Bo v cc thnh vin HQT trc ngha v php l: Cng ty cho php thnh vin HQT gii trnh v chng minh vic thc hin cc trch nhim, bn phn ca mnh. Ngoi ra, Cng ty s p dng cc bin php hn ch tn tht i vi nhng tn tht pht sinh khi h thi hnh trch nhim, bn phn thng qua: + Bo him v trch nhim bi thng thnh vin HQT sau khi c s chp thun ca HC theo quy nh ti im a Khon 3 iu 30 ca iu l. + HQT s ban hnh quy ch bo v thnh vin Hi ng qun tr trc nhng khiu kin, trch nhim v chi ph bi thng trong mt s trng hp.
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Cng ty s hon tr cho mt thnh vin HQT nhng chi ph pht sinh trong vic bo v bn thn c nhn trc khiu kin lin quan n vai tr thnh vin HQT ca c nhn , nu c nhn hnh ng: + Trung thc, cn trng; + Thc hin bn phn mt cch tha ng; + V nhng li ch cao nht ca Cng ty v c ng; + Tun th php lut, iu l v cc quy ch ni b.

iu 18:
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nh gi v o to thnh vin Hi ng qun tr

Vic nh gi hot ng thnh vin HQT c thc hin thng qua: + T nh gi bi bn thn thnh vin HQT, v + nh gi kn ln nhau gia cc thnh vin HQT vi s phi hp ca mt bn th ba. Bn th ba c th l c vn php l hoc mt nh t vn chuyn nghip c quyt nh ti tng thi im.

Vic nh gi phi c thc hin t nht mt nm mt ln. Phng php nh gi c thc hin thng qua vic t chc mt cuc hp c bit ca HQT nh gi cng tc ca HQT hoc dnh thi gian trong mt cuc hp thng k thc hin vic nh gi. H s nh gi s c lu tr ti Cng ty theo ch lu tr thng tin b mt. Cn c vo kt qu nh gi nh k v HQT v cc thnh vin ca HQT c quy nh ti iu ny, cc chng trnh tp hun, o to s c t chc hoc cung cp pht trin kin thc v k nng ca thnh vin HQT. Cc chng trnh o to ny s cung cp cho cc thnh vin HQT cc ni dung: + Nhng k nng mi v nng cao tnh chuyn nghip, ng thi nhn thc r hn cc vn lin quan; + Tip cn kin thc cp nht v Qun tr cng ty v cc vn khc, c c hi tho lun cc vn cng ng nghip v ngi hng dn; + Nng cao nhn thc v cc vn o c v gi tr nn tng ca vic qun tr cng ty hiu qu. + Cc kha hc c lin quan gip thnh vin HQT hon thnh cc nhim v v trch nhim ca mnh.

Cc thnh vin HQT s n lc tham gia cc kha o to v qun tr cng ty ti cc c s o to c y ban Chng khon Nh nc cng nhn.

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iu 19:
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Ch th lao ca thnh vin Hi ng Qun tr

Ch th lao ca thnh vin HQT c quy nh ti Khon 7,8 iu 20 ca iu l. Trong , Cng ty s cam kt mc th lao: + Mang tnh cnh tranh v nm trong gii hn hp l. + Th lao thnh vin HQT iu hnh thp hn thnh vin HQT khng iu hnh (mt phn th lao ca thnh vin HQT iu hnh c tnh trong gi lng thng) ; + Th lao ca cc thnh vin HQT khng iu hnh l ngang nhau.

Kt cu ca khon th lao c quy nh ti Khon 7,8 iu 20 ca iu l, c th bao gm: + Mt khon tin th lao c nh; Mt khon tin th lao cho vic tham gia cc cuc hp HQT; + Khon tin th lao cho nhng cng vic lm thm trong cc Tiu ban ca HQT; + Cc khon th lao cho nhng trch nhim b sung, chng hn cho vai tr Ch tch HQT hoc Ch tch mt Tiu ban trc thuc HQT.

Th lao ca thnh vin HQT s c sot xt theo nh k 2 nm hoc bt thng ty theo quyt nh ca a s thnh vin HQT. Trch nhim xy dng nh mc th lao do Tiu ban Lng thng thuc HQT ph trch. Th lao ca HQT c cng b trong bo co ti chnh c kim ton hng nm cng nh trong bo co thng nin ca Cng ty. Chi tit v ni dung v phng thc cng b thng tin c quy nh ti Chng X ca Quy ch ny.

iu 20:

Quy trnh lm vic ca Hi ng Qun tr

Quy trnh lm vic ca HQT v cc cuc hp ca HQT c quy nh ti iu 23 ca iu l. C th nh sau: 20.1. Ch tch HQT v cc cuc hp ca HQT Ch tch HQT c trch nhim triu tp cc cuc hp HQT v s quyt nh hnh thc t chc cuc hp HQT theo quy nh ti iu 23 ca iu l. Ngoi ra, Ch tch HQT cng c th y quyn bng vn bn cho mt thnh vin HQT no thc thi quyn v ngha v ca Ch tch HQT. Quyn hn v nhim v ca Ch tch HQT c quy nh ti iu 21 ca iu l. i vi cc cuc hp ca HQT, Ch tch HQT c cc trch nhim sau y:

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+ To iu kin thun li cho vic ra quyt nh i vi nhng vn c tho lun trong chng trnh hp; + Khuyn khch vic tho lun cc vn mt cch ci m trong mt bu khng kh thn thin v xy dng; + To c hi cho cc thnh vin HQT by t quan im ca mnh i vi nhng vn ang c tho lun; + Hng HQT i ti mt s ng thun. 20.2. Hp HQT - Cc cuc hp HQT, a im, thi gian, thng bo, s lng, trnh t biu quyt c quy nh ti iu 23 ca iu l. Cc thnh vin ca HQT phi tch cc tham gia cc cuc hp v c cc trch nhim sau y: + Tham gia tho lun v biu quyt; + Tham gia vo nhng cng vic ca mt Tiu ban trc thuc HQT no nu l thnh vin ca Tiu ban ; + Yu cu t chc mt cuc hp ca HQT tho lun v nhng vn quan tm; + Thng bo cho HQT khi khng th tham gia cc cuc hp ca HQT. Ngoi cc trch nhim c quy nh ti iu 23 ca iu l, khi tham d cc cuc hp HQT, mi mt thnh vin HQT phi: + Lng nghe v hiu r nhng ni dung trnh by ca nhng ngi khc trong cuc hp; + t cu hi vi nhng ni dung trnh by hoc cc bo co ca B my qun l, nht l nht l khi nhn nh rng cc thng tin, ti liu ny c trnh by cha r v c tnh phc tp. + Yu cu b sung ti liu khi tho lun v nhng vn khng nm trong lnh vc chuyn mn ca mnh. Yu cu b sung thng tin c p ng thng qua vic cung cp cc ti liu nghin cu, cc nh gi hoc quan im c lp, v cc chng t hoc ti liu khc trc khi cuc hp din ra. Tr khi cc tiu ban c qui nh ring v c HQT ph chun, cc cuc hp ca cc Tiu ban ca HQT s c tin hnh theo cc quy nh v cuc hp HQT. Thnh vin HQT trong trng hp khng th tham d hp trc tip ti cuc hp HQT th c th:
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+ Tham d bng hnh thc hp qua hnh thc ngh s trc tuyn ( in thoi, video trc tuyn). Thnh vin HQT trong trng hp ny vn c xem l c mt ti bui hp ca HQT; hoc + y quyn cho mt i din c thay mt mnh tham d hp HQT (i) i vi hnh thc hp qua hnh thc ngh s trc tuyn Vic tham d bng hnh thc ny phi p ng v iu kin v c s vt cht m bo thnh vin HQT c th nghe kin ca cc thnh vin HQT khc v c th pht biu kin n tt c cc thnh vin d hp khc. Cc quyt nh c thng qua trong mt cuc hp c thnh vin tham d qua in thoi c t chc v tin hnh mt cch hp thc c hiu lc ngay khi kt thc cuc hp nhng phi c khng nh bng cc ch k trong bin bn ca tt c thnh vin Hi ng qun tr tham d cuc hp ny. Thnh vin HQT c trch nhim thng bo n Ch ta cuc hp v vic khng th tham d hp trc tip v hnh thc tham d hp thay th trc t nht 03 ngy ca ngy t chc hp. (ii) i vi hnh thc y quyn Cc thng tin v vic y quyn c gi bng vn bn hoc email n cc thnh vin HQT v Th k Cng ty t nht ba (03) ngy lm vic trc ngy hp HQT. Cc Thnh vin HQT s biu quyt chp thun vic y quyn ny t nht mt (01) ngy trc ngy hp HQT (c th thng qua vn bn hoc email). Vic y quyn s c hiu lc khi c a s thnh vin HQT chp thun. Khi vic y quyn c chp thun, thnh vin HQT s xc lp vn bn y quyn vi ni dung v phm vi y quyn c cc Thnh vin HQT khc chp thun v ngi c y quyn s c trch nhim xut trnh trc cuc hp HQT. Vn bn y quyn ca thnh vin HQT phi c ti thiu cc ni dung sau: (i) H tn, cc thng tin c nhn v v tr cng tc ca ngi c y
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quyn; (ii) phm vi y quyn phi c cp r phm vi, bao gm mt phn hay ton b v (1) y quyn d hp, (2) y quyn biu quyt, (3) y quyn nu kin, din gii cc kin v nhng vn c th theo chng trnh hp v/hoc bt c vn no pht sinh trong cuc hp HQT Vic y quyn ny khng c ngha l ngi c y quyn a ra cc kin c nhn ca mnh cho cc ni dung trong cuc hp HQT. Ngi c y quyn ch c a ra cc kin trong phm vi c y quyn v ngi y quyn vn chu trch nhim cho cc ni dung mnh y quyn . Ngi c y quyn c trch nhim bo mt thng tin v ngi y quyn chu trch nhim cho vic bo mt thng tin ca ngi c y quyn.
Vic y quyn ny khng lm mt quyn gi cc kin, biu quytbng vn bn ca thnh vin HQT y quyn.

20.3. Cuc hp u tin ca HQT Trong cuc hp u tin ca HQT s c t chc sau HC v trong vng ba mi (30) ngy k t khi bt u nhim k, trong trng hp c ni dung bu Ch tch HQT th c t chc trong vng by (07) ngy k t khi bt u nhim k. Cuc hp u tin ca HQT s: + Xc nh nhng u tin ca HQT; + Thnh lp/iu chnh cc Tiu ban thch hp, k c quy ch hot ng ca cc tiu ban; + Bu chn cc Ch tch/ nhng ngi ng u ca cc Tiu ban. 20.4. Lch hp ca HQT Lch hp ca HQT c quy nh ti Khon 2 iu 23 ca iu l, theo cuc hp thng k ca HQT c th c Ch tch HQT triu tp bt c lc no cho l cn thit, t nht mi qu mt cuc hp. Ngoi ra, HQT s xy dng lch hp thng nin hng nm, mi nm t nht 4 ln. Bn cnh cc cuc hp nh k , s c mt cuc hp sot xt bo co thng nin trc cuc hp HC thng nin.

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20.5. Th k Cng ty v cc cuc hp ca HQT HQT s c trch nhim ch nh Th k Cng ty tham gia cc cuc hp. Vai tr ca Th k cng ty c quy nh ti iu 27 ca iu l v iu 28 ca Quy ch ny.

iu 21:
-

Cc Tiu ban ca Hi ng Qun tr

21.1. Cc Tiu ban ca HQT HQT s thnh lp cc Tiu ban trc thuc h tr hot ng ca HQT theo quy nh ti Khon 16 iu 23 ca iu l. HQT s quyt nh cch thc thnh lp, quyn hn, ngha v v trch nhim ca tng Tiu ban v ca tng thnh vin trong tiu ban thng qua cc quy ch ni b ca tiu ban hoc cc quyt nh thnh lp ti tng thi im. Cc Tiu ban ca HQT c th c xc lp theo iu l bao gm: + Tiu ban Chnh sch pht trin; + Tiu ban Kim ton; + Tiu ban Nhn s; + Tiu ban Lng thng. Tiu ban Nhn s v tiu ban Lng thng phi c t nht mt (01) thnh vin HQT c lp lm trng ban. Cc tiu ban c bit khc (Tiu ban o c, Tiu ban gii quyt xung t, Tiu ban kim ton, Tiu ban qun l ri ro) c thnh lp theo Ngh quyt ca HC. Tt c nhim v, quyn hn ca mt tiu ban bt k, nu cha c thnh lp, s l nhim v v quyn hn ca HQT.

21.1.1 Tiu ban Nhn s: Tiu ban Nhn s thc hin cc chc nng, nhim v nh sau: + Gp kin i vi cc xut v vic b nhim, bi nhim thnh vin HQT v thnh vin B my qun l. + c thnh vin HQT s c bu li ti mi k HC thng nin; + ra cc tiu ch v phm cht v nng lc ca thnh vin HQT hoc thnh vin B my qun l; + Son tho hoc nh gi ni dung son tho v cc quy trnh b nhim thnh vin HQT v thnh vin B my qun l;

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+ nh k (ti thiu l mi nm hai ln) nh gi quy m v thnh phn ca HQT v B my qun l, cc iu kin b nhim v a ra khuyn ngh lin quan ti nhng thay i cn thit trnh ln HC trong k i hi tip theo; + Ch o vic chun b ti liu v ni quy lao ng ca Cng ty, hp ng lao ng vi B my qun l, Th k Cng ty. + Quyt nh tuyn chn v b nhim Tng Gim c, Tng Gim c thu ngoi. + Xy dng trnh t v th tc c, ng c thnh vin HQT; + Xc nh tnh c lp ca cc thnh vin HQT khng iu hnh; + Xy dng quy trnh nh gi hot ng ca HQT, xut cc tiu ch nh gi khch quan hot ng ca HQT. nh gi tnh hiu qu ca HQT v ng gp ca mi thnh vin cng b trong bo co thng nin. + Ch ng xy dng v xut vi HQT v k hoch pht trin ngun nhn lc; pht hin, tuyn chn, o to v bi dng Cn b qun l cp cao + Thc thi nhng nhim v khc c HQT giao ph lin quan ti chnh sch nhn s ca Cng ty. Chc nng c th ca Tiu ban Nhn s c th c iu chnh v s c xc nh trong quyt nh thnh lp ca HQT ti tng thi im.

Cc thnh vin trong Tiu ban Nhn s c xc nh phi nm vng nhng nguyn tc c bn v o c kinh doanh, qun l, Lut Doanh nghip, Lut Lao ng v cc quy nh khc c lin quan.

21.1.2 Tiu ban lng thng Tiu ban lng thng thc hin cc chc nng, nhim v nh sau: + xut v chnh sch th lao (lng thng v cc li ch khc) i vi cc thnh vin HQT, B my qun l trnh HQT hoc gp i vi bn xut v chnh sch lng thngdo HQT a ra v sot xt s ph hp vi tng thi k; + Son tho bn xut v nh mc lng thng v li ch khc i vi cc thnh vin HQT, B my qun l, hoc gp i vi ni dung bn xut ca HQT. Bn xut s kin ngh v c cu lng thng v nh mc lng thng. a ra cc ch tiu nh gi lin quan n vic thng hot ng ca B my qun l.

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+ nh k (mi nm t nht hai (02) ln) nh gi quy m v c cu lng thng v li ch khc ca tng thnh vin HQT v B my qun l v a ra khuyn ngh lin quan ti nhng thay i cn thit trnh ln HC trong k i hi tip theo. + Thc thi nhng nhim v khc c HQT giao ph lin quan ti chnh sch lng thng ca Cng ty; + Gim st vic nh gi hot ng ca B my qun l. + xut cc chng trnh c phiu thng cho cn b, nhn vin c hoc c kh nng ng gp ln vo hot ng ca Cng ty Chc nng c th ca Tiu ban Lng thng c th c iu chnh v s c xc nh trong quyt nh thnh lp ca HQT ti tng thi im.

Cc thnh vin trong Tiu ban Lng thng phi lim chnh v nm vng nhng nguyn tc c bn v kinh t, ti chnh v Lut lao ng.

21.1.3 Tiu ban kim ton Tiu ban Kim ton s thc hin cc chc nng, nhim v nh sau: + Gp kin v ng vin cho v tr Kim ton c lp i vi xut ca Ban Kim sot. Gp kin v bn d tho hp ng s c k vi Kim ton c lp. + nh gi tnh c lp ca Kim ton c lp. Gim st chc nng kim ton c lp. R sot nhng iu kin c th dn n vic min nhim Kim ton c lp, v xut kin trong nhng trng hp nh vy. + Gim st vic p dng cc tiu chun k ton trong vic chun b cc bo co ti chnh. Xem xt cc vn trng yu v cc nh gi trong vic bo co ti chnh m bo tnh y ca cc bo co ti chnh v cc cng b chnh thc lin quan n kt qu ti chnh ca Cng ty. Xem xt phm vi v kt qu ca kim ton v tnh hiu qu v mt chi ph. + Gim st vic p dng cc tiu ch tng hp bo co ti chnh ca cc cng ty con + nh gi mc chnh xc v mc hon thin ca nhng thng tin ti chnh trc khi cng b. + Gim st cng tc qun tr ri ro ca Cng ty. + Thc thi nhng nhim v khc do HQT giao ph lin quan ti chc nng kim ton trong cng ty.
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+ Xem xt tnh y v thch ng ca hot ng kim sot ni b, bao gm cc mt ti chnh, hot ng, tun th quy nh, qun l ri ro v cc h thng c B my qun l thit lp. + Xem xt tnh hiu qu ca hot ng kim ton ni b. Mc ch ca Tiu ban Kim ton l tr gip Hi ng qun tr gim st tnh lim chnh ca cc bo co ti chnh ca Cng ty, s tun th cc quy nh php lut ca Cng ty, nng lc v tnh c lp ca kim ton c lp, nng lc v tnh hiu qu ca kim ton ni b. Ngoi ra, Tiu ban Kim ton cn c cc nhim v v trch nhim sau: + t nht l hng nm, nhn v xem xt bo co kim ton c lp. + Bn bc v cc bo co ti chnh hng qu v bo co ti chnh nm c kim ton vi Ban Gim c iu hnh v kim ton c lp. + Tho lun vic cng b bo ch v li nhun cng ty, cng nh cc thng tin ti chnh v hng dn vic c hiu cc con s li nhun cho cc c quan phn tch v nh gi tn nhim. + S dng dch v t vn php lut, k ton hoc cc t vn khc bn ngoi khi cn thit. + Bn bc cc chnh sch v nh gi v qun l ri ro. + Hng qu, hp ring vi Ban Gim c iu hnh, Kim ton ni b v Kim ton c lp. + Xem xt cc vn v vng mc v kim ton v s phn hi ca Ban Gim c iu hnh vi Kim ton c lp. Theo , Tiu ban Kim ton cn phi: + Thng xuyn thng bo cc vi phm v gian ln, cng b thng tin v vic tun th php lut ca Cng ty ln Hi ng qun tr + Phn tch v a ra cc xut cho Hi ng qun tr v ri ro lin quan n cc giao dch v hot ng ca cng ty. + Gim st v xem xt cn trng: Cc giao dch ln vo gi cht c nh hng ln n cc bo co ti chnh qu, nm. C s khc bit thng xuyn v quan im gia Ban Gim c iu hnh v cng ty kim ton c lp. Cc chnh sch, phng php k ton bt thng.

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Chc nng c th ca Tiu ban Kim ton c th c iu chnh v s c xc nh trong quyt nh thnh lp ca HQT ti tng thi im. Cc thnh vin HQT c lp hoc khng iu hnh s c HQT cn nhc chim a s trong Tiu ban kim ton. Mt trong s h s c b nhim lm Trng ban tiu ban. HQT s quyt nh c t nht mt thnh vin trong Tiu ban kim ton l chuyn gia v k ton v ti chnh v khng lm vic cho b phn k ton hoc ti chnh ca Cng ty.

21.1.4 Tiu ban Chnh sch pht trin Tiu ban Chnh sch pht trin s thc hin cc chc nng, nhim v nh sau: + Xc nh cc chin lc pht trin, mc tiu v k hoch, cng nh nhng ch tiu thnh tch c bn ca Cng ty; + Xc nh cc u tin hot ng; + Xy dng chnh sch c tc; + nh gi hiu qu di hn cc hot ng ca Cng ty; Chc nng c th ca Tiu ban Chnh sch pht trin c th c iu chnh v s c xc nh trong quyt nh thnh lp ca HQT ti tng thi im.

Thnh vin ca Tiu ban ny phi c kinh nghim trong cc lnh vc hot ng ca Cng ty. HQT s cn nhc la chn cc thnh vin c nng lc gii trong cc lnh vc nghip v, c kin thc ti chnh tham gia Tiu ban ny.

21.1.5 Tiu ban o c Tiu ban o c thc hin nhng chc nng, nhim v nh sau: + m bo Cng ty tun th cc tiu chun o c v ng gp vo vic xy dng mt mi trng tin cy ln nhau trong Cng ty + Pht hin v ngn chn nhng vi phm ca Cng ty i vi cc quy nh ca php lut v cc tiu chun o c. Chc nng c th ca Tiu ban o c c th c iu chnh v s c xc nh trong quyt nh thnh lp ca HQT ti tng thi im.

Cc thnh vin ca Tiu ban ny phi c bit lim chnh, c tt c cc c ng tin tng, hiu bit v nhng quy nh ca php lut v cc tiu chun o c.

21.1.6 Tiu ban gii quyt xung t

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Chc nng, nhim v ca Tiu ban gii quyt xung t c xc nh nh sau: + m bo quyn li ca cc c ng c xc nh c th v ph hp trong iu l ca cng ty, cc quy ch ni b, v b quy tc Qun tr cng ty cp Cng ty + Xy dng cc chnh sch v th tc bo v nhng quyn li ny. + Xy dng v thng xuyn r sot cc chnh sch v th tc gii quyt xung t trong Cng ty + a ra nhng khuyn ngh vi HQT v cch thc gii quyt mt cch c hiu qu nhng xung t (i) trong Cng ty; (ii) gia Cng ty vi cc c ng, cc thnh vin HQT v cc cn b qun l; (iii) trong ni b cc c ng, thnh vin HQT v cn b qun l. Chc nng c th ca Tiu ban Gii quyt xung t c th c iu chnh v s c xc nh trong quyt nh thnh lp ca HQT ti tng thi im.

Cc thnh vin ca Tiu ban ny l nhng thnh vin HQT c lp. Trong trng hp khng th p ng c yu cu ny, t nht Ch tch ca Tiu ban ny phi l thnh vin HQT khng iu hnh v c lp.

21.2. Thnh phn ca cc Tiu ban S lng thnh vin ca mi Tiu ban do HQT quyt nh v cn nhc ti tng thi im, nhng mi Tiu ban s c t nht ba (03) thnh vin. Cc thnh vin trong Tiu ban khng nht thit phi l thnh vin HQT. Trong mi Tiu ban, s c t nht mt thnh vin HQT v c t nht mt thnh vin p ng y cc iu kin ca mt thnh vin HQT khng iu hnh. HQT s b nhim mt thnh vin trong Tiu ban lm Trng ban tiu ban. Cc bn lin quan khc, nht l cc cn b qun l, nhng ngi khng phi l thnh vin ca cc Tiu ban trc thuc HQT, c th c mi d bn v cc vn c th no , nhng ch c t cch quan st v khng c quyn can thip hoc quyt nh i vi cc vn c d bn. 21.3. Ch tch mt Tiu ban Ch tch ca cc Tiu ban ny c u tin la chn trong s nhng thnh vin HQT khng iu hnh . Ch tch ca mt Tiu ban phi bo co ln Ch tch HQT v nhng cng vic ca Tiu ban. Bn cnh , cc Ch tch ca cc Tiu ban phi c mt ti cc k HC tr li nhng cu hi ca cc c ng.
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Ch tch ca mt Tiu ban phi: + Thng bo cho HQT bit v tt c nhng vn quan trng lin quan n cng vic ca Tiu ban, t nht ba (03) thng mt ln + Np cho HQT tt c nhng d liu m HQT yu cu, khng c chm tr + Thc hin nhng bin php qun l cn thit m bo rng Tiu ban hon thnh tt nhim v ca mnh.

21.4. Thm quyn ca cc Tiu ban trc thuc HQT HQT l mt tp th trong cc quyn v ngha v ca cc thnh vin c xc nh r rng theo quy nh ti iu 20 ca iu l v iu 17 ca Quy ch ny, c th l (i) mi thnh vin c quyn v ngha v nh nhau (tr Ch tch HQT c quy nh ti iu 21 ca iu l), (ii) mi thnh vin u phi chu trch nhim chung, (iii) mi thnh vin phi cng hin vi t cch l mt th ch tun theo cc th tc c th lin quan n vic ra quyt nh. Trch nhim cui cng trong vic ra quyt nh thuc v tp th HQT. Cc Tiu ban trc thuc c th gii quyt v a ra nhng quyt nh xut lin quan n nhng vn c HQT giao ph, vi iu kin quyt nh xut ch c hiu lc v gi tr thi hnh khi a s cc thnh vin ca Tiu ban c mt v biu quyt trong cuc hp ca Tiu ban cng ng thi l thnh vin HQT.

CHNG IV: B MY QUN L iu 22: B my qun l v Thm quyn ca B my qun l

22.1. C cu ca B my qun l c quy nh ti iu 24 ca iu l v bao gm: mt Tng Gim c, mt s Gim c iu hnh c gi chung l Ban Gim c iu hnh, v mt K ton trng do HQT b nhim. 22.2. Cng ty khng c quy nh ring v thm quyn ca B my qun l, thm quyn ca B my qun l, mi quan h cng tc gia cc thnh vin ca B my qun l do Tng Gim c quy nh. Tng Gim c c tt c cc thm quyn tr cc thm quyn thuc HC v thuc HQT nh c quy nh ti iu 26 ca iu l, c th: Tng Gim c c ton quyn v c cu t chc v cc quy ch qun l ni b ca Cng ty (tr nhng thm quyn ca HQT c cp ti Quy Ch ny) v

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thc hin bt k nhim v no khc theo quy nh ti iu l, Quy ch qun tr cng ty hoc l ngh quyt ca HQT. Quyn hn ca tng thnh vin B my qun l s do Tng Gim c quyt nh thng qua vn bn quy nh ni b (bao gm Quy nh v phn cp qun l v cc quy nh, ti liu khc).

22.3. Ngha v v trch nhim ca thnh vin B my qun l do Tng Gim c quyt nh nh quy nh ti iu 22.2 ca Quy ch ny, trong phi m bo: Mi thnh vin ca B my qun l u c ngha v v bn phn vi Cng ty ging nh cc thnh vin HQT v phi tun theo cng tiu chun trch nhim ca thnh vin HQT nh c cp ti iu 17.1 ca Quy ch ny. Nhim v v trch nhim ca cc Gim c iu hnh, K ton trng c quy nh ti cc vn bn, ti liu v quy nh ni b ca Cng ty do Tng Gim c ban hnh theo thm quyn.

22.4. Th tc xin ph duyt ca HQT: Tng Gim c c quyn hn v nhim v theo quy nh ti iu 26 ca iu l v iu ny. Trong qu trnh thc hin cc nhim v cn phi c s ph duyt ca HQT nh c quy nh ti iu 20 ca iu l, Tng Gim c phi c t trnh (km ti liu c lin quan) v thc hin cc th tc cn thit theo quy nh ti iu 39 ca Quy Ch ny.

22.5. Cc ni dung, vn m Tng Gim c phi xin kin HQT c quy nh ti iu 20 khon 4 ca iu L v c th ha ti iu 48 ca Quy Ch ny.

iu 23:
23.1

Thnh phn ca B my qun l

T chc B my qun l: T chc B my qun l c thc hin theo quy nh ti iu 24 ca iu L. S lng Gim c iu hnh s do Tng Gim c xut v c HQT ph chun.

23.2 -

Thnh phn ca Ban Gim c iu hnh Ban Gim c iu hnh c quy m ph hp vi hon cnh thc t ca Cng ty ti tng thi im. Thnh phn ca Ban Gim c iu hnh s bao gm cc v tr c khuyn ngh nh sau: + Gim c iu hnh Pht trin vng nguyn liu; + Gim c iu hnh Sn xut v Pht trin sn phm; + Gim c iu hnh Chui cung ng;

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+ Gim c iu hnh Ti chnh; + Gim c iu hnh D n; + Gim c iu hnh Marketing; + Gim c iu hnh Kinh doanh; + Gim c iu hnh Hnh chnh - Nhn s; 23.3 Tiu chun ca thnh vin B my qun l Cc quy nh c th v tiu chun chung ca B my qun l bao gm cc ni dung sau: + + + + Chim c lng tin ca cc c ng, cc cp qun l v nhn vin trong Cng ty; C c tnh trung thc, nhit tnh v c uy tn; C chuyn mn, bng cp v cc k nng t chc ph hp, kh nng gn kt li ch ca tt c cc bn lin quan v a ra cc quyt nh hp l. C kinh nghim kinh doanh (c bit l cc thng l kinh doanh quc t), c kin thc tt v kinh t, chnh tr, php lut v cc vn x hi cng nh kin thc v xu hng th trng, sn phm v i th cnh tranh (trong nc cng nh quc t). C kh nng bin kin thc v kinh nghim thnh cc gii php p dng vo hot ng sn xut kinh doanh ca Cng ty.

+ -

Cc tiu chun ring c th s do Tng Gim c xut v HQT ph chun.

iu 24: B nhim, bi nhim, min nhim v cch chc B my qun l

24.1 Bu chn v nhim k ca B my qun l Vic b nhim, nhim k ca Tng Gim c c quy nh ti iu 26 ca iu l. Trnh t, th tc b nhim Gim c iu hnh, K ton trng s c Tng Gim c c HQT b nhim theo quy nh nh sau: + HQT hoc Tiu ban Nhn s ca HQT s chu trch nhim xy dng cc chnh sch, quy nh c th lin quan n vic tuyn chn cc v tr. Nhim v c th ca Tiu ban Nhn s trong trng hp ny l: o c bng vn bn vic b nhim thnh vin B my qun l; o a ra kin (bng vn bn) i vi cc c thnh vin B my qun l trong trng hp ng vin l thnh vin ca HQT.
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+ nh gi cc ng vin tim nng thng qua c ch nh gi c s tham gia ca Tng Gim c v cc cp qun l khc trong Cng ty. Quyt nh b nhim cc thnh vin Ban iu hnh c quy nh ti iu 20 ca iu l. Nhim k ca thnh vin Ban iu hnh khng qu 05 nm v c th c b nhim li. Cc thng tin ca ng vin cho B my qun l s bao gm cc ni dung sau y: + nh nhn dng ng vin; + Tui v hc vn ca ng vin; + (Cc) v tr m ng vin m nhim trong 05 nm gn y; + (Cc) v tr m ng vin ang m nhim khi c c; + Mi quan h gia ng vin vi Cng ty; + ng vin c phi l thnh vin ca Hi ng qun tr ca cc t chc php nhn khc hoc m nhim v tr quan trng no cc t chc khng; + Thng tin v vic c ng vin cho mt v tr trong B my qun l v cc v tr khc ca nhng php nhn khc; + Mi quan h ca ng vin vi cc c nhn c nh hng ln n Cng ty; + Mi quan h ca ng vin vi cc i tc kinh doanh ch cht ca Cng ty; + Thng tin lin quan n kh nng ti chnh ca ng vin v cc iu kin khc c th nh hng n vic thc hin bn phn ca ng vin khi tr thnh thnh vin ca B my qun l; + Vic t chi cung cp thng tin cho Cng ty ca ng vin, nu c. 24.2 Tiu chun v iu kin ca Tng Gim c : Ngoi nhng quy nh ti iu 26 ca iu l, Tng Gim c cn phi p ng cc tiu chun v iu kin di y: C trnh chuyn mn, kinh nghim thc t v qun tr kinh doanh trong ngnh ngh kinh doanh ch yu ca Cng ty (u tin cc c nhn s hu nhiu c phn ca Cng ty). C trnh i hc tr ln; Khng phi l thnh vin BKS ca Cng ty; Khng phi l nhn vin, thnh vin ban gim c hay hi ng qun tr ca i th cnh tranh; v
50

24.3

Khng ng thi lm Gim c hoc Tng Gim c ca bt k mt t chc/ doanh nghip no hoc cc chc danh qun l cc cng ty khc C nng lc hnh vi dn s v khng thuc i tng b cm qun l doanh nghip;

Tiu chun la chn Gim c iu hnh Cc tiu chun v iu kin cho v tr Gim c iu hnh nh sau: C nng lc hnh vi dn s v khng thuc i tng b cm qun l doanh nghip; L ngi c trnh chuyn mn trong mt hoc cc lnh vc qun l kinh doanh ca Cng ty, c nng lc t chc ch o v thc hin tt cc cng vic c giao trong lnh vc c phn cng; C trnh chuyn mn: tt nghip i hc tr ln

24.4

Tiu chun la chn K ton trng Cc tiu chun v iu kin cho v tr K ton trng nh sau: Khng thuc i tng nhng ngi b cm m nhim cng tc k ton quy nh ti iu 51 Lut K ton; C phm cht o c, phm cht o c ngh nghip, trung thc, c thc chp hnh v u tranh bo v quyn li, chnh sch, ch qun l ti chnh v kinh t theo quy nh ca php lut v ca Cng ty; C trnh chuyn mn, nghip v k ton t trnh i hc tr ln, c thi gian cng tc thc t trong ngh k ton t nht l nm (05) nm v c chng ch bi dng v cp chng ch k ton trng ng theo quy nh ca php lut v k ton.

24.5 24.6

Bi nhim, min nhim, cch chc: Cc trng hp bi nhim, min nhim Tng Gim c c quy nh ti iu 26 ca iu l. HQT s xy dng th tc, quy trnh c lin quan. Cc trng hp cch chc Gim c iu hnh, K ton trng c quy nh c th ti iu ny. Tiu ban Nhn s s xy dng cc quy nh lin quan ti cc cn c, trnh t v th tc bi min, cch chc cc v tr Gim c iu hnh, K ton trng. Thng bo b nhim, min nhim Sau khi c quyt nh b nhim, bi nhim, min nhim hoc cch chc thnh
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vin B my qun l, Cng ty c trch nhim cng b thng tin trong ni b Cng ty v cho cc c quan hu quan, trn cc phng tin thng tin i chng, trn trang website ca Cng ty theo trnh t v quy nh ca Lut Chng khon.

iu 25:
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Quy trnh hot ng ca B my qun l

Tng Gim c chu trch nhim ban hnh quy nh v: + Tn sut t chc cc cuc hp ca Ban Gim c iu hnh; + Th tc t chc v tin hnh cc cuc hp ca Gim c iu hnh; + Triu tp, ni dung, t chc v ch tr cc cuc hp Gim c iu hnh; + Th tc ra quyt nh trong cc cuc hp ca Ban Gim c iu hnh v k tt c cc vn bn, quyt nh v bin bn cuc hp Ban Gim c iu hnh; + Hnh thc v thi hn thng bo hp; + Biu quyt trong cc cuc hp ca Ban Gim c iu hnh; + Th k cuc hp, bin bn cc cuc hp ca Ban Gim c iu hnh v ch lu tr.

Cuc hp Ban iu hnh ch c gi tr khi c t nht s thnh vin Ban Gim c iu hnh d hp. Vic vng mt phi c l do chnh ng v c chp thun.

iu 26:
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Ch lng thng v li ch khc cho B my qun l

HQT quyt nh mc lng, thng ca Tng gim c, Ban Gim c iu hnh v K ton trng trn c s xut ca Tng gim c theo quy nh ti iu 20 ca iu l. HQT c trch nhim ban hnh chnh sch/ quy ch v lng thng v cc li ch khc. Tiu ban Lng thng ca HQT s d tho mt xut cho HQT v chnh sch lng thng v li ch khc, hoc cho kin v chnh sch lng thng do HQT xut. Th lao (lng, thng v li ch khc) ca cc thnh vin B my qun l c th bao gm mt phn c nh v mt phn bin ng ty theo kt qu hot ng ca Cng ty.

26.1. Chnh sch lng thng v li ch khc: -

Vic xy dng chnh sch lng thng c da trn: + Phm vi trch nhim
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+ Phm cht, nng lc yu cu + Kinh nghim + Nng lc c nhn v kh nng kinh doanh. + Mc lng trong Cng ty v trong ngnh ni chung + Nng lc v ch s ti chnh ca Cng ty + Yu t th trng v nhn s v cc yu t khc 26.2. Hp ng lao ng Thm quyn k kt v quyt nh cc iu khon ca hp ng lao ng c quy nh ti iu 20 v iu 26 ca iu l. Mt thnh vin HQT c y quyn s k kt hp ng lao ng vi Tng Gim c. Tng Gim c s k kt hp ng lao ng vi cc thnh vin cn li ca B my qun l. HQT c th xem xt a vo thm cc iu khon v cc iu kin khc trong hp ng lao ng i vi Tng gim c v thnh vin B my qun l, nu xt thy cn thit: + Ch ti (pht hoc bi thng) p dng khi mt bn khng thc hin trch nhim ca mnh + Nhng li ch v u i khc + Ph bi thng + iu khon v tnh bo mt trong thi gian hp ng cng nh khi thnh vin B my qun l ri khi Cng ty vi bt c l do g; + iu khon v vic khng cnh tranh trong thi hn hp ng cng nh sau khi thnh vin B my qun l ra khi Cng ty vi bt k l do g. + Cam kt bo v li ch ca Cng ty v cc c ng + iu kin chm dt hp ng trc thi hn.

iu 27:
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o to v nh gi nng lc hot ng

Thnh vin ca B my qun l phi tham gia cc kha o to v qun tr cng ty ti cc c s o to c y ban Chng khon Nh nc cng nhn. HQT c trch nhim ban hnh quy nh v nh gi nng lc i vi thnh vin B my qun l. Quy nh ny phi bao gm ti thiu cc ni dung: phng php, tn sut, cch thc, trnh t.

HQT cng c th da vo (i) cc bn t nh gi hot ng ca cc thnh vin B my qun l v (ii) kin nh gi ca Tng Gim c i vi thnh vin B my qun l .
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iu 28:
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Th k Cng ty

28.1. Vai tr ca Th k Cng ty Th k Cng ty c quy nh c th ti iu 27 ca iu l, vai tr v chc nng chnh ca Th k Cng ty i vi HC, HQT, B my qun l, BKS c cp ti cc Chng 2,3,4,5 ca Quy Ch ny v c th nh sau: + Th k Cng ty m bo rng cc ch th qun tr tun th nhng quy nh v chnh sch ni b ca Cng ty, v sa i b sung hoc xy dng nhng quy nh v chnh sch mi khi thch hp. + Th k Cng ty gp phn m bo rng cc ch th Qun tr Cng ty tun th tt c nhng yu cu php lut c lin quan, ca lut php trong nc v c th c lut php quc t. + Th k Cng ty ng vai tr l ngi t vn cho cc thnh vin HQT v cc thnh vin Ban gim c iu hnh ca Cng ty v nhng yu cu ca php lut, cc quy nh v nim yt v cc o lut lin quan ti Qun tr Cng ty. + Th k Cng ty c th ch ra nhng k h trong cc vn lin quan n Qun tr Cng ty v xut cc bin php khc phc nhng yu km . 28.2. Th tc b nhim, nhim k v min nhim Th k Cng ty l mt chc danh c HQT b nhim theo c ch c quy nh ti iu 27 ca iu l. Nhim k ca Th k Cng ty l 5 nm hoc mt thi hn khc theo quyt nh ca HQT ti tng thi im. Cc tiu chun i vi Th k Cng ty: + Th k Cng ty phi l ngi c hiu bit v php lut. Nm vng cc quy nh php lut lin quan n Cng ty v th trng chng khon, u tin ngi tt nghip i hc lut (h chnh quy tp trung) ti cc c s o to trong v ngoi nc; + C trnh hc vn i hc tr ln, + Am hiu hot ng ca Cng ty + Trch nhim cao, giao tip tt, c th l k nng thng thuyt v to nn s ng thun. + K nng t chc, phn tch, c th l pht hin nhng tn hiu t xa v cnh bo sm cho B my qun l,c trc gic tt v nhy cm i vi nhng suy ngh v hnh vi ca Tng gim c v cc thnh vin HQT. + C tnh t m- n chi tit, linh hot v sng to + Bit cch khc phc li t duy quan liu trong Cng ty
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+ c o to v qun tr + L mt ngi c uy tn c nhn v trong sch, c ngoi hnh. Cc yu cu, iu kin i vi Th k Cng ty: + Tnh c lp: Th k Cng ty khng c ng thi lm vic cho cng ty kim ton hin ang kim ton Cng ty. + Th k Cng ty khng c l mt thnh vin gia nh trc h ca mt thnh vin B my qun l. + Bo co trc tip cho Tng Gim c + Th k Cng ty phi tham gia cc kha o to v qun tr cng ty ti cc c s o to c y ban Chng khon Nh nc cng nhn. Cc thng tin v ng vin cho vic b nhim Th k Cng ty: cc thng tin v ng vin c th bao gm nhng khng gii hn tm tt qu trnh hc tp, qu trnh cng tc, cc mi quan h vi cc thnh vin trong Cng ty, s lng c phiu ca Cng ty ang nm gi, xc nhn khng c tin n tin s v c b sung bng th gii thiu c nhn v nhng cuc phng vn vi cc thnh vin HQT, c bit l vi Ch tch HQT. Hp ng vi Th k Cng ty: HQT chu trch nhim trong vic xc nh nhim k ca Th k Cng ty theo cp ti iu 27 ca iu l. Ngoi ra, HQT chu trch nhim xc nh cc iu kin ca hp ng lao ng, cc vn lin quan ti th lao v th tc kt thc hp ng. Ch tch HQT, c s tham vn ca Tiu ban Nhn s v Tiu ban Lng thng, s thay mt Cng ty son tho hp ng k kt vi Th k Cng ty.

28.3. Nhim v v thm quyn ca Th k Cng ty Vai tr v nhim v ca Th k Cng ty quy nh ti iu 27 ca iu l. Th k Cng ty c mt v tr c bit ph hp trong vic xy dng chnh sch v thng l Qun tr Cng ty hiu qu, c th l trong vic xy dng, tun th v nh k r sot nhng chnh sch v thng l v qun tr ca Cng ty. Th k Cng ty m bo rng cc tiu chun Qun tr Cng ty lun c cp nht v c duy tr mc cao. Th k Cng ty c trch nhim h tr HQT v mt php l v t chc, c th: + Gii thch nhng yu cu v mt th tc ca php lut, iu l, v cc quy nh ngnh dc ca Cng ty trong phm vi thm quyn ca mnh + Gip cc thnh vin HQT trong vic tip cn thng tin v gip h lm quen vi cc ti liu ca Cng ty

55

+ Lm bin bn cc cuc hp ca HQT, BKS v HC theo yu cu ca Ch tch HQT hoc BKS + m bo vic tun th th tc lin quan n tin hnh cc cuc hp + Lin lc v thu thp phiu bu ca cc thnh vin HQT; thu thp kin bng vn bn ca cc thnh vin HQT + Thng bo cho tt c cc thnh vin HQT v cc cuc hp ca HQT + Tr gip t chc cc cuc hp ca HQT + Tp hun cho nhng thnh vin mi c bu vo HQT c bit, cc trch nhim c th th hin qua cc cng vic sau y: + T chc cc cuc hp ca HQT, thng qua cc cng vic sau: Gip Ch tch chun b chng trnh ngh s Chun b cc bn thuyt trnh v nhng vn quan trng v c tnh cht th tc s c tho lun Chun b cc ni dung tm tt tho lun trong phng hp ca HQT. Gi thng bo ca HQT ti tt c cc thnh vin HQT Phn pht phiu bu ti cc thnh vin HQT Thu thp phiu bu in y v nhng kin bng vn bn ca nhng thnh vin HQT khng c mt trong cuc hp. Chuyn cc phiu bu v kin bng vn bn ti Ch tch; Tin hnh nhng hot ng khc nhm t chc vic trao i thng tin gia cc thnh vin HQT vi nhau v vi Ch tch trong giai on gia cc cuc hp.

+ Cung cp thng tin cho HQT, cc thng tin ny c th hin qua cc vn bn sau y: Bin bn cc cuc hp ca HQT Nhng quyt nh v nhng ti liu c Tng gim c v Ban Gim c iu hnh ph chun Bin bn cc cuc hp v cc bo co c chun b bi Tiu ban Kim ton, Kim ton ni b, Ban kim sot, Kim ton c lp, hoc bt k mt tiu ban no do HQT thnh lp Nhng ti liu lin quan n ti chnh ca Cng ty.

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+ H tr v mt php lut cho cc thnh vin HQT trong nhng vn lin quan n Qun tr Cng ty: Nhng hnh ng c cho l bt hp php hoc khng tun th ca cc cn b hay nhn vin Cng ty trong vic thc thi nhng ngha v v bn phn php l ca h Nhng vi phm i vi cc th tc lin quan ti vic t chc cc cuc hp ca i hi ng c ng, HQT, vic cng b thng tin v vic bo v quyn li ca cc c ng. Trch nhim ca Th k Cng ty v c vn php lut ca Cng ty cn c phn bit r rng

Th k Cng ty c trch nhim trong vic bo v quyn li ca cc c ng, th hin thng qua cc trch nhim sau: + T chc HC: m bo rng danh sch cc c ng c chun b y Thng bo cho cc c ng v HC m bo vic tun th nhng th tc ng k tham d HC Tr li tt c cc cu hi v th tc trong HC, v gii quyt tranh chp lin quan ti vic chun b v tin hnh HC Phn pht ti liu trc HC v trong HC. Thu phiu bu v chuyn ti Ban Kim phiu Truyn t bo co v cc kt quca HC ti cc c ng m bo rng nhng bin bn v kt qu b phiu v nhng bin bn ca HC c lu gi.

+ Lm lin lc gia cc c ng trong nhng giao dch kim sot + Tr gip trong vic m bo quyn li ca c ng m bo rng Cng ty xem xt mt cch thch hp tt c nhng n t c cc c ng trnh mt cch hp l Chuyn tt c nhng thc mc c m cc c ng trnh mt cch hp l cho cc ch th qun tr v cc phng ban lin quan ca Cng ty.

+ Gip gii quyt cc xung t trong Cng ty Th k Cng ty ghi li nhng thc mc, n t, hoc nhng i hi ca cc c ng, xem xt tt c nhng giy t , v chuyn nhng yu cu hp l cho b phn lnh o c thm quyn gii quyt xung t
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Xung t c th ny sinh gia cc thnh vin HQT, cc thnh v in Ban gim c iu hnh v cc c ng. Th k Cng ty nn thng bo cho Ch tch HQT v mi mu thun tim tng hay ang tn ti nhng mu thun c th c gii quyt mt cch thch hp.

Th k Cng ty c trch nhim trong vic tr gip vic cng b thng tin minh bch. Th k Cng ty ng vai tr l ngi lin lc gia BKS v HQT. Cc thm quyn ca Th k Cng ty trong vic cng b thng tin c xc nh nh sau: + m bo rng cng ty hot ng tun th vi cc quy nh v th tc trongvic lu gi v cng b thng tin v Cng ty. + Chng nhn cc bn sao ti liu trc khi pht cho cc c ng + m bo rng cc ti liu ca Cng ty c lu gi mt cch an ton + m bo vic cc c ng c th tip cn khng hn ch ivi thng tin v Cng ty, theo quy nh ca php lut.

Bn phn ca Th k Cng ty: Th k Cng ty c y cc bn phn nh bn phn ca Ngi qun l nh c cp ti iu 17.1 ca Quy Ch ny.

28.4. C cu t chc ca chc nng Th k Cng ty: Th k Cng ty phi l nhn vin chuyn trch. Trong trng hp kim nhim ( khng m bo yu cu chuyn trch), HQT s cn nhc vic b nhim nhiu Th k Cng ty ( theo c ch ng Th k). Cc phm vi cng vic ph trch ca cc ng Th k c xc nh da trn c s: cc cng vic lin quan n Cng ty ( qun tr cng ty v lut php), HQT, cc tiu ban ca HQT, BKS Trong trng hp c t 2 Th k Cng ty tr ln, Cng ty s thnh lp vn phng Th k. S lng Th k Cng ty c cn nhc da trn quy m ca Cng ty v doanh thu, mc thi gian dnh cho cng vic Th k Cng ty, nng lc ca i ng nhn s. Th k Cng ty c th chia lm 2 loi chnh: Th k Cng ty v Th k HQT.

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CHNG V: BAN KIM SOT iu 29: Thnh phn v yu cu i vi thnh vin BKS

29.1. S lng thnh vin S lng thnh vin BKS c quy nh ti Khon 4 iu 31 ca iu l. S lng c th thnh vin Ban kim sot s do BKS tho lun, v xut vi HQT trnh HC. 29.2. T chc BKS Quy nh v t chc BKS cng nh xc nh c th trch nhim, quyn hn ca cc thnh vin BKS s c quy nh c th ti Quy ch t chc v hot ng ca BKS. Trng BKS c trch nhim tham vn HQT v xc lp Quy ch t chc v hot ng ca BKS theo quy nh ti Khon 6 iu 31 ca iu l. Bn chnh Quy ch t chc v hot ng ca BKS phi c lu tr ti Cng ty. 29.3. Tiu chun v yu cu ca thnh vin BKS - Tiu chun v thnh vin BKS c quy nh ti Khon 4 iu 31 ca iu l. C th thnh vin BKS phi: + Khng phi l v hoc chng, cha, cha nui, m, m nui, con, con nui, anh, ch, em rut ca thnh vin Hi ng qun tr, Gim c hoc Tng gim c va ngi qun l khc. + Khng nm gi cc v tr qun l trong cng ty. Ngoi ra, cc yu cu v phm cht v nng lc c nhn i vi thnh vin BKS c b sung nh sau: + C uy tn c nhn v phm cht o c tt. + Khng phi l thnh vin BKS cng v tr nhiu hn [03] nhim k lin tip ti Cng ty ( m bo tnh c lp). + Khng ng thi thnh vin BKS ca 05 cng ty hoc nhiu hn (ngoi tr trng hp cc cng ty c lin kt). + Khng l thnh vin ca HQT ca mt Cng ty nim yt ng thi l thnh vin Ban kim sot ca hn hai cng ty nim yt khc, tr khi cc cng ty ny c s lin kt. + Thnh vin BKS khng c ng thi l thnh vin HQT ca mt cng ty khc m thnh vin HQT ca Cng ty l thnh vin BKS ca Cng ty.

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Thnh vin BKS khng phi l ngi trong b phn k ton, ti chnh ca cng ty v khng phi l thnh vin hay nhn vin ca cng ty kim ton c lp ang thc hin vic kim ton cc bo co ti chnh ca cng ty. Trong Ban kim sot c t nht mt thnh vin l k ton vin hoc kim ton vin.

29.4. Trng BKS Trng BKS l ngi c chuyn mn v k ton. Trng BKS s do cc thnh vin BKS bu ra v khng nht thit phi l c ng ca Cng ty. Trng BKS c cc quyn v trch nhim theo quy nh ti Khon 4 iu 31 ca iu l, ngoi ra Trng BKS c cc quyn v trch nhim sau: Chun b v k Bin bn cuc hp BKS v cc ngh quyt khc. i din cho BKS hp vi bn th ba. B phiu quyt nh ti cc cuc hp xy ra tnh trng phiu bu ngang nhau Phi hp lm vic cng Ch tch HQT.

iu 30:

Thm quyn v trch nhim ca Ban kim sot

30.1. BKS c cc quyn hn v trch nhim theo quy nh ti Khon 1 iu 31 ca iu l. Ngoi ra, BKS c cc nhim v sau y: + Yu cu v nhn thng tin lin quan n cc Ngi c lin quan v giao dch vi cc Ngi c lin quan. + Kim tra tnh hnh ti chnh ca Cng ty, c bit l v kh nng thanh ton, tnh thanh khon ca ti sn, v kh nng thanh ton cc khon n. + a ra xut hoc son tho mt bn xut trnh ln HQT lin quan n vic b nhim, ti b nhim hoc min nhim cc thnh vin kim ton ni b. + Gim st vic thay i t chc kim ton, kim ton vin ( c lp) c nguyn nhn t s bt ng v kim ton hoc k ton. + Xem xt s khng nht qun gia cc tho lun v phn tch ca Ban Gim c iu hnh, thng ip ca Ch tch v cc bo co ti chnh i km trong bo co thng nin ca Cng ty. + Trng hp BKS pht hin nhng hnh vi vi phm php lut v/hoc vi phm iu l ca cc thnh vin Hi ng qun tr, Tng Gim c, G iu hnh v cc cn b qun l cp cao, BKS phi thng bo bng vn bn vi HQT trong vng 48 gi. ng thi BKS cng gi vn bn yu cu n ngi c hnh vi vi phm yu cu chm dt vi phm v ngi c hnh vi
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vi phm c gii php khc phc hu qu. Sau thi hn by ngy k t ngy ra thng bo nu trn, nu ngi c hnh vi vi phm khng chm dt vi phm v c gii php khc phc hu qu, BKS c trch nhim bo co trc tip vi UB CK NN v vn ny. 30.2. BKS c cc quyn c tip cn ti liu theo quy nh ti Khon 1 v 3 iu 31 ca iu l v cc quyn khc l : Xin kin t vn chuyn nghip c lp hoc t vn v php l ( vi mc ph hp) v m bo s tham gia ca nhng chuyn gia bn ngoi Cng ty vi kinh nghim trnh chuyn mn ph hp vo cng vic ca Cng ty nu thy cn thit. Xem nhng kt qu iu tra ni b v kin phn hi t B my qun l ca Cng ty. Thnh vin BKS c trch nhim bo mt i vi nhng thng tin c c t cc ti liu c quyn tip cn, Cng ty c th p dng c ch k kt tha thun bo mt thng tin i vi tng thnh vin BKS.

30.3. BKS c cc trch nhim sau y i vi h thng kim sot ni b ca Cng ty: Xy dng, ch o v iu hnh (ph chun k hoch, gim st v t chc nh gi) b phn Kim ton ni b thc hin kim tra, xem xt, nh gi mt cch c lp, khch quan i vi h thng kim sot ni b, h thng nhn dng v qun l ri ro, phng php nh gi vn, h thng thng tin qun l v bo co ti chnh, cc quy trnh nghip v v cc quy nh ni b. nh k thng tin n HQT v Tng gim c v h thng kim sot ni b v kin ngh, xut nhm hon thin h thngkim sot ni b. i vi hot ng kim sot, c th l cc hot ng kim sot trc, trong v sau, Ban Kim sot c trch nhim nh sau: + Kim sot trc: BKS s tch cc tham gia vi HQT, Tng Gim c ban hnh cc ngh quyt, quyt nh quy ch cho ph hp vi quy nh ca php lut v mang li hiu qu cao nht cho Cng ty. + Kim sot trong: BKS s theo di gim st Tng Gim c thc hin cc ngh quyt, quyt nh, quy ch do HQT ban hnh v ch php lut Nh nc. Thng qua kim tra gim st pht hin cc ni dung khng ph hp ca ngh quyt, quyt nh, quy ch trao i vi HQT bit ra cc gii php khc phc. + Kim sot sau: BKS s kim sot cc cng vic s pht sinh. Bao gm: Kim tra s sch k ton ti chnh, nh k v t xut hng qu, hng nm.
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 30.4.

Kim tra cc v vic theo n, th t gic (nu c) hay cc ngh ca cc c ng, ngi lao ng v cc Bn c quyn li lin quan ca Cng ty.

Thnh vin BKS phi tham gia cc kha o to v qun tr cng ty ti cc c s o to c y ban Chng khon Nh nc cng nhn.

iu 31:
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B nhim, min nhim thnh vin Ban kim sot

Vic b nhim, bi nhim v min nhim thnh vin BKS c thc hin theo quy nh ti iu 31 ca iu l. Cc ni dung c c th nh sau: + T cch v khng cn t cch thnh vin BKS c quy nh ti Khon 8 iu 31 ca iu l. + Nhim k, s lng v vic bu li thnh vin BKS c quy nh ti Khon 7 iu 31 ca iu l. + Cch thc biu quyt bu thnh vin BKS c quy nh ti Khon 3 iu 17 ca iu l.

Vic chn thnh vin BKS bu li theo quy nh ca iu l s c thc hin theo thi gian ( s nm) tham gia BKS m khng xt n thuc nhim k no.

iu 32:

Tha thun vi thnh vin Ban kim sot

HQT hoc Tng Gim c, trong trng hp c HQT y quyn, s k tha thun thnh vin vi cc thnh vin ca BKS. Cc iu khon ch yu ca tha thun bao gm cc khon th lao phi c HC chp thun. Tha thun k vi cc thnh vin ca BKS l tha thun mu v khng bao hm quyn thng lng hay thay i cc iu khon tha thun.

iu 33:
-

Th lao cho thnh vin Ban kim sot

Trng BKS c trch nhim xy dng k hoch hot ng hng nm bao gm s ngy lm vic d tnh, s lng v tnh cht ca cng vic v mc th lao bnh qun hng ngy ca cc thnh vin. HC s quyt nh tng mc th lao v ngn sch hot ng hng nm ca BKS. Ngoi ra, thnh vin BKS c thanh ton cc chi ph n , i li, chi ph s dng dch ph t vn c lp vi mc hp l. Tng mc th lao v chi ph cng tc khng c vt qu tng ngn sch hat ng hng nm ca BKS. Vic tnh s th lao m cc thnh vin BKS c hng phi r rng, minh bch v c HC thng qua. Tng s th lao thanh ton cho BKS c cng b ring trong bo co thng nin ca Cng ty cho c ng.

62

iu 34:
-

Quy trnh hot ng ca Ban kim sot

Quy trnh hot ng ca BKS c quy nh ti Khon 6 iu 31 ca iu l v Trng BKS c trch nhim trin khai c th trong Quy ch t chc v hot ng ca BKS. Quy ch t chc v hot ng ca BKS phi ti thiu cc ni dung: cc ni dung v vic xc nh s lng thnh vin BKS, cch thc bu Trng ban kim sot, nguyn tc thng qua quyt nh, s lng cuc hp, lch hp, iu kin t chc cuc hp, quy nh v tiu chun v phng php nh gi hot ng thnh vin BKS, cc quy nh v iu kin s dng t vn c lp, quy nh v bo mt thng tin. Bin bn hp ca BKS phi chi tit v r rng. Th k ca bui hp v cc thnh vin tham d hp phi k vo bin bn cuc hp. Bin bn hp ca BKS phi c lu tr nh mt ti liu quan trng ca Cng ty nhm xc nh trch nhim ca tng thnh vin Ban kim sot i vi cc ngh quyt ca Ban kim sot.

iu 35:
-

Bo co ca Ban kim sot

BKS chu trch nhim bo co ti HC theo quy nh ti iu 1 ca iu l v xc lp bo co vi ni dung theo quy nh ti Khon 2 iu 13 ca Quy Ch ny. Bo co ca BKS s do Trng BKS ch tr thc hin, bo co phi c ch k ca tt c cc thnh vin. Thnh vin no khng k phi ghi r l do. Bo co ca BKS phi c phn kin ca HQT trong trng hp khng thng nht kin. Bo co ca BKS phi gi n HQT thng qua Th k Cng ty trc [07] ngy trc ngy t chc HC.

63

CHNG VI: QUY TRNH, TH TC PHI HP HOT NG iu 36: Nguyn tc lm vic

Thnh vin HQT, thnh vin BKS, Tng Gim c v Ngi Qun l khc phi t chu trch nhim trong qu trnh thc hin nhim v c giao v phi nghim tc phi hp hot ng bo v quyn li hp php ca c ng, pht trin Cng ty. Tt c cc thnh vin u c quyn bo lu kin thng nht hoc khng thng nht i vi mt ni dung v c trch nhim gii trnh v vic khi c yu cu.

iu 37:
-

Quy trnh, th tc phi hp hot ng ca ca BKS

i vi vic tip cn thng tin v ti liu ca Cng ty, BKS c ngha v nu r l do trong vn bn yu cu cung cp v bo mt tuyt i cc thng tin thu c trong qu trnh gim st hot ng Cng ty. Vic tit l cc thng tin ny ch khi c yu cu ca c quan c thm quyn hoc c s ng ca HC. Cc thng tin v ti liu ny bao gm nhng khng gii hn : + Thng bo mi hp cng ti liu lin quan, phiu ly kin thnh vin HQT; + Bin bn, Ngh quyt ca HQT; + Bo co ca Tng Gim c; + Thng tin, ti liu v qun l, iu hnh hot ng kinh doanh; + Bo co tnh hnh kinh doanh, bo co ti chnh; + Bo co nh gi cng tc qun l ca HQT; V c cung cp theo nguyn tc sau: Ti liu ca HQT, Tng gim c c gi n BKS vo cng thi im gi n cc thnh vin HQT.

37.1 +

i vi B my qun l Cng ty: BKS c chc nng kim tra v gim st. C th trnh t, th tc nh sau: Thnh vin BKS c quyn yu cu Tng Gim c v Ngi qun l khc to iu kin tip cn h s, ti liu lin quan n hot ng kinh doanh c a Cng ty ti Tr s chnh hoc ni lu tr h s.

+ i vi hot ng ca Tng Gim c v Ban Gim c iu hnh, cn c vo cc bo co hot ng thng k v nhng yu cu cung cp thng tin c
64

bit ca BKS, BKS c quyn ngh HQT xem xt li cc quyt nh ca Tng Gim c. Trong trng hp c du hiu vi phm php lut, iu l Cng ty v c th gy thit hi ln v vt cht, uy tn ca Cng ty, BKS c quyn gi thng bo n Tng gim c nhm mc ch yu cu dng ngay vic thc hin cc quyt nh . Trong vng mt (01) gi k t khi gi yu cu, BKS phi thng bo kin ca BKS vi cc thnh vin HQT. Ch tch HQT s ra thng bo v vic ngng thc hin cc quyt nh ca Tng Gim c. + i vi thng tin, ti liu v qun l, iu hnh hot ng kinh doanh v bo co tnh hnh kinh doanh, bo co ti chnh, vn bn yu cu ca BKS phi c gi n Cng ty trc t nht [48] gi. + i vi vic s dng t vn c lp bn ngoi, BKS phi thng tin v phm vi, gi tr v cc ni dung trng yu khc trong vng 48 gi k t thi im xc lp dch v . 37.2 i vi HQT: BKS c vai tr gim st, phi hp, t vn v thng tin y , kp thi, chnh xc. C th trnh t, th tc nh sau:

+ Thng xuyn thng bo vi HQT v kt qu hot ng ( khng di hn 1 qu), tham kho kin ca HQT trc khi trnh bo co, kt lun v kin ngh ln HC; + Khi kim tra, gim st, nu pht hin thy v vic ang din ra lm thit hi n ti sn ca Cng ty, th thnh vin BKS kin ngh bin php gii quyt v bo co xin kin ch o kp thi ca Trng BKS. Trng hp khng c bin php iu chnh no tt hn, th Trng BKS bn bc vi HQT gii quyt sau c trch nhim bo co trc HC. + Cc cuc kim tra nh k, t xut ca BKS phi c kt lun bng vn bn ( khng tr hn 15 ngy lm vic k t ngy kt thc) gi cho HQT c thm c s gip HQT trong cng tc qun l Cng ty. Ty theo mc v kt qu ca cuc kim tra trn, BKS cn phi bn bc thng nht vi HQT, Tng Gim c trc khi bo co trc HC. Trng hp khng thng nht quan im th c y quyn bo lu kin ghi vo bin bn v Trng BKS c trch nhim bo co vi HC gn nht. + i vi cc kin ngh sa i, b sung, ci tin c cu t chc qun l, iu hnh th BKS phi gi vn bn cng ti liu lin quan trc t nht mi lm (15) ngy lm vic so vi ngy d nh nhn c phn hi.
65

+ i vi vic thm tra bo co ti chnh c kim ton, BKS phi phn hi kin bng vn bn trong vng 7 ngy. + i vi cc h s, ti liu khc...m HQT gi n BKS c kin th BKS s phn hi trong vng mi lm (15) ngy lm vic.

iu 38:
38.1 38.2 -

Quy trnh, th tc phi hp hot ng ca HQT

i vi BKS: Chng trnh, ni dung cc cuc hp ca HQT phi c gi n thnh vin BKS ( nu c mi hp) cng thi gian gi ti cc thnh vin HQT; Cc Ngh Quyt ca HQT c gi n BKS ( ng thi vi thi im gi Tng Gim c) trong vng 7 ngy k t ngy xc lp. i vi xut ca BKS v s lng thnh vin BKS, HQT phi phn hi kin bng vn bn trong thi hn 7 ngy. i vi xut la chn Kim ton c lp, HQT phi phn hi kin bng vn bn trong vng 7 ngy. i vi B my qun l Cng ty: i vi cng tc t chc cuc hp HC thng nin, HQT phi thng bo cho TG v vic phi hp, s dng ngun lc trc t nht l 45 ngy. i vi vic HQT y quyn cho ngi qun l theo Khon 6 iu 20 ca iu l th: (i) ni dung ny phi c th hin qua Ngh quyt hoc vn bn y quyn c a s cc ch k ca thnh vin HQT; (ii) c gi bn chnh n Tng Gim c v thng tin n Th k Cng ty v (iii) p ng cc yu cu khc ca php lut v y quyn. Cc vn m HQT phi ph duyt theo xut ca Tng Gim c theo Khon 4 iu 20 ca iu l, HQT phi phn hi trong vng 7 ngy hoc mt thi hn khc do cc bn tha thun. Cc quyt nh tm nh ch quyt nh ca Tng Gim c theo im g Khon 2 iu 21 ca iu l, Ch tch HQT phi c lp thnh vn bn v gi bo m hoc trao tay c s chng kin ca Th k Cng ty. HQT khng c thnh lp b my ring, khi cn thit HQT s s dng nhn s v trang thit b ca Cng ty phc v cng vic ca HQT, sau khi thng bo cho Tng Gim c Cng ty. Thng bo phi c lp bng vn bn v gi cho Tng Gim c trc t nht 48 gi.
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Trong trng hp cp thit, v nhng mc ch lin quan ti nhim v ca mnh, cc thnh vin HQT c quyn yu cu Tng Gim c, Ngi Qun l khc trong Cng ty cung cp cc thng tin v hot ng ca Cng ty nhng phi c s ng ca Ch tch HQT. Yu cu phi c lp bng vn bn v gi cho Tng Gim c trc t nht 24 gi. HQT c trch nhim phn hi cc ni dung: kin ngh v iu l; Quy ch qun tr cng ty ; c cu t chc v s lng Ngi qun l trong thi hn 15 ngy. Cc ni dung ph chun giao dch vi Ngi c lin quan hoc Giao dch trng yu, HQT phi phn hi bng vn bn trong thi hn 7 ngy. i vi cc bo co nh gi Tng Gim c v thnh vin B my qun l, HQT phi gi bn d tho n cc i tng trc mt thi gian hp l. Trong trng hp cuc hp ca HQT c mi thnh vin BKS, thnh vin B my qun l hoc bt k cp qun l no th HQT c trch nhim gi thng bo mi hp, ni dung chun b ( nu c) trc t nht 7 ngy ( thng qua Th k HQT). Cc ni dung c gi nhm ly kin ca Tng Gim c: mc lng v li ch khc ca Ngi qun l, cc ni dung nhn s phi c gi trc t nht l 48 gi. i vi cc chi tiu, s dng chi ph ca HQT, HQT phi c vn bn thuyt minh tnh hp l khi gi h s, chng t v Cng ty.

iu 39:
39.1

Quy trnh, th tc phi hp hot ng ca B my qun l

i vi HQT: Tng Gim c v cc thnh vin B my qun l khc l c quan chp hnh, iu hnh hot ng ca Cng ty, m bo Cng ty hot ng din ra bnh thng v c hiu qu. Tng Gim c c quyn quyt nh cc bin php vt thm quyn ca mnh trong trng hp khn cp nh thin tai, ch ho, ho hon, s c bt ng hoc mt v vic thuc phm vi iu chnh ca Chnh sch qun l khng hong ... nhng phi bo co bng vn bn cho HQT trong thi gian sm nht c th v chu trch nhim trc HQT v HC gn nht v cc quyt nh .

- Tng Gim c c quyn t chi thi hnh v bo lu cc kin ca mnh i vi cc quyt nh ca HQT nu nhn nh rng quyt nh ny tri php lut hoc gy tn hi n quyn li ca c ng. Trong trng hp ny, Tng Gim c phi c bo co gii trnh ngay vi HQT v BKS bng vn bn.
67

- Trc khi thc hin cc nhim v cn phi c s ph duyt ca HQT c quy nh ti iu 20 ca iu l, Tng Gim c gi t trnh ( iu 22 Khon 4 ca Quy Ch ny) n HQT trc 7 ngy ( khuyn khch vic ng gi cho BKS). - Cc ni dung quy nh ti im h Khon 3 iu 26 ca iu l, Tng Gim c phi gi cho HQT sm nht c th nhng khng t hn 7 ngy trc ngy ni dung phi c quyt nh. - i vi vic cho kin v mc lng, li ch khc ca Ngi qun l, Tng Gim c s gi trc t nht l trong vng 7 ngy. 39.2 i vi BKS: Tng Gim c v cc thnh vin B my qun l khc c trch nhim tip thu v phi hp trong cng tc.

CHNG VII: NH GI HOT NG, KHEN THNG V K LUT iu 40:

-

nh gi hot ng

HQT c trch nhim xy dng cc tiu chun nh gi hot ng cho tt c cc i tng l thnh vin HQT, TG cc Ngi Qun l khc ca B my qun l. Cc tiu chun nh gi hot ng phi hi ha gia li ch ca cc nhn s B my qun l vi li ch lu di ca Cng ty v c ng. Cc ch s ti chnh v phi ti chnh c s dng trong nh gi c HQT cn nhc thn trng v quyt nh ti tng thi im. Trong , cc ch tiu phi ti chnh c th c phn loi theo lnh vc nh bn c quyn li lin quan, quy trnh hot ng v tnh hiu qu, tng trng ni b v qun l tri thc. Hng nm, cn c vo chc nng, nhim v c phn cng v cc tiu chun nh gi c thit lp, HQT t chc thc hin nh gi hot ng thnh vin HQT theo iu 18 ca Quy Ch. Vic nh gi hot ng ca Thnh vin BKS c t chc thc hin theo phng thc c cp ti Quy ch t chc v hot ng ca BKS. Vic nh gi hot ng TG: c thc hin theo iu 27 ca Quy Ch ny. Vic nh gi cc GH v K ton trng c thc hin theo quy nh do TG xut v HQT ph chun v ph hp vi iu 28 ca Quy Ch ny.

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iu 41:
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Khen thng

HQT hoc Tiu ban Lng thng c trch nhim xy dng h thng khen thng. Vic khen thng c thc hin da trn kt qu nh ga hot ng ti iu 43 ca Quy Ch ny. i tng: cc c nhn theo ch khen thng do HQT quy nh. Cc hnh thc khen: do Tiu ban Lng thng quy nh thng qua quy nh ni b ca tiu ban. Hnh thc thng: + Bng tin; + Bng c phiu theo phng thc ty chn.

i vi i tng l thnh vin HQT, BKS: HQT, BKS quyt nh trong phm vi th lao c HC ph chun. i vi i tng l iu hnh, ngun kinh ph thng c trch t Qu khen thng phc li ca Cng ty v ngun hp php khc, hoc s c tnh vo chi ph trc thu theo cc quy nh php lut c lin quan. Mc khen thng: cn c vo tnh hnh thc t ca tng nm, Tng Gim c s xut HQT ph chun.

iu 42:
-

K lut

HQT c trch nhim xy dng h thng k lut da trn tnh cht v mc ca vic vi phm. Vic k lut phi c hnh thc cao nht l bi nhim, cch chc. Thnh vin HQT, BKS, B my qun l khng hon thnh nhim v ca mnh so vi yu cu vi s trung thc, sing nng, cn trng v trn b phn s phi chu trch nhim c nhn v nhng thit hi do mnh gy ra.

Thnh vin HQT, BKS, B my qun l khi thc hin nhim v m c hnh vi vi phm quy nh php lut hoc quy nh ca Cng ty th tu theo mc vi phm m b x l k lut, vi phm hnh chnh hoc truy cu trch nhim hnh s theo quy nh ca h thng k lut v quy nh ca php lut. Trng hp gy thit hi n li ch ca Cng ty, c ng hoc ngi khc s phi bi thng theo quy nh ca php lut. Tiu ban o c ca HQT s chu trch nhim t chc thc hin ni dung ny.

69

CHNG VIII: H THNG KIM SOT NI B

Ty thuc vo quy m, phm vi v tnh cht hot ng, Cng ty s thit lp mt h thng kim sot ni b di s iu hnh ca Tng gim c gim st s tun th cc quy nh php lut, cc quy nh ni b v cc quy trnh hot ng. H thng ny s tr gip Tng gim c thc hin vic t nhgi m bo tnh y , ph hp v hiu qu ca h thng kim sot ni b ca Cng ty. iu 43: Nguyn tc kim sot ni b

H thng kim sot ni b ca Cng ty phi c xy dng da trn c s cc nguyn tc sau: H thng kim sot ni b l hot ng lin tc, khng b gin on. Mi c nhn tham gia vo qu trnh kim sot ni b u phi chu trch nhim. Hot ng ca mi c nhn thc hin chc nng kim sot phi c gim st bi mt c nhn khc trong h thng kim sot ni b. H thng kim sot ni b phi phn tch cc nhim v, phi ngn cm s chng cho cc chc nng kim sot v phn cng cc chc nng trong s nhng nhn vin ca Cng ty sao cho cng mt c nhn s khng ng thi thc hin chc nng lin quan n: (i) quyn iu khin mt ti sn nht nh; (ii) ghi chp hot ng ca ti sn ny; (iii) bo him v bo qun ti sn v (iv) trng gi cng mt ti sn . H thng kim sot ni b c s y quyn ph hp v ph chun cc hot ng. H thng kim sot ni b c h thng quy nh, quy trnh v ph chun cc hot ng kinh doanh v ti chnh bi ngi c thm quyn, trong phm vi c y quyn. Cng ty bo m s tch bch v t chc ca cc b phn c trch nhim kim sot ni b v bo m rng b phn ny chu trch nhim trc tip trc Tng Gim c, Ban kim sot/ Tiu ban Kim ton. S tch bch v t chc ny bo m rng kim sot ni b c thm tra bi ngi c thm quyn c lp l ch th khng tham gia thc hin v duy tr h thng kim sot ni b. H thng kim sot ni b ca Cng ty c thit k vi vn ha pht trin v ci tin lin tc, cho php gii quyt cc vn ny sinh mt cch linh hot, d dng m rng v nng cp. Mt h thng cc bo co kp thi i vi bt k s khng ph hp/sai phm no c xy dng mt cch lin tc, vic m bo cc bo co kp thi v s khng ph hp/sai phm vi thi gian ngn nht cho php ngi c thm quyn hnh ng nhanh chng khc phc s c.
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iu 44:

Thnh phn ca h thng kim sot ni b

44.1. Mi trng kim sot: Mi trng kim sot to cc khun kh v tc ng ln thc v kim sot ca mi nhn vin. l nn tng cho cc thnh phn khc ca h thng kim sot ni b, to ra h thng k lut v khun kh. Cc yu t ca mi trng kim sot bao gm tnh lim chnh, cc gi tr o c v nng lc ca cc cp qun l v nhn vin, cc trit l v qun l v hnh thc hot ng, cch thc m cp c thm quyn phn nh quyn hn v trch nhim, cch t chc v pht trin ngun nhn lc v nhng nh hng v lu tm do HQT a ra. 44.2. nh gi ri ro: Cng ty xy dng mt h thng qun tr ri ro xuyn sut Cng ty bao gm cc yu t (i) c cu qun tr ri ro ph hp, nht qun, hiu qu (ii) qun tr ri ro l mi quan tm ca tt c mi nhn vin v thit lp mt nn vn ha ri ro trong Cng ty (iii) qun tr ri ro tch hp vo cc chin lc, quyt nh, hot ng, cc qu trnh, chc nng, d n, sn phm, dch v v ti sn. 44.3. Cc hnh ng kim sot: L cc quy ch, quy nh, th tc quy trnh m bo rng cc ch th qun l c thc thi, cc hnh ng cn thit c thc hin nhm hn ch ri ro v t c mc tiu. Cc hnh ng ny bao gm nhng khng gii hn ph chun, y quyn, thm tra, ging ha, xem xt li vic thc hin cc hot ng, s an ton ca ti sn v s phn tch trch nhim. 44.4. Thng tin v truyn thng: H thng kim sot ni b khng ch x l cc d liu ni b Cng ty m cn x l cc thng tin v s kin v hot ng bn ngoi v cc iu kin cn thit a ra cc quyt nh kinh doanh ng n v bo co ra bn ngoi. iu quan trng l B my qun l khng ch gii hn h trong cng tc truyn thng vi ngha l mt bin php kim sot, m cn nhn mnh vo ngha v mc ch ca yu t kim sot c th. 44.5. Gim st mc hiu qu ca h thng kim sot ni b: H thng kim sot ni b s c gim st qua thi gian nh gi cht lng hot ng ca h thng. Vic ny c thc hin thng qua cc hnh ng gim st lin tc, nhng nh gi ring l, hoc kt hp c hai. Bt k s trc trc trong kim sot ni b cn c bo co ln trn, nhng vn nghim trng cn c bo co trc tip vi Tng Gim c v B my qun l. HQT, Tng Gim c cn quy nh ch ti p dng khi c vi phm v kim sot trn c s d kin trc. iu 45: Trch nhim v kim sot ni b

Cng ty c trch nhim xy dng h thng kim sot ni b (KSNB), thng xuyn kim sot vic chp hnh php lut v cc quy nh ni b; trc tip kim sot trn tt c cc lnh vc ti tr s chnh, chi nhnh, n v, cng ty con, a
71

ra cc hoch nh v thc hin bin php khc phc m bo h thng lun c theo di, o lng, nh gi thng xuyn lin tc. Cc khi, phng ban ca Cng ty, trong phm vi hot ng ca mnh, s c trch nhim trong vic m bo cc kim sot ca mnh, ng thi m bo tt c cc cp qun l v nhn vin u c o to v h thng v vn ha kim sot ca Cng ty vi s h tr ca Phng Nhn s v Phng Kim sot ni b ca Cng ty. Kim sot ni b lun bt u t cp cao nht ca Cng ty, cp HQT v cc ch th iu hnh. C th l HQT v Ban gim c iu hnh chu trch nhim thit lp mt mi trng kim sot ni b ph hp v duy tr cc tiu chun o c mc cao mi cp hot ng ca Cng ty vic thc thi cc quy trnh kim sot ni b thuc trch nhim ca cc ch th iu hnh Tng gim c chu trch nhim cui cng v nm quyn s hu i vi h thng kim sot. nh k hng nm, TG s tin hnh t chc r sot, kim tra, nh gi h thng KSNB. Vic r sot, nh gi v tnh y , hiu lc v hiu qu ca h thng KSNB da tr n vic xc nh v nh gi ri ro. Tng gim c phi lp bo co v kt qu t kim tra, nh gi h thng KSNB. Bo co phi cp nht cc ri ro, nu tm tt hot ng chnh, cc ri ro lin quan tng ng. Bo co t kim tra, nh gi v h thng KSNB c gi cho HQT. Vic phn nh trch nhim i vi h thng kim sot ni b ca tng cp c quy nh nh sau: + HQT: nh k hng nm, xem xt, nh gi li h thng KSNB thng qua cc bo co ca Tng gim c Ban hnh v nh k xem xt, nh gi li chin lc kinh doanh v cc mc tiu, chnh sch ln. m bo Tng gim c thit lp v duy tr h thng KSNB hp l v c hiu qu. + TG: Chu trch nhim trc HQT trong vic trin khai thc hin chin lc kinh doanh v cc mc tiu, chnh sch ln. Tin hnh t chc, kim tra, nh gi v h thng KSNB v chu trch nhim cui cng v s hp l, hiu lc v hiu qu ca h thng KSNB.

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 Thit lp, duy tr v pht trin h thng KSNB hp l, hot ng c hiu qu, p ng yu cu v nhn dng, o lng, nh gi v qun l ri ro, m bo hot ng an ton, hiu qu v ng Php lut. Xy dng, ban hnh quy trnh nghip v c th; m bo c chnh sch kim sot, chnh sach ri ro gn tng quy trnh, nghip v c th. Duy tr v thc hin c cu t chc, phn cp y quyn, qun l kinh doanh mt cch r rng, c th. m bo duy tr h thng thng tin ti chnh v thng tin qun l trung thc, hp l, y v kp thi m bo tun th php lut cc quy ch, quy trnh, quy nh ni b nh k hng nm bo co HQT, Ban kim sot kt qu t nh gi v h thng KSNB v kin ngh, xut nhm sa i, b sung hon thin h thng KSNB Mt s nhim v trn v cc ni dung qun l ri ro s c Tng Gim c y thc cho Phng Kim sot ni b - Qun l ri ro. + Ban kim sot Ch o, iu hnh b phn Kim ton ni b thc hin r sot, nh gi mt cch c lp, khch quan i vi h thng KSNB. nh k thng bo HQT, Tng gim c v h thng KSNB; a ra cc kin ngh, xut hon thin h thng KSNB. Kim ton ni b m bo thc hin y mi chc nng, nhim v, quyn hn lin quan n cng tc kim ton i vi h thng KSNB theo quy nh v Quy ch hot ng ca Kim ton ni b (quy ch ny do BKS xc lp v c s chp thun ca HQT). iu 46: Kim ton ni b

46.1. Gim st mc hiu qu ca h thng KSNB Kim ton ni b ng vai tr quan trng trong c cu qun tr ca Cng ty. B phn kim ton ni b ca Cng ty thc hin cc cuc kim ton ni b theo k hoch. Kim ton ni b xem xt v m bo tin cy v trung thc ca thng tin, tun th cc chnh sch v quy ch, s an ton ca ti sn, vic s dng hiu qu v tit kim cc ngun lc, t c cc mc tiu hot ng thit lp. Cc nhim v ch yu ca kim ton ni b c xy dng c th trong Quy ch hot ng ca Kim ton ni b, bao gm nhng khng gii hn cc ni dung
73

v kim ton bo co ti chnh, kim ton hot ng, kim ton tun th nh sau: + nh gi vic tun th ca hot ng kinh doanh i vi cc chnh sch v quy trnh ni b. + nh gi vic kim sot cc bin php bo v an ton ti sn. + nh gi vic tun th cc quy nh php lut. + nh gi s kim sot ni b thng qua thng tin ti chnh. + nh gi s kim sot ni b thng qua cc qu trnh kinh doanh. + nh gi qu trnh xc nh, nh gi v qun l ri ro kinh doanh. + nh gi hiu qu ca hot ng. + nh gi vic tun th cc cam kt trong hp ng. + Thc hin kim ton cng ngh thng tin. + Kim ton cc cng ty con. + Tham mu trong qu trnh thit lp cc chnh sch v quy trnh ni b. + iu tra cc vi phm (theo ch o ca BKS). 46.2. T chc b my kim ton ni b ca Cng ty Kim ton ni b l mt b phn c hot ng c lp, cc kim ton vin ni b phi khch quan khi thc hin cc cng vic ca mnh. Kim ton ni b c tin hnh trong cc mi trng php lut v vn ha, kim ton ni b phi tun th cc chun mc v cc nguyn tc o c ngh nghip. Chun mc kim ton ni b v nguyn tc o c ngh nghip c quy nh ti h thng chun mc kim ton ni b quc t ( IAS). BKS c trch nhim trong vic xc nh c ch b nhim, min nhim v ch th lao ca kim ton ni b trong cc quy nh ni b v kim ton ni b ca Cng ty. BKS chu trch nhim cho tnh y v p ng ca b phn Kim ton ni b. Kim ton vin ni b phi bo mt thng tin c c trong qu trnh kim ton. Kim ton c lp

iu 47:

Mt cuc kim ton c lp c thc hin bi Kim ton c lp bn ngoi l mt yu t quan trng trong khun kh kim sot ca Cng ty. 47.1. Trch nhim i vi Bo co ti chnh:

74

Tng Gim c Cng ty lun l ngi chu trch nhim v vic lp v trnh by bo co ti chnh ca Cng ty. Kim ton c lp ch c trch nhim a ra kin v bo co ti chnh ca Cng ty. Vic kim ton cc bo co ti chnh khng lm gim bt trch nhim ca Tng Gim c Cng ty i vi cc bo co ti chnh ca Cng ty.

47.2. Quyn ca Cng ty: - T chi cung cp thng tin khng phc v cho mc ch kim ton v yu cu i kim ton vin hanh ngh nu h vi phm cc nguyn tc v tnh c lp trong kim ton. Tho lun hoc yu cu cc vn bn gii trnh cc vn cha ph hp c a ra trong bn d tho bo co kim ton. Khiu ni v kim ton vin hnh ngh nu h c hnh vi vi phm php lut trong qu trnh kim ton. Yu cu t chc kim ton bi thng thit hi gy ra bi cuc kim ton. B nhim Kim ton c lp: vic la chn Kim ton c lp cho nm ti chnh ca Cng ty tun th theo cc quy nh ca iu l v Quy Ch ny ( BKS xut la chn cng ty kim ton c lp, mc ph kim ton v mi vn c lin quan HC xem xt, quyt nh theo quy nh ti im i1 Khon 1 iu 31 ca iu l).

47.3. Chnh sch s dng Kim ton c lp HQT hoc Tiu ban Kim ton c trch nhim xy dng chnh sch s dng kim ton c lp, trong xc nh r cc tiu chun v ngun vn, kim ton vin, v cc iu kin khc ca cc cng ty kim ton c lp tham gia kim ton ti Cng ty. Chnh sch s dng Kim ton c lp cng nu r cc iu kin v iu khon i vi hp ng kim ton v ph kim ton, c th BKS s xut mc ph kim ton cn c trn: + Tnh da trn s gi lm vic ca kim ton vin v ph tnh cho mt gi, hoc + Tnh da trn mi dch v kim ton v ph cho mi gi dch v, hoc + Tnh da trn mi dch v cung cp v t l ph tnh theo % trn tng gi tr ca hp ng hoc ca d n, hoc + Tnh theo hp ng kim ton cho nhiu k vi mc ph c nh cho mi k.

75

47.4. Bo co kim ton v th qun l: Bo co kim ton c lp v gi cho HQT vi cc kin kt lun ca Cng ty kim ton v mc tin cy ca bo co ti chnh. Th qun l phi c gi cho Tng Gim c v B my qun l, tho lun v cn nhc phn hi trc khi hon chnh v gi cho HQT.

47.5. Trch nhim ca Kim ton c lp Kim ton c lp hot ng theo cc chun mc kim ton c lp v cc quy nh ca php lut. Kim ton c lp phi m bo cc trch nhim v dn s, hnh chnh v hnh s. Trch nhim dn s th hin vic kim ton vin hnh ngh v cng ty kim ton phi gi b mt cc thng tin ca Cng ty. Trch nhim hnh chnh th hin vic a ra cc nhn xt kim ton sai Cng ty. Trch nhim hnh s th hin vic kim ton vin hnh ngh s dng quyn ca mnh vo nhng mc ch c nhn v vi phm quyn li ca Cng ty hoc cc bn lin quan.

CHNG IX: GIAO DCH TRNG YU V GIAO DCH VI CC BN C QUYN LI LIN QUAN N CNG TY
iu 48: Cc giao dch trng yu trng Cng ty

48.1. nh ngha - Mt giao dch (hoc nhiu giao dch c lin quan vi nhau), khng thuc cc giao dch c thc hin thng xuyn trong hot ng kinh doanh thng thng ca Cng ty, c coi l trng yu nu hi cc tiu ch v iu kin v bn cht v gi tr sau: + Bn cht ca giao dch: Cc giao dch c lin quan trc tip hay gin tip n vic mua, bn ti sn ca Cng ty hoc cng ty con; Vic vay n, bo m, bi thng; Vic mua, bn c phn ca cng ty khc; Ch nh v bi nhim nhng ngi/t chc c Cng ty u nhim l i din thng mi v lut s ca Cng ty;

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Cc giao dch khc c quy nh ti iu 20 Khon 4 ca iu l Cng ty.

Gi tr ca giao dch: Gi tr ca giao dch ln hn [02]% Vn ch s hu c xc nh theo bo co ti chnh c kim ton gn nht ca Cng ty. i vi tng bn cht giao dch c th, HQT s quyt nh (bng vn bn) mt mc gi tr c th khc.

Thm quyn ph duyt theo iu 13 v iu 20 ca iu l. Cp c thm quyn ph duyt c th y quyn bng vn bn cho cp di i vi mt s giao dch.

- Cc giao dch c lin quan vi nhau: cc giao dch c lin quan vi nhau c c coi l mt giao dch bt thng hay khng s c xem xt da trn cc yu t sau: + + + Mc tiu ca cc giao dch; Bi cnh, iu kin ca cc giao dch; Thi gian m Cng ty thit lp mi quan h vi i tc trong giao dch.

48.2. Th tc ph duyt - i tng xut (ngi c nhim v thc hin giao dch) trc khi thc hin giao dch phi trnh ni dung bng vn bn ln cp thm quyn ph hp, trc mt khong thi gian hp l, bao gm cc thng tin sau y: + Cc bn tham gia trong giao dch + Nhng i tng hng li khc (nu c) + Gi tr giao dch + i tng giao dch + Cc iu khon v iu kin quan trng khc lin quan n giao dch. Vic xc nh gi tr: HQT s xc nh v hoc quy nh cn c tnh gi tr ca giao dch bng vn bn hoc theo tng thi im.

48.3. Cng b thng tin: Vic cng b thng tin lin quan n giao dch trng yu ca Cng ty phi tun th quy nh ti Chng 10 ca Quy Ch ny. iu 49: Giao dch vi Ngi c lin quan

49.1. Quy ch qun l giao dch vi Ngi c lin quan

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Ngoi quy nh ti iu 29 ca iu l v trch nhim trung thc v trnh cc xung t v quyn li, HQT c trch nhim ph chun mt Chnh sch v th tc v qun l giao dch vi Ngi c lin quan, c y cc ni dung nh sau: + nh ngha + Phm vi i tng + Cc yu cu tun th + Cc nguyn tc + Thm quyn ph duyt + Phn cng trch nhim + Th tc thc hin ph duyt cc giao dch + Tng hp v bo co

Chnh sch v th tc v qun l giao dch vi Ngi c lin quan cn xc nh c th cc i tng thuc Ngi c lin quan v vai tr ca h trong giao dch. Cc vai tr ny nh sau: + L bn tham gia trong mt giao dch hp php vi Cng ty + C mi quan h v ti chnh trong giao dch hp php vi bn k hp ng vi Cng ty hoc c mi quan h v ti chnh vi mt c nhn c li ch kinh t trong giao dch hp php vi Cng ty m c th khin h hnh ng i ngc li li ch ca Cng ty + B kim sot bi mt bn trong giao dch hp php hoc mt c nhn c mi quan tm kinh t trong giao dch v c th b iu khin bi t chc c nhn hnh ng i ngc li li ch ca Cng ty Trn c s , Cng ty s thit lp mt danh sch cc Ngi c lin quan v thng xuyn kim tra xem liu cc i tng ny hoc nhng ngi c lin quan ca h c tham gia vo tng giao dch do Cng ty thc hin hay khng.

Theo ngh ca Tng Gim c, HQT c th m rng phm vi i tng chu s iu chnh ca vic k khai, kim sot nhm tang tnh minh bch. Tuy nhin, cc i tng m rng ny s khng chu s iu chnh bi quy nh v cng b thng tin. 49.2. Nhn din v ph duyt - Thm quyn ph duyt giao dch vi Ngi c lin quan c quy nh ti im a, im b mc 4.3 Khon 4 iu 29 ca iu l. Cng ty s c th ha cc giao dch Chnh sch v th tc v qun l giao dch vi Ngi c lin quan ca mnh. -

78

C ch nhn din v t b: Bt k giao dch vi Ngi c lin quan no cng cn c ph duyt trc khi thc hin. Khi HQT v cc c ng khng th nhn bit giao dch c s tham gia ca Ngi c lin quan trong trng hp ngi trong ni b Cng ty c tnh che giu s tham gia ca h trong giao dch v li ch c nhn ca h trong th thnh vin khng iu hnh ( u tin c lp) ca Hi ng qun tr s pht huy vai tr trong vic pht hin v cng b cc giao dch vi Ngi c lin quan. Vic lp danh sch cc Ngi c lin quan v vai tr ca cc bn trong giao dch s c quy nh c th v thi gian cp nht v c ch p dng trong Chnh sch v th tc v qun l giao dch vi Ngi c lin quan ca Cng ty. C ch nhn din v kim sot giao dch vi Ngi c lin quan phi c ph chun trong Chnh sch v th tc v qun l giao dch vi Ngi c lin quan ca Cng ty. B phn ph trch s c xc nh c th. Nhim v v quyn hn ca b phn ph trch vic k khai v qun l thng tin; b phn nghip v, cp c thm quyn v b phn ghi nhn thng tin phn nh vo bo co ti chnh s c tch bch. Ni dung bo co v giao dch phi tun theo cc quy nh ca php lut, bao gm cc ni dung chi tit nh sau: + Cc bn tham gia giao dch + Cc i tng hng li khc trong giao dch (nu c) + Gi tr giao dch + Ti sn v dch v c giao dch + Cc iu khon v iu kin quan trng khc ca giao dch

49.3. Tng hp v cng b thng tin Tng hp thng tin v cng b thng tin s c xc nh c th trong Chnh sch v th tc v qun l giao dch vi Ngi c lin quan ca Cng ty. nh k hng qu, danh mc Ngi c lin quan phi c cp nht, lp bo co tnh hnh giao dch ca Ngi c lin quan trnh cp c thm quyn v thc hin cng b thng tin. Mi vic lin quan n cng b thng tin phi tun th quy nh ti Chng 10 ca Quy Ch ny.

49.4. Trch nhim khi vi phm Trong trng hp vi phm c th, ty vo mc v bi cnh, HQT s quyt nh ch ti v trch nhim mt cch ph hp.
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iu 50: -

Cc bn c quyn li lin quan n Cng ty

HQT, vo thi im thch hp, s ban hnh Chnh sch trch nhim x hi Doanh nghip ca Cng ty. Cng ty lun tn trng quyn li hp php ca cc bn c quyn li lin quan ca Cng ty. Trong iu kin cho php, Cng ty n lc trong vic m bo quyn li hp php ca cc bn c quyn li lin quan ca Cng ty. Cng ty s hp tc tch cc vi cc bn c quyn li lin quan ca Cng ty bao gm nhng khng gii hn vic (i) cung cp thng tin cn thit; (ii) khuyn khch a ra cc kin v tnh hnh hot ng kinh doanh, tnh hnh ti chnh v cc quyt nh quan trng lin quan ti li ch ca h thng qua lin h trc tip vi HQT, BKS, B my qun l. Cng ty cam kt n lc trong vic p dng mt chnh sch tt v phc li i vi ngi lao ng. Cng ty cam kt quan tm n mi trng thng qua vic ban hnh mt chnh sch v mi trng p ng cc quy nh ca php lut v cc tiu chun khc.

CHNG X: CNG B THNG TIN MINH BCH V BO MT THNG TIN

iu 51: Nguyn tc v cng b thng tin

nh ngha: Vic cng b thng tin c nh ngha nh l mt cch thc m bo rng tt c cc bn quan tm u c th tip cn thng tin thng qua mt quy trnh minh bch m bo cho vic tm kim v thu thp thng tin c d dng, bt k mc ch tip cn thng tin l g. Nguyn tc v cng b thng tin: + + + + Thng xuyn, kp thi C th tip cn mt cch d dng, rng ri Chnh xc v y Nht qun, ph hp v c vn bn dn chng

Cng ty c ngha v cng b y , chnh xc v kp thi thng tin nh k v bt thng v tnh hnh hot ng sn xut kinh doanh, ti chnh v tnh hnh qun tr Cng ty cho c ng v cng chng ph hp vi Quy ch Cng b thng tin ca S Giao dch Chng khon TP. H Ch Minh.
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Vic cng b thng tin c thc hin theo nhng phng thc nhm m bo c ng v cng chng u t c th tip cn mt cch cng bng v ng thi. Ngn t trong cng b thng tin r rng, d hiu v trnh gy hiu lm cho c ng v cng chng u t, m bo thng tin minh bch. Thng tin b mt

iu 52: -

trnh nhng nh hng bt li n quyn v li ch chnh ang ca Cng ty v cc c ng trong vic cng b thng tin, Cng ty c php bo mt thng tin i vi thng tin b mt thuc phm vi B mt kinh doanh theo quy nh ca Lut Cnh tranh. Phm vi B mt kinh doanh v cc Thng tin b mt khc c quy nh ti Quy ch v cng b thng tin v Chnh sch bo mt thng tin. Thng tin ni b v giao dch ni b

iu 53: -

Thng tin ni b l nhng thng tin lin quan n Cng ty cha c cng b m nu c cng b c th nh hng ln n gi chng khon ca Cng ty.

Thng tin ni b c lu gi cn mt bi nhng ngi c thm quyn theo quy nh ca Chnh sch bo mt thng tin. Cc i tng c th tip cn thng tin ni b bao gm: + + + Thnh vin HQT, BKS, Tng gim c, Ngi Qun l khc, trong phm vi cc cng vic c lin quan n chc trch, nhim v c giao; C ng ln ca Cng ty; Ngi kim ton bo co ti chnh, cc cng ty chng khon, cc cng ty qun l qu u t chng khon v ngi hnh ngh chng khon ca Cng ty; T chc, c nhn c quan h hp tc kinh doanh, cung cp dch v vi Cng ty v v c nhn lm vic trong t chc T chc, c nhn trc tip hoc gin tip c c thng tin ni b t nhng i tng quy nh ti cc im nu trn.

+ +

- Nhng ngi c tip cn cc thng tin ni b khng c php: + + Mua bn chng khon lin quan ti thng tin ni b m mnh c tip cn; Tit l thng tin ni b cho nhng c nhn khc tr phi vic tit l c thc hin trong qu trnh thc thi nhim v c Cng ty giao ph

81

+ -

T vn hoc xui khin ngi khc mua bn chng khon lin quan n nhng thng tin ni b m mnh c tip cn.

Giao dch ni b bt hp php (Giao dch ni gin) l nhng giao dch din ra khi nhng ngi c kh nng tip cn cc thng tin ni b s dng nhng thng tin thu li hoc trnh tn tht trn th trng chng khon. Tng Gim c c trch nhim trin khai thc hin Chnh sch an ninh thng tin v c th ha cc quy nh, quy trnh v trnh xung t li ch ca Cng ty iu chnh cc hnh vi lin quan n vic s dng thng tin ni b, giao dch ni b T chc cng b thng tin, qun l thng tin v tnh minh bch

iu 54: 54.1 -

T chc cng b thng tin HQT c trch nhim xc lp, thng qua v duy tr Quy ch v cng b thng tin ph hp vi cc quy nh ca Lut Chng khon, cc vn bn hng dn thi hnh v cc quy nh php lut c lin quan khc. m bo tnh chnh xc v kp thi, Cng ty s t chc b phn chuyn trch/kim nhim vic cng b thng tin. Tiu chun, iu kin ca nhn s/b phn ny c cp trong Quy ch v cng b thng tin. Cn b chuyn trch v cng b thng tin ca Cng ty thc hin ng theo quyn v ngha v c giao. Vic cng b thng tin c thc hin trn cc phng tin thng tin ca y ban chng khon nh nc v S giao dch chng khon, cc n phm v cc trang thng tin in t ca Cng ty.

54.2. Qun l thng tin b mt, thng tin ni b Tng Gim c l ngi chu trch nhim cao nht trong vic xy dng/ xut cc tiu thc phn loi thng tin v h thng qun l thng tin ni b, thng tin b mt ph hp vi cc quy nh hin hnh ca php lut. V nguyn tc thng tin ni b cn c qun l tp trung t trn xung di. Tng b phn tu theo c th cng vic c nh gi mc nhy cm ca cc thng tin pht sinh ti b phn c cch x l, bo mt v qun l thch hp. Trong qu trnh pht trin hot ng kinh doanh, danh mc cc thng tin cn c thng xuyn b sung v cp nht qun l v theo di cht ch, hn ch nhng nh hng tiu cc ca vic tit l thng tin ni b ra bn ngoi.

54.3. Tnh minh bch - Cng ty cam kt m bo s minh bch trong cng b thng tin theo quy nh ti Quy ch v cng b thng tin.
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54.4. Trch nhim bi thng C nhn vi phm Quy ch cng b thng tin, bao gm nhng khng gii hn vi phm cng tc (i) cng b thng tin, (ii) s dng v hoc tit l thng tin, (iii) chun b nhng thng tin c cng b khng y v thiu chnh xc, phi chu trch nhim bi thng v/hoc b x l trch nhim ty theo mc vi phm.

54.5. C ch lin lc thng xuyn vi C ng ln Cng ty s thng tin vi c ng ln bt c khi no HQT thy cn thit, tuy nhin trn nguyn tc khng t hn 2 ln/nm. Cc ni dung cng b thng tin

iu 55:

55.1. Cng b thng tin v tnh hnh qun tr cng ty

-

Cng ty phi cng b thng tin v tnh hnh qun tr Cng ty trong cc k HC hng nm, trong Bo co thng nin ca Cng ty, ti thiu phi bao gm nhng thng tin sau: + Thnh vin v c cu ca HQT v BKS; + Hot ng ca HQT v BKS; + Hot ng ca thnh vin HQT c lp khng iu hnh; + Hot ng ca cc tiu ban ca HQT; + Nhng k hoch tng cng hiu qu trong hot ng qun tr Cng ty; + Th lao v chi ph cho thnh vin HQT, thnh vin BKS, Tng Gim c v Gim c iu hnh; + Thng tin v cc giao dch c phiu Cng ty ca cc thnh vin HQT, thnh vin BKS, Tng Gim c v Gim c iu hnh, C ng ln v cc giao dch khc ca thnh vin HQT, thnh vin BKS, Tng Gim c, Gim c iu hnh v nhng ngi lin quan ti cc i tng ni trn; + S lng thnh vin HQT, thnh vin BKS, Tng Gim c tham gia o to v qun tr Cng ty + Nhng im cha thc hin theo quy nh ca Quy Ch, nguyn nhn v gii php.

Cng ty c ngha v bo co nh k v cng b thng tin nh k v tnh hnh qun tr Cng ty theo quy nh ca php lut, U ban Chng khon Nh nc v S Giao dch Chng khon TP. H Ch Minh.

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Thnh vin Hi ng qun tr, thnh vin Ban kim sot, Tng Gim c, Ban iu hnh c trch nhim bo co v cng b thng tin v: + Cc giao dch gia Cng ty vi cng ty m cc thnh vin nu trn l thnh vin sng lp hoc l thnh vin Hi ng qun tr, Tng Gim c, Gim c trong thi gian 3 nm trc; + Cc giao dch gia Cng ty v cng ty trong ngi lin quan ca cc thnh vin nu trn l thnh vin Hi ng qun tr, Tng Gim c, Gim c hoc c ng ln + Cc giao dch c th mang li li ch vt cht v phi vt cht i vi cc thnh vin nu trn.

55.2. Ni dung cng b thng tin: Phm vi cc thng tin phi cng b bao gm: Nhng thng tin nh k: cc bo co ti chnh c kim ton v bo co thng nin Nhng thng tin bt thng Nhng thng tin theo yu cu ca UBCKNN Nhng thng tin lin quan n giao dch ca cc c ng ln Nhng thng tin lin quan n giao dch c phiu qu Nhng thng tin lin quan n giao dch c phiu ca cc c ng sng lp trong thi gian b hn ch chuyn nhng Nhng thng tin lin quan n vic giao dch v cho bn ra cng chng Nhng thng tin lin quan n vic cho bn chng khon ra cng chng tin s dng vn thu c t t cho bn Cc thng tin khc theo quy nh ca php lut. v

55.3. Cng b thng tin t nguyn Cc thng tin m Cng ty c th t nguyn cng b ( khng thuc phm vi yu cu ca php lut) trn trang thng tin in t bao gm: Cc mc tiu ca cng ty C cu s hu ca c ng ln, quan trng v quyn biu quyt Thng tin v thnh vin Hi ng qun tr v Ban gim c iu hnh Cc yu t ri ro trng yu c th d on trc Ngi lao ng v cc bn c quyn li lin quan
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C cu v chnh sch Qun tr cng ty.

55.4. Phm vi thng tin vi C ng ln Phm vi thng tin vi C ng ln bao gm: - Thng tin ni b - Cc kin ng gp ca C ng ln v qun tr cng ty iu 56: 56.1 Cng b thng tin v cc c ng ln

Cng ty phi t chc cng b thng tin nh k v tng C ng ln gm cc ni dung ch yu sau: Tn, nm sinh (c ng c nhn); a ch lin lc; Ngh nghip (c ng c nhn), ngnh ngh hot ng (c ng t chc); S lng v t l c phn s hu trong Cng ty; Tnh hnh bin ng v s hu ca cc C ng ln; Nhng thng tin c th dn ti s thay i ln v c ng ca Cng ty; Tnh hnh tng, gim c phiu, v cm c, th chp c phiu Cng ty ca cc C ng ln.

56.2. Cng ty c ngha v bo co nh k qu, nm v cng b thng tin v tnh hnh bin ng c ng theo quy nh ca U ban Chng khon Nh nc cho U ban Chng khon Nh nc v S Giao dch Chng khon TP. H Ch Minh. 56.3. bo m quyn li ca c ng, c ng phi thng xuyn v kp thi cung cp thng tin ca c ng cho Cng ty. Trng hp C ng khng cung cp thng tin dn n quyn li ca c ng b nh hng v nu vic nh hng khng xut pht t li ca Cng ty, Cng ty s khng c trch nhim bi thng. iu 57: Bo mt thng tin

Tng Gim c chu trch nhim xy dng v t chc thc hincc quy nh v quy trnh v bo mt thng tin (nh l mt phn ca Chnh sch an ninh thng tin).

Phm vi iu chnh s bao gm cc thng tin ni b, thng tin b mt v cc thng tin nhy cm khc ca Cng ty cn c bo mt.

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Cc ni dung chnh phi ti thiu bao gm: qun l ri ro thng tin, b phn ph trch, qun l ti sn, lu tr, thng tin lin lc, kim sot truy cp, qun l cam kt bo mt i vi bn th ba.

CHNG XI: CH BO CO, GIM ST V X L VI PHM

iu 58: Bo co

HQT c trch nhim bo co v cng b thng tin v vic thc hin qun tr cng ty theo quy nh ca Quy ch vi U ban Chng khon Nh nc, S Giao dch Chng khon/ Trung tm Giao dch Chng khon v cc c quan c thm quyn khc theo quy nh ca php lut. iu 59: Gim st

Cng ty, cc c nhn v t chc lin quan v cc c ng ca Cng ty phi chu s gim st v qun tr Cng ty ca U ban Chng khon Nh nc, S Giao dch Chng khon TP. H Ch Minh v cc c quan c thm quyn khc theo quy nh hin hnh ca php lut. iu 60: X l vi phm

Mi trng hp vi phm hoc khng thc hin ngha v cng b thng tin v bo co U ban Chng khon Nh nc theo quy nh ti Quy ch ny s b x pht vi phm hnh chnh theo quy nh ti Ngh nh v x pht hnh chnh trong lnh vc chng khon v th trng chng khon. Cc trng hp vi phm khc s b x l cn c theo ni quy lao ng v cc quy nh ni b v ch khen thng v x pht ca Cng ty. Vic x l phi tun th ng quy nh ca php lut, ph hp vi iu l Cng ty v cc quy nh ni b khc.

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