Bo co thng nin

CTCP CHNG KHON CHU THI BNH DNG

(Thnh lp ti nc Cng ha X hi Ch ngha Vit Nam)

-----------------------o0o----------------------

BO CO THNG NIN
Cho nm ti chnh kt thc ngy 31 thng 12 nm 2010

H Ni, thng 03/2011

Bo co thng nin

BO CO THNG NIN
CNG TY C PHN CHNG KHON CHU THI BNH DNG Nm bo co: 2010 1. LCH S HOT NG CA CNG TY
1.1. Qu trnh thnh lp v pht trin Cng ty C phn Chng khon Chu Thi Bnh Dng c thnh lp theo Giy chng nhn KKD s 0103015146 do S K hoch v u t TP.H Ni cp ngy 21/12/2006 vi vn iu l l 60 t ng. Cng ty c y ban Chng khon Nh Nc cp Giy php hot ng kinh doanh chng khon s 37/UBCK-GPHKD ngy 26/12/2006 vi cc nghip v: Mi gii chng khon, T doanh chng khon, T vn ti chnh v u t chng khon, Bo lnh pht hnh chng khon v Lu k chng khon. Nhm p ng nhu cu v vn cho hot ng kinh doanh, Qu 3/2007 Cng ty thc hin tng vn iu l ln 80 t ng. Ngy 01/10/2007 y ban chng khon nh nc c Quyt nh s 78/UBCK-GPCCTCK iu chnh cp b sung Giy php thnh lp v hot ng ca Cng ty. Ngy 31/03/2008 Cng ty gi h s ln y ban chng khon nh nc ngh thay i Giy php thnh lp v hot ng vi vn iu l mi l 260 t ng. Ngy 23/04/2008 y ban chng khon nh nc c Quyt nh s 124/UBCKGPCCTCK chp thun h s. Thng 7/2007: Chi nhnh HCM chnh thc i vo hot ng. Ngy 24/06/2009: C phiu APEC Securities chnh thc giao dch trn th trng Upcom. Thng 1/2010: Chi nhnh Hu chnh thc c cp php hot ng. Ngy 19/03/2010, C phiu APEC Securities chp thun nim yt trn sn giao dch chng khon H Ni. Ngy 07/07/2010 y ban chng khon nh nc c Quyt nh s 338/UBCKNN GP iu chnh giy php hot ng tng vn iu l ca APEC Securities ln 390 t ng. Thng 7/2010 : Chi nhnh Nng chnh thc c cp php hot ng. Thng 9/2010 : Chi nhnh Vinh chnh thc c cp php hot ng.

Bo co thng nin 1.2. Ngnh ngh kinh doanh - Dch v mi gii chng khon - Dch v t vn ti chnh doanh nghip - Hot ng nghin cu th trng - Hot ng lu k chng khon - u gi bn c phn ln u - T doanh chng khon - T vn u t chng khon 1.3. nh hng pht trin Apec Securities l cng ty chng khon th 37 c cp php hot ng t nm 2006, APEC Securities t mc tiu tr thnh Cng ty chng khon bn l tt nht Vit Nam. Vi s c mt ca mnh, thng ip m APEC Securities mun gi n cng chng l: Cng ngh t ph - Gi tr vng bn. Trong tm nhn chin lc v di hn ca mnh, APEC Securities xc nh s ng hnh vi khch hng thng qua cc sn phm, dch v chng khon pht trin trn nn cng ngh thng tin ti u, my mc thit b chuyn dng hin i, km theo nhng dch v chm sc khch hng tt nht nhm em li hiu qu u t cao nht cho khch hng vi cam kt gn b cng pht trin bn vng. APEC Securities tin tng vo thnh cng ca mnh v Ban lnh o Cng ty xc nh rng, mun pht trin bn vng th bn cnh cng ngh ti u, yu t quan trng nht chnh l ngun lc con ngi. APEC Securities tp trung u tin hng u v pht trin ngun lc con ngi xy dng mt i ng nhn s tr, nng ng, c o to bi bn c trong v ngoi nc trong cc lnh vc: ti chnh - ngn hng, chng khon, qun tr kinh doanh, kinh t iu quan trng l ton th Ban lnh o, cc thnh vin ca APEC Securities u on kt, nht tr, t quyt tm cao thc hin mc tiu t ra.

2. BO CO CA HI NG QUN TR 2.1. Nhng nt ni bt ca kt qu hot ng kinh doanh trong nm 2010 - Cng ty hon thin h thng phn mm Core mi cng vi h thng giao dch trc tuyn hin i gip cng ty qun l hiu qu gn 30.000 ti khon ca khch hng. - Quyt nh u t b sung, nng cao nng lc h thng my mc thit b, h tng k thut mng, h thng bo mt, nng cp h thng phn mm, nhm p ng nhu cu qun l v cung cp dch v chng khon c cht lng cao.
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Bo co thng nin Cng ty thnh cng khi a ra mt s sn phm phc v nh u t: Chuyn tin

online, giao dch l l, ng k trc tuyn, thng tin th trng, lnh nng cao. Bn phn tch v nhn nh th trng hng ngy c tnh ng dng thc t cao, p ng nhu cu nh u t (Market Preview). - Cng c thng tin th trng, phn tch k thut: APEC Plus, iTrade. - Phn mm Qun l cc khon vay h tr vn dnh cho nh u t trn h thng Core. - H thng cc chi nhnh ca cng ty pht huy hiu qu sau mt thi gian i vo hot ng. Trong nm 2010, Hi ng qun tr thng qua vic m rng mng li hot ng v APEC quyt nh thnh lp thm 02 chi nhnh: Nng v Vinh. n thng 09/2010 2 chi nhnh ny chnh thc i vo hot ng. Nm 2010, cc quy trnh, quy ch ca APEC c hon thin, cc vn bn hng dn tc nghip cng nhanh chng c ban hnh nhm chun mc ha mi hot ng ca cng ty. - Hi ng qun tr thng qua thnh cng v c UBCK nh nc chp thun tng vn iu l t 260 t ng ln 390 t ng, theo hnh thc php hnh ring l, phc v nhu cu vn ngy cng cp thit cho hot ng kinh doanh v hp tc u t chng khon vi nh u t. - Hi ng qun tr thng qua v chuyn i vn phng lm vic n a im mi thuc trung tm H Ni (14B L i Hnh H Ni), nng cao cht lng phc v khch hng, nng cao cht lng lm vic cho cn b, nhn vin, khng nh lng tin v s pht trin. - Ch trng phng n pht trin ngun nhn lc, tng cng nhn s cho ban lnh o v cc chc danh qun l khc.

2.2.Tm tt mt s ch tiu v hot ng sn xut kinh doanh ca Cng ty nm 2008-2010 n v: ng

T T % Tng/ Danh mc Nm 2008 Nm 2009 Gim 09/08 Nm 2010 % Tng/ Gim 2010/09

1 2 3

Tng gi tr ti sn Doanh thu thun Li nhun t hot

310.141.331.617 44.676.265.163 (77.602.228.995)

491.897.210.132 111.218.291.082 8.998.248.414

58.60 148.94

1.259.732.670.8 32 214.230.559.528

156.41 92.79

Bo co thng nin
ng kinh doanh 4 5 6 7 8 Li nhun khc Li nhun trc thu Li nhun sau thu Li c bn trn c phiu T l li nhun tr c tc 89.873.282 (77.512.355.713) (77.512.355.713) 1.106.280.600 10.104.529.014 8.774.128.013 338 1,130.93 40.719.694.626 3.377.771.132 44.097.465.758 44.097.465.758 1.365 205.33

Ngun: BCTC ca APEC Securities nm 2008,2009 v nm 2010 c kim ton bi Cty kim ton AASC v VACO

* Nguyn nhn thay i ln v kt qu kinh doanh nm 2010 so vi nm 2009: Kt qu hot ng kinh doanh nm 2010 t li nhun sau thu 44,097 t ng, tng so vi nm 2009 ( li: 8,77 t ng) l do mt s nguyn nhn ch yu sau: Doanh thu thun hot ng kinh nm 2010 ca APEC Securities t 214,23 t ng, tng trng 156,41% so vi nm 2009 t 111,21 t ng. Trong , doanh thu hot ng mi gii t 57,372 t ng, tng trng 34,50% so vi nm 2009 t 42,654 t ng; doanh thu hot ng kinh doanh vn t 137,33 t ng, tng 132,20% so vi nm 2009;. n cui thng 12 nm 2010, APEC Securities qun l gn 30.000 ti khon ca nh u t. Th phn mi gii ca cng ty lin tc tng trng k t nm 2007 n nay, cng ty lun gi vng th phn ton th trng v so vi cc cng ty chng khon ra i sau 1/1/2006 th cng ty chng khon APEC Securities lun nm trong nhm cc cng ty c th phn v doanh thu mi gii ln nht. Tnh c nm 2010, APEC Securities ng th 8 trong top 10 CTCK dn u th phn mi gii c phiu & chng ch qu ti HNX ( chim 2.80% th phn).

2.3 Cc thay i ch yu trong nm Ngy 19/03/2010: C phiu APEC Securities chnh thc giao dch trn sn giao dch chng khon H Ni. u t v pht trin h thng h tng cng ngh thng tin gp phn nng cao cht lng phc v khch hng nng lc cnh tranh nh: Nng cp phn mm giao dch trc tuyn Online trading ( chuyn tin online, giao dch l l, ng k thc hin quyn trc tuyn, thng tin th trng, lnh nng cao Cng c thng tin th trng, phn tch k thut ( APEC Plus, iTrade).
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Bo co thng nin Phn mm FIX Gateway cho giao dch thng sn HNX, Upcom. Phn mm Qun l cc khon vay h tr vn dnh cho nh u t trn h thng Core. Pht trin mng li : APEC chnh thc thnh lp thm 2 chi nhnh l chi nhnh Nng v chi nhnh Vinh. ng thi vi thnh lp chi nhnh, APEC Securities t chc cc bui hi tho gii thiu v th trng chng khon v c hi u t vo th trng chng khon cho cc nh u t trong nm qua ti mt s chi nhnh cc tnh. APEC v ang lin kt cht ch hn vi mt s ngn hng v t chc ti chnh(nh: NH BIDV, NH MB, ...) pht trin mnh dch v cho vay cm c chng khon. Vi dch v ny gip nh u t tng nng lc ti chnh trong vic u t chng khon.

2.4 Trin vng v k hoch trong tng lai Trong nm 2011 v nhng nm tip theo, APEC s n lc hn na vt qua nhng kh khn v trn pht huy nhng th mnh ring ca mnh kinh doanh hiu qu, cng c v th ca mnh trn th trng chng khon, tng bc thc hin mc tiu tr thnh Cng ty chng khon bn l tt nht Vit Nam. Trong tm nhn chin lc v di hn ca mnh, APEC Securities xc nh s ng hnh vi khch hng thng qua cc sn phm, dch v chng khon vi cng ngh ti u nhm em li hiu qu u t cao nht cho khch hng vi cam kt gn b cng pht trin bn vng.

3. BO CO CA BAN GIM C
3.1. Bo co tnh hnh ti chnh Cc ch tiu c bn Trch khu hao Ti sn c nh Cng ty trch khu hao TSC theo phng php ng thng, t l khu hao hng nm c p dng ph hp vi quyt nh 206/2003/Q-BTC do B ti chnh ban hnh ngy 12/12/2003. Thi gian trch khu hao c c tnh nh sau: My mc thit b: Phng tin vn ti: Dng c qun l: 4 - 6 nm 6 8 nm 5 nm
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Bo co thng nin Thanh ton cc khon n n hn Vic thanh ton cc khon n n hn c thc hin ng hn v y cc khon n. Cc khon phi np cho nh nc c thc hin ng theo Lut nh. Ti 31/12/2010 Cng ty khng c khon n qu hn no. Cc khon u t ti chnh ngn hn: n v: ng STT 1 Ch tiu Chng khon thng mi - Chng khon nim yt - Chng khon cha nim yt 2 3 u t ngn hn khc D phng gim gi u t ngn hn (*) Cng 01/01/20010 157,525,254,394 97,023,403,192 60,501,851,202 (22,285,438,988) 135,239,815,406 31/12/2010 234,201,056,109 31,460,331,540 155,891,724,569 46,849,000,000 (6,868,642,960) 227,332,413,149

Ngun: BCTC ca APEC Securities nm 2009 v nm 2010 c kim ton bi Cty kim ton AASC v Cng ty kim ton VACO

Cc khon u t ti chnh ngn hn ca APEC Securities nm 2010ch yu l u t vo chng khon nim yt v chng khon cha nim yt. Trong danh mc u t chng khon nim yt gi tr 31.460.331.540 ng, Cng ty tp trung vo cc m c phiu blue chip v c tnh thanh khon cao nh trong lnh vc kinh doanh bt ng sn, xy dng nh c phiu ca Cng ty C phn EVERPIA (EVE), Cng ty C phn Tasco(HUT)...; v c phiu ca cc doanh nghip c kt qu hot ng kinh doanh tt nh Cng ty C phn u t Chu Thi Bnh Dng, Cng ty C phn Tp on Thi Ha Vit nam. n 31/12/2010, Cng ty trch lp d phng cho danh mc u t chng khon nim yt l 6.868.642.960ng. Trong danh mc u t vo chng khon cha nim yt n thi im 31/12/2010 gi tr 155.891.724.569 ng vi danh mc ch yu gm cc cng ty c hot ng kinh doanh v tng trng li nhun tt trong nm qua. Danh mc u t chng khon cha nim yt ca Cng ty cha c trch lp d phng do Cng ty khng xc nh c y v chnh xc thng tin cc m c phiu trn th trng, do vy Cng ty khng c c s trch lp d phng. Cng ty s dng phng php tnh gi trung bnh vo ngy cui thng phn nh gi tr chng khon cha nim yt trn s sch k ton.

Bo co thng nin Cc khon u t ti chnh di hn: n v: ng STT 1 2 3 Ch tiu u t vo cng ty con u t vo cng ty lin kt, lin doanh u t chng khon di hn - Chng khon sn sng bn - Chng khon nm gi n ngy o hn 4 u t di hn khc Cng 01/01/2010 1,325,000,000 8,266,000,000 3,066,000,000 5,200,000,000 31/12/2010 8,266,000,000 3,066,000,000 5,200,000,000 575,000,000 (2,478,000,000)

Ngun: BCTC ca APEC Securities nm 2009 v nm 2010 c kim ton bi Cty kim ton AASC v Cng ty kim ton VACO

Trong nm 2010, Cng ty u t vo cng ty lin kt, lin doanh bao gm: gp vn ban u cho d n thnh lp trng i hc ng Nam l 575.000.000 ng (s vn gp ca APEC Securities l 11,5 t ng, chim 23% vn iu l 50 t ng). Khon mc u t vo chng khon di hn bao gm: chng khon ca Cng ty C phn Nam Dc: 3.066.000.000 ng (chim 5,3% vn iu l), u t vo tri phiu ca Cng ty u t Bt ng sn H Ni: 5.200.000.000 ng (chim 11,6% tng gi tr ca t pht hnh tri phiu l 44,68 t ng). Cng ty trch lp d phng khon u t ti chnh di hn cho chng khon ca Cng ty c phn Nam Dc l 2.478.000.000 ng Cc khon phi thu ti ngy 31/12/2009 v 31/12/2010 n v: ng Danh mc Phi thu ca TTGDCK Phi thu ca ngi u t Phi thu ca hot ng giao dch chng khon Tr trc cho ngi bn Cc khon phi thu khc Tng cng 31/12/2010 1.377.561.245 41.103.424.392 772.627.866.412 (1.701.180.600) 31/12/2009 40.212.435.025 2.634.104.665 169.378.427.298

Ngun: BCTC ca APEC Securities nm 2009 c kim ton bi Cty kim ton AASC v nm 2010 c kim ton bi Cng ty kim ton VACO

Bo co thng nin Cc khon phi thu khc n v: ng STT 1 2 3 4 Ch tiu Bo him x hi Li tin gi v li h tr d tnh Li tri phiu d tnh Phi thu v hp tc u t chng khon Cng 31/12/2010 0 15,984,779,183 0 756,643,087,229 772,627,866,412 31/12/2009 129,845,877 2,776,293,887 173,589,041 166,298,743,493 169,378,472,298

Ngun: BCTC ca APEC Securities nm 2009 c kim ton bi Cty kim ton AASC v nm 2010 c kim ton bi Cng ty kim ton VACO

Cc khon phi tr ti ngy 31/12/2009 v 31/12/2010 n v: ng STT I 1 2 3 4 5 6 7 8 9 II 1 2 Danh mc N ngn hn Vay ngn hn Phi tr ngi bn Ngi mua tr tin trc Thu v cc khon phi np NS Nh nc Phi tr ngi lao ng Chi ph phi tr Cc khon phi tr, phi np khc Phi tr hot ng giao dch chng khon Phi tr c tc gc v li tri phiu N di hn Vay v n di hn D phng tr cp mt vic lm Tng cng (I + II) 31/12/2010 96.662.195.408 460.628.393.100 2.023.588.618 820.090.320 11.555.023.943 5.257.188.291 14.916.823.572 228.307.158.353 132.498.434.146 2.126.740.295 620.387.239 96.662.195.408 62.112.975 31/12/2009 269.840.925.510 96.300.000.000 5.405.408.368 728.104.798 10.245.904.802 2.531.224.860 1.635.495.784 39.261.510.068 111.323.764.060 2.409.512.770

Ngun: BCTC ca APEC Securities nm 2009 c kim ton bi Cty kim ton AASC v nm 2010 c kim ton bi Cng ty kim ton VACO.

Chi tit cc khon vay ngn hn:

Trong nm 2010, tt c cc khon vay ngn hn ca Cng ty Chng khon Chu Thi Bnh Dng u nhm mc ch b sung ngun vn lu ng cho hot ng kinh doanh chng khon ca Cng ty .

Bo co thng nin Chi tit Thu v khon phi np ngn sch Nh nc: STT 1 2 3 Ch tiu Thu GTGT Thu Thu nhp doanh nghip Thu TNCN Cng n v: ng 01/01/2010 31/12/2010 3,652,901,415 6,330,401,001 262,602,386 10,245,904,802 3,771,915,386 4,530,401,001 3,252,707,556 11,555,023,943

Ngun: BCTC ca APEC Securities nm 2009 c kim ton bi Cty kim ton AASC v nm 2010 c kim ton bi Cng ty kim ton VACO

Chi tit phi tr hot ng giao dch chng khon STT 1 2 3 Ch tiu Phi tr S (Trung tm) Giao dch chng khon Phi tr t chc, c nhn Phi tr khc Cng 110,896,372,354 111,323,764,060 n v: ng 01/01/2010 31/12/2010 427,391,706 650,382,860 96,000,000 131,752,051,286 132,498,434,146

Ngun: : BCTC ca APEC Securities nm 2009 c kim ton bi Cty kim ton AASC v nm 2010 c kim ton bi Cng ty kim ton VACO

Cc khon phi np theo Lut nh Cng ty thc hin ng theo Lut nh. Trch lp cc qu theo Lut nh Cng ty thc hin vic trch lp cc qu theo iu l ca Cng ty v Php lut hin hnh, vic trch lp cc qu m bo ngun vn Cng ty ti u t m rng hot ng SXKD. S d cc qu qua cc thi im 31/12/2009 v 31/12/2010 nh sau: n v: ng Danh mc Qu d phng ti chnh Qu khen thng phc li 31/12/2010 2.868.000.000 620.387.239 31/12/2009 2.868.000.000 1.237.020.400

Ngun: : BCTC ca APEC Securities nm 2009 c kim ton bi Cty kim ton AASC v nm 2010 c kim ton bi Cng ty kim ton VACO

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Bo co thng nin Cc ch tiu ti chnh ch yu

Cc ch tiu 1. Ch tiu v kh nng thanh ton H s thanh ton ngn hn = Ti sn ngn hn/N ngn hn H s thanh ton nhanh = (TSNH- Hng tn kho)/N ngn hn 2. Ch tiu v c cu vn H s N/Tng ti sn H s N/Vn ch s hu 3. Ch tiu v nng lc hot ng Doanh thu thun/Tng ti sn 4. Ch tiu v kh nng sinh li - H s Li nhun sau thu/Doanh thu thun - H s Li nhun sau thu /Vn ch s hu - H s Li nhun sau thu /Vn iu l - H s Li nhun sau thu /Tng ti sn - H s LN t HKD/Doanh thu thun

n v

Nm 2010

Nm 2009

Ln Ln

1,43 1,43

1,09 1,09

% % % % % % % %

68,17 214,20 17,00

54,86 122,61 22,61 7,89 3,97 3,37 1,78 8,09

20,58 10,99 11,30 3,50 31,47

Ngun: Bo co kim ton BCTC APEC Securities nm 2009, 2010

3.1.3. Tng s c phiu theo tng loi Tnh n thi im 31/12/2010, vn iu l ca Cng ty l 390 t ng tng ng vi s c phiu ang lu hnh l 39.000.000 c phiu. Ton b s lng c phiu ca Cng ty l c phiu ph thng. 3.1.4. S lng c phiu ang lu hnh tng loi S lng c phiu ang lu hnh : 39.000.000 c phiu. 3.1.5. S lng c phiu d tr, c phiu qu theo tng loi (nu c) Khng c.

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Bo co thng nin 3.1.6. C tc Nm 2010, cng ty mi ht l lu k v hot ng kinh doanh ca cng ty vn cha kh quan nn cng ty vn cha th chi tr c tc trong nm. 3.2 Bo co kt qu hot ng kinh doanh Nm 2010 t li nhun sau thu 44,097 t ng. Doanh thu thun hot ng kinh nm 2010 ca APEC Securities t 214,23 t ng, tng trng 156,41% so vi nm 2009 t 111,21 t ng. Trong , doanh thu hot ng mi gii t 57,372 t ng, tng trng 34,50% so vi nm 2009 t 42,654 t ng; doanh thu hot ng kinh doanh vn t 137,33 t ng, tng 132,20% so vi nm 2009.

3.2.1. Hot ng khi dch v chng khon S lng ti khon: Trong nm 2010, APEC Securities m thm c 6013 ti khon mi nng tng s ti khon nh u t m ti APECS t 27.194 ti khon. Ngoi ra APEC Securities cn qun l s c ng cho CTCP Bia H Ni, CTCP Tp on Thi Ha, CTCP u t Chu - Thi Bnh Dng, CTCP INLACO H Ni... Th phn mi gii: n thi im hin nay, th phn mi gii ca APEC Securities ti Hose vo khong 1,35% v th phn mi gii ti HNX vo khong 2,80%. APEC Securities lun quan tm, ch trng nng cao cht lng dch v v tng cng h tr thng tin t vn cho ngi u t, cng nh phi hp thng xuyn v ng b vi cc t chc ti chnh tn dng nh Ngn hng u t v Pht trin Vit Nam, Ngn hng TMCP Hng Hi... cung cp cc dch v tin ch cho khch hng nh cho vay cm c chng khon, cho vay ng trc tin bn chng khon cc dch v h tr khc. Bn cnh APEC Securities lun c s iu chnh linh hot, kp thi chnh sch ph giao dch cho ph hp vi iu kin th trng nn thu ht c ng o ngi u t n vi sn giao dch ca cng ty. Trong nm 2010, Apec Securities pht trin c phn mm Qun l cc khon vay h tr vn dnh cho nh u t trn h thng Core. Hot ng pht trin mang li: thnh lp thm 02 chi nhnh ti Nng, Vinh trong nm 2010. ng thi APEC Securities t chc cc bui hi tho gii thiu v th trng chng khon v c hi u t vo th trng chng khon cho cc nh u t trong nm qua ti mt s chi nhnh cc tnh. Hot ng chm sc khch hng: Trong nm, APEC Securities trin khai hng lot cc dch v h tr NT nh: Chuyn tin online, giao dch l l, ng k thc hin quyn, lnh
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Bo co thng nin nng cao, dch v APEC Plus, iTrade... nng cao v p dng thm nhng dch v tin ch to s thun li ti a cho khch hng.

3.2.2 Hot ng t vn ti chnh v bo lnh pht hnh. APEC Securities v ang thc hin t vn ti chnh cho mt s Doanh nghip nh CTCP Gch p Lt Thi Bnh, CTCP Xy dng in VNECO12, CTCP Ch to Kt cu thp VNECO.SSM, CTCP Vn ti bin v Hp tc lao ng Quc t, CTCP Phn mm tin hc Nng, CTCP Thp Hng Thnh, CTCP Vn ti a phng thc Duyn Hi, CTCP C ph An Giang, CTCP Tp on Thi Ha, CTCP Tp on Quc t FBA, CTCP Xy dng Thng mi 423. APEC Securities ang t vn nim yt v ng k giao dch cho nhiu doanh nghip nh CTCP Gch p Lt Thi Bnh, CTCP Xy dng in VNECO12, CTCP Vn ti bin v Hp tc lao ng Quc t, CTCP Phn mm tin hc Nng, CTCP Thp Hng Thnh, CTCP C ph An Giang, CTCP Tp on Thi Ha, CTCP Tp on Quc t FBA, CTCP Xy dng Thng mi 423... v ang trnh h s xin php ln c quan Nh nc c thm quyn cp php nim yt v ng k giao dch ti S GDCK TP.HCM, S GDCK H Ni trong thi gian ti. Vi nhng bc i mang tnh t ph, ly con ngi v cng ngh lm nn tng, s lng khch hng la chn APEC Securities lm n v t vn nim yt ang tng mnh. Trong tng lai APEC Securities s tip tc phn u tr thnh Cng ty chng khon nm trong nhng Cng ty c v th dn u th trng trong mng hot ng t vn nim yt. Bng vic t vn nim yt cho cc Cng ty, APEC Securities to c gi tr gia tng nh s lng khch hng ca cc Cng ty nim yt lu k v m ti khon giao dch chng khon ti APEC Securities. y l nhim v quan trng gip APEC Securities to c uy tn v mang li s lng khch hng. 3.2.3. Hot ng nghin cu th trng v hot ng t doanh Hot ng nghin cu th trng ca APEC Securities c thc hin bi nhng chuyn vin th trng tm kim thng tin t nhiu ngun thng tin a chiu. Vn dng ti a nhng kh nng v mi quan h tt c c nhng thng tin chnh xc.

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Bo co thng nin i ng chuyn vin phn tch chng khon chuyn nghip nhm nh gi cc c hi u t mang li hiu qu cao nht. APEC Securities c y d liu phn tch ca tt c cc cng ty nim yt v hu ht cc cng ty trn th trng OTC. Ti APEC Securities, mi chuyn vin phn tch s tp trung phn tch mt nhm cc chng khon, ngnh kinh doanh c th (ngnh in, xi mng, du kh, than v.v...), nh vy h tr thnh nhng chuyn gia phn tch v cc cng ty m h chuyn trch. S chuyn mn ha ny nhm tng cng su ca cc bo co nghin cu cho Hi ng u t c c quyt nh u t hiu qu nht. Hi ng u t ca APEC Securities cn c nhng xut t Trng phng v Chuyn vin Phn tch - u t, nhng xut ca cc chuyn vin khc hp bn v Quyt nh u t. Trc nhng din bin thun li ca th trng, cng vi chin lc t doanh linh hot, hot ng t doanh ca APEC Securities t khi hot ng n ny gt hi c nhng kt qu nht nh. c bit, s pht trin si ng ca th trng vn l c hi tt APEC Securities nng cao hiu qu ca hot ng t doanh. Nm 2011 v cc nm tip theo, APEC Securities s tip tc bm st din bin th trng trin khai hot ng t doanh mt cch linh hot v hiu qu. Da trn nn tng ca hot ng t vn c phn ho, t vn pht hnh v nim yt/ng k giao dch, APEC Securities s y mnh hot ng t doanh i vi cc chng khon cha nim yt v d kin s tng dn hn mc u t kinh doanh t doanh nng cao hiu qu hot ng, ph hp vi s pht trin ca th trng.

3.2.4 Hot ng lu k chng khon Hin nay vi ph giao dch rt linh hot v cc cng c giao dch trc tuyn hu dng APEC nhn lu k v m ti khon cho rt nhiu cc cng ty mi ln sn v chun b ln sn nh: CTCP Xy lp v Pht trin dch v bu in Qung Nam (QCC), CTCP Thng mi v Du lch DIC (DIC), CTCP Tp on Mai Linh (MLG), CTCP Cng dch v Du kh nh V (PSP), CTCP Lilama 18 (LM8), CTCP Vin thng Tin hc in t (KST), CTCP u t h tng v th Du kh (PTL), CTCP Cng ng Nai (PDN), CTCP Dch v vn ti Du kh Cu Long ( PCT), CTCP Dch v tng hp Du kh (PET), CTCP Vn Ti Du kh (PVT), CTCP Dabaco Vit Nam (DBC), CTCP Nha Tn Ph (TPP), CTCP Xy dng
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Bo co thng nin s 11 (V11), CTCP Viglacera H Long (VHL), Tng CTCP Xut nhp khu v XD Vit Nam (VCG), CTCP Kt cu thp VNECO.SSM (SSM), CTCP Tng cng ty Xy lp Du kh Ngh An ( PVA), CTCP Xi mng Hong Mai (HOM)...... 3.2.5 Hot ng u gi bn c phn ln u Nm va qua do th trng suy gim v vy hot ng u gi khng c cc nh u t quan tm. 3.3 Nhng tin b cng ty t c 3.3.1 Hot ng phn tch u t Vi n lc cung cp thng tin v cc bo co phn tch n nh u t, th hin s ng hnh vi NT, b phn phn tch trong thi gian qua ch yu phi hp vi cc b phn mi gii, PR...tin hnh kim tra i chiu d liu trn trang web cng ty, tip tc trin khai vic bo co phn tch cng ty nh k tun, bn tin tun , bo co ngnh nh k thng. Cc sn phm phn tch gip duy tr s trung thnh ca khch hng, ng thi thu ht thm khch hng v gp phn nng cao thng hiu. 3.3.2 V cng ngh thng tin Vi i ng IT giu kinh nghim v ang m bo vai tr v chc nng nhm p ng phc v hot ng CNTT cho cng ty n nh, an ton v phn ng kp thi vi mi s c xy ra nhm khng lm gin on hot ng kinh doanh, gin on vic phc v khch hng, nh hng xu n danh ting cng nh gy thit hi v kinh t cho cng ty. Nhm y mnh vai tr ng dng cng ngh thng tin, cng ty ang tip tc c nhng chnh sch thu ht i ng cn b cng ngh thng tin tr v nng ng, to nn lp k tha bn vng cho cng ty. 3.3.3 Nghin cu v pht trin sn phm mi APEC Securities lun u t cho cc sn phm mi phc v cho hot ng mi gii: Cc b sn phm giao dch trc tuyn qua Internet, Mobile Phone Nghin cu v chun b cho giao dch k qu. Nghin cu thnh lp cc Trung tm thng tin v dch v khch hng trn ton quc.

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Bo co thng nin 3.3.4 Hot ng marketing Xy dng h thng mng li chi nhnh, phng giao dch ti cc tnh thnh trng im trn ton quc tng kh nng tip cn vi khch hng. Thng xuyn tham gia din n, xut hin trn cc phng tin thng tin i chng. Tham gia trc tip v cung cp thng tin, bi phn tch chuyn su cho cc bn tin thi s, cc chng trnh truyn hnh v th trng chng khon, cc bo, tp ch chuyn ngnh nhm khng nh nng lc, nng cao thng hiu v v th ca APEC Securities. Xy dng v thc hin cc chin lc qung co, gii thiu sn phm dch v, qung b hnh nh v hot ng ca Cng ty qua bo ch, truyn hnh v cc chng trnh hi ngh khch hng. Xy dng vn ha cng ty, to mi trng lm vic chuyn nghip, nng ng, p ng mt cch tt nht yu cu ca khch hng T chc cc chng trnh khuyn mi ln, hp dn, ph hp vi tnh hnh th trng trong tng giai on cng l mt trong nhng hot ng Marketing ln ca Cng ty trong vic thu ht khch hng v m rng thng hiu. Cung cp gi sn phm, dch v tri n khch hng nhn dp ngy l, Tt, sinh nht khch hng... H tr khch hng bng vic cung cp cc sn phm ng dng cng ngh cao, cc phn mm hu dng, thit thc: APEC Plus, Itrade Plus... Xy dng Bn tin Chng khon APEC dnh cho nh u t ng thi nng cp, hon thin Website ca Cng ty nhm cung cp cho nh u t thng tin nhanh, y , hiu qu vi cc tnh nng vt tri. Lin tc t chc cc bui hi tho v th trng v u t chng khon, ph bin kin thc chng khon nhm mc ch h tr thng tin, kin thc cho cc nh u t qua nng cao thng hiu Cng ty, pht trin khch hng ti tt c cc tnh thnh trng im trn ton quc. Lin tc nng cp v ci tin cht lng dch v, cung cp cho nh u t nhng tin ch v phng thc giao dch hin i, tit kim thi gian v chi ph. Cc dch v h tr ti chnh cng c trin khai y vi tt c cc nghip v m UBCKNN cp php. Hon thin, cp nht lin tc c s d liu cc thng tin khch hng nhm khai thc, h tr trc tuyn cho khch hng thng qua cc hnh thc khc nhau email, skype, yahoo...

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4. K HOCH V PHNG HNG HOT NG NM 2011

4.1. Trin vng v k hoch trong tng lai Vi chin lc chim lnh th phn ti nhng tnh thnh c tim nng ln, APEC Securities d kin s m rng thm nhiu chi nhnh ti cc tnh thnh trong thi gian ti. y l mt hng i nhm tn dng li th v uy tn, thng hiu, mi quan h rng ri ca APEC Securities nhanh chng thu ht c mt lng khch hng cho cng ty. H thng cng ngh thng tin hin i: T khi va mi thnh lp, cng ty nhn thc c vic u t vo Cng ngh thng tin l mc tiu hng u ca cng ty. Mt mt p ng yu cu qun l mng li v khch hng ngy cng m rng ca cng ty. Mt khc h thng cng p ng cc i hi ngy cng cao ca khch hng. APEC Securities l cng ty th 2 trn th trng chng khon cho php nh u t giao dch qua Internet. Con ngi: T nhn thc con ngi l gi tr ct li ca doanh nghip nn ngay t khi thnh lp cng ty c nhng chnh sch nhn s ng n, ph hp gip cng ty thu ht c nhng chuyn vin ti chnh c trnh v tm huyt gn b vi cng ty, v gip cng ty duy tr c b my nhn s n nh to iu kin thun li pht trin cc nghip v ca cng ty. 4.2. nh hng pht trin ca Cng ty Chin lc vn Vi mc tiu tr thnh Tp on u t ti chnh hng u, quy m vn hot ng l mt vn v cng quan trng. Qu I/2010, APEC Securities tng vn iu l t 260 t ng ln 390 t ng. Trong k hoch pht hnh c phiu tng vn n nm 2011, vn iu l APEC Securities s tng ln trn 1000 t ng. Trong chin lc huy ng cng nh s dng vn, APEC Securities lun cn nhc, tnh ton cc phng n nhm m bo hiu qu s dng vn c ng cao nht. Mng li Ngoi vic m chi nhnh, phng giao dch c lp trc thuc APEC Securities, APEC Securities c chin lc hp tc vi cc i tc chin lc trong v ngoi nc pht trin APEC Securities theo hng a dng i tc, a dng sn phm. Vic thnh lp cc Chi nhnh trong thi gian va qua l bc khi u cho chin lc y. Cng ngh Cng ngh c coi l yu t c u tin pht trin ti APEC Securities. APEC Securities hin ang trin khai pht trin v hon thin h thng cng ngh thng tin ng b theo chun quc t, m bo cung cp cc cng c hu hiu cho cc hot ng giao dch bao
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Bo co thng nin gm: Giao dch trc tuyn, Dch v nhn tin SMS, Chng trnh Qun l giao dch, Qun l u gi, ng k m ti khon trc tuyn, ng k Rt tin qua Internet, Qun l nhn s, Qun l ti sn, Qun l ri ro, K ton, Qun l h s khch hng, Website, giao dch l l, ng k thc hin quyn trc tuyn, thng tin th trng, lnh nng cao ..v.v APEC Securities cng ang u t hng triu la M vo vic nng cp h thng phn mm giao dch mang li nhiu tin ch cho khch hng. Dch v Bn cnh vic pht trin mng li ca mnh, APEC Securities cng ng thi pht trin sn phm v dch v cho cc Nh u t nh: Cc dch v thu xp vn, bo lnh pht hnh cho doanh nghip, qun l ti sn v t vn u t cho cc t chc v c nhn l cc dch v ang v s c tp trung ngun lc pht trin trong giai on sp ti APEC Securities pht trin mng li cc i tc chin lc cc th trng khc nhau, cc lnh vc khc nhau thng qua hp tc ton din m bo cht lng dch v tt nht cho c doanh nghip v nh u t. Hin nay s lng cc giao dch qua dch v giao dch trc tuyn ca cng ty ang tng ln ng k. V vy th trng cho giao dch trc tuyn pht trin l rt tim nng. i tng tham gia mua bn CK tp trung ch yu cc thnh ph, th x .. nhng ni c h tng v Internet pht trin v l nhng th trng ti chnh ln. Vic giao dch qua internet s gip khch hng tit kim c thi gian i li, khng nh hng n cng vic hng ngy ti cng s hay nh ring. R rng giao dch trc tuyn s mang li s tin li cho nhng i tng ny v y l sn phm m h hng ti khi cm thy thc s tin cy. Trading Online v ang l xu th pht trin Vit Nam cng nh ti rt nhiu cc nc khc trn th gii. u t i vi cc hot ng u t t doanh v t vn u t cho khch hng, APEC Securities ch trng la chn cc doanh nghip n nh, pht trin bn vng, khng u t chy theo cc xu th ngn hn ca th trng. Cng vi cc i tc v khch hng, APEC Securities s tp trung ngun lc c th u t ln, trc tip tham gia gim st v h tr doanh nghip nhm to dng gi tr gia tng v ti a ha li nhun cho cng ty cng nh nh u t. Nhn s APEC Securities xc nh vic pht trin ngun lc l yu t c bn m bo s thnh cng cho cng ty trong tng lai. APEC pht trin chin lc nhn s nng ng nhm thu ht c nhng c nhn xut sc tham gia v gn b lu di vi cng ty. Chin lc nhn s ca c th c tm tt bao gm vic tuyn dng a knh nhm tm kim vo nhng c
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Bo co thng nin nhn c nng lc v phm cht o c ph hp, trng dng v mnh dn phn quyn cho cc c nhn c tuyn dng v chnh sch i ng thch hp, bao gm c vic chia s li nhun hot ng nhm khuyn khch v gi chn cc cn b c nng lc. Hin nay APEC Securities ang tp trung tuyn nhng chuyn vin Vit Nam tng hc tp v lm vic nc ngoi cng nh nhng chuyn vin nc ngoi v ti chnh, u t, tp trung pht trin v khai thc th trng quc t nh Nht Bn, Chu u v Bc M.

5. BO CO TI CHNH KIM TON ( KIM TON)

5.1 Bng cn i k ton (31/12/2010)

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Bo co thng nin 6.BO CO KIM TON 6.1 Kim ton c lp 6.2 Kim ton ni b

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Bo co thng nin 6.2.1 Cng tc t chc v xy dng mi trng kim sot Trong nm 2010, v c bn B phn Kim sot ni b (KSNB) kin ton c cu t chc v bc u hon thin mi trng kim sot thng qua vic xy dng h thng cc quy nh, quy trnh phc v cng tc kim tra kim sot: Hon thin Quy nh v H thng kim sot v Qun l ri ro ca Cng ty. Xy dng h thng cc Quy trnh Kim sot cho tng hot ng kinh doanh ca Cng ty. 6.2.2 Cng tc kim tra, kim sot a. Cng tc kim tra, kim sot nh k Cn c theo quy nh ca php lut v cc quy nh hin hnh cu Cng ty, B phn KSNB lp k hoch v tin hnh kim tra v mi mt hot ng ca Cng ty nhm m bo tnh chnh xc, tnh tun th. Qua cng tc kim tra, kim sot nh k, B phn kim sot ni b cung cp y thng tin lin quan ti Ban Gim c thng qua cc bo co kim sot t c th nh gi hot ng ca cc phng ban, kim sot ri ro v tin hnh iu chnh cc sai st (nu c). C th nm 2010 B phn Kim sot ni b thc hin cng tc kim tra nh sau: Kim tra kim sot cc hot ng ca Khi Dch v chng khon bao gm cc hot ng qun l tin gi, lu k chng khon, hot ng nhn, truyn lnh khch hng, hot ng thanh ton b tr... Kim tra kim sot cc hot ng Khi T vn u t Kim tra kim sot cc hot ng ca Phng Hnh chnh nhn s v Phng Cng ngh thng tin. Kim tra kim sot cc hot ng ca, Chi nhnh H Ch Minh , Chi nhnh Hu, Chi nhnh Hi Phng, Chi nhnh Nng v Chi nhnh Vinh. b. Cng tc kim tra kim sot t xut Bn cnh vic tin hnh cng tc kim tra kim sot theo nh k, B phn KSNB Cng ty cn thng xuyn tin hng hot ng kim sot t xut cc phng ban, b phn nhm hn ch ti a cc pht sinh v kp thi x l, khc phc trong trng hp c sai st xy ra.
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Bo co thng nin Vi kt qu t c trong nm 2010, nhn chung hot ng h thng KSNB Cng ty pht huy c vai tr tch cc trong vic h tr cho Ban iu hnh tin hnh kim tra, gim st mi hot ng ca Cng ty tun th ng cc quy nh ca php lut v chng khon cng nh cc quy nh ni b Cng ty nhm phng nga v hn ch ri ro pht sinh trong qu trnh hot ng ca Cng ty. C th h thng Kim sot ni b m bo: Kim sot vic tun th quy trnh nghip v ca cc b phn kinh doanh Kim ton ni b bo co ti chnh Gim st t l vn kh dng v cc t l an ton ti chnh theo quy nh. Qun l tch bch ti sn chng khon, tin gi ca khch hng vi Cng ty. Bo qun, lu tr ti sn ca khch hng Thc hin nghim tc ch bo co v ch cng b thng tin.

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Bo co thng nin 7. T CHC V NHN S

7.1 C cu t chc

I HI NG C NG

HI NG U T

HI NG QUN TR

BAN KIM SOT

BAN TNG GIM C CHI NHNH HI S

DCH V CHNG KHON

T VN TI CHNH DOANH NGHIP

T VN U T V QUN L VN

PHN TCH & NGHIN CU

U T &

PHT TRIN KINH DOANH

T CHC HNH CHNH

TI CHNH K TON

CNG NGH THNG TIN

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Bo co thng nin 7.1.1 S lng ngi lao ng trong cng ty Cht lng ngun nhn lc l mt trong nhng yu t quan trng quyt nh s pht trin ca Cng ty, v vy Cng ty lun t mc tiu xy dng i ng nhn vin c trnh chuyn mn cao ln hng u trong chin lc pht trin ca mnh, tng s lng ngi lao ng trong Cng ty tnh n thi im 31/12/2010 l 113 ngi, trong : n v: ngi Danh mc - i hc v trn i hc - Cao ng - Trung cp - Hc vn 12/12 - Lao ng ph thng Tng cng 31/12/2010 T l 105 2 1 5 0 113
92.16% 1.96% 0.98% 4.90% 0.00%

31/12/2009 94 2 1 5 0 102

T l 92,97% 1,56% 2,34% 3,13% 0,00% 100,00%

100,00%

Ngun: Cng ty C phn Chng khon Chu Thi Bnh Dng

7.1.2 Chnh sch i vi ngi lao ng Chnh sch vic lm To c hi lm vic cng bng cho tt c mi nhn vin ca Cng ty. Khng mt nhn vin no lm vic bt k b phn no ca Cng ty b phn bit i x v tn gio, ng phi, dn tc, tui tc, gii tnh, tn tt, hay tnh trng ca qu kh. Chnh sch ca Cng ty l to c hi lm vic bnh ng v tuyn dng nhn vin trn mt c s duy nht l kh nng v trnh v chun mc o c p ng nhu cu cng vic cn m ng. Cng ty ch chn nhng c nng lc v ph hp nht m ng cc cng v lm vic thch hp. Mi nhn vin c tuyn dng vo Cng ty u phi qua thi gian th vic v th thch. Mc ch ca thi gian ny l nhn vin mi nh gi xem h c tht s ph hp v thch ng vi cng vic cng nh c hi m Cng ty cung cp hay khng. Mt khc, y cng l thi gian gip cho cn b qun l xem xt v nh gi v nng lc, o c, tc phong v kh nng ho nhp ca nhn vin mi trc khi c quyt nh tip nhn chnh thc. Chnh sch ca Cng ty l mi nhn vin tr ngi lm v ma ngn hn, u phi c hp ng lao ng theo quy nh ca Lut.

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Bo co thng nin Chnh sch lng Cng ty tr lng trn c s da vo cc yu t bao gm v tr cng vic, kin thc v k nng cng vic i hi, mc cnh tranh trn th trng lao ng v mc hon thnh cng vic ca CBCNV. Da vo v tr cng vic, thang lng s c xy dng ph hp. Vy quyt nh v ton b ch lng thng phi tnh n iu kin kinh t v v tr cnh tranh cng nh chin lc chung ca Cng ty. Vic nh gi thnh tch, kt qu ca mi nhn vin phi c nh gi thng xuyn bi Gim c b phn/ Gim c chi nhnh. nh gi phi bng vn bn v cp nht vo h s. Cng ty c th c khon tr cp thi vic cho cc nhn vin chm dt vic lm trong nhng hon cnh v trng hp gii hn. Cng ty s xc nh cc iu khon v iu kin cho tr cp thi vic v thng bo cho mi nhn vin bit theo quy nh ca lt php hin hnh. K hoch o to Mi nhn vin c hp ng lao ng chnh thc vi Cng ty u c quyn c o to. Cng ty ch trng n o to, hun luyn v coi nhn vin l ti sn qu nht ca Cng ty; t chc, h tr vic o to v hun luyn nhn vin. Hng nm, Cng ty to iu kin cho CBCNV tham gia cc kha o to ngn hn m ti khu vc v ti Cng ty. H tr v to mi iu kin ngi lao ng pht huy kh nng trong hc tp nng cao kin thc chuyn mn nghip v. o to v sp xp ngun nhn lc ph hp vi tnh hnh pht trin ca Cng ty nhm gia tng v cht. Gim c hnh chnh nhn s theo di mi din bin ng trong qa trnh o to, hun luyn v phi cp nht cc thng tin thay i v o to vo c s d liu v lu tr h s cho tng nhn vin c th theo di ton b lch s lm vic, thnh tch, kt qu hun luyn, cc kho o to qua Chnh sch khen thng, phc li Cng tc i sng i vi CBCNV Cng ty lun quan tm, m bo cho ngi lao ng lm vic v thu nhp ng vi kt qu kinh doanh ca Cng ty, mc thu nhp bnh qun mt ngi/thng m bo. Cng ty hng nm u t chc cho CBCNV i tham quan du lch, ngh mt, hng thng u t chc sinh nht cho nhng nhn vin sinh nht trong thng. Hng nm, Cng ty c ch ngh v ngh php c lng cho nhn vin chnh thc, lm c ngy v lm mt phn thi gian, theo quy nh ca Lut.
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Bo co thng nin Tr cp kh khn cho cn b cng nhn vin c hon cnh kh khn thng xuyn, kp thi, ng i tng. Cng ty ang thc hin chng trnh xy dng qu t thin, qu xa i gim ngho, to kinh ph chi cho cng tc ny hng nm. Cng tc BHXH, BHYT, Bo him tai nn lao ng Cng ty lun chp hnh y 100% thc hin ng ch chnh sch i vi ngi lao ng. 7.2 Hi ng qun tr 7.2.1 C cu nhn s Danh sch thnh vin Hi ng Qun tr: 1. ng Nguyn Lng Ch tch HQT

Ch tch HQT kim Tng Gim c Cng ty CP Chng khon Chu Thi Bnh Dng 2. ng Nguyn Mnh Ho TG Cng ty CP Cng ngh Phn mm Nng y vin HQT Cng ty CP u t Chu Thi Bnh Dng 3. ng Nguyn Duy Khanh y vin HQT Ch tch HQT, Cng ty T vn v Chuyn giao Cng ngh Quc T Tng Gim c, Cng ty CP u t Chu Thi Bnh Dng 4. B Hunh Th Mai Dung 5. . ng V Trng Qun 7.2.2 Hot ng trong nm Vi tnh hnh kinh t th trng ti chnh din bin bt thng gy nhiu kh khn cho hot ng ca Cng ty, Hi ng qun tr tp trung ch o, gim st v h tr kp thi cho Ban iu hnh thng qua ban hnh cc ngh quyt, quyt nh lin quan n hot ng kinh doanh, t chc b my v cc vn quan trng khc trong phm vi thm quyn ca Hi ng qun tr, ph hp vi c quy ch, quy nh hin hnh ca Cng ty v php lut. Trong nm 2010, Hi ng qun tr c 05 phin hp quyt nh cc ni dung quan trng sau: Thng qua vic a c phiu ca Apec Securities giao dch trn sn Giao dch chng khon H Ni. Thng qua vic tng vn iu l ca cng ty ln 390 t ng. Thng qua vic thnh lp Chi Nhnh Nng v Chi Nhnh Vinh; Ph duyt ngn sch u t h thng cng ngh thng tin;
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y vin HQT

y vin HQT U vin HQT

Ph Gim c Cng ty TNHH T vn Quc t Ct Tng

Bo co thng nin Thng qua vic thay i im tr s chnh v k kt hp ng thu a im mi ti 14 L i Hnh, Hai B Trng, H Ni. Thng qua vic iu chnh c cu t chc b my; Thng nht thi gian v ni dung i hi c ng thng nin. 7.3 Ban Kim Sot 7.3.1 C cu nhn s Hin ti s lng thnh vin Ban kim sot l 03 thnh vin. Danh sch thnh vin Ban Kim sot 1. ng H Xun Vinh 2. B Nguyn Th Thanh Hi 3. B Nguyn Hoi Giang Trng Ban kim sot Thnh vin Ban kim sot Thnh vin Ban kim sot

7.3.2 Hot ng trong nm Trong nm 2010, vi nhim v c qui nh ti iu l cng ty, Ban kim sot Cng ty CPCK Chu Thi Bnh Dng tham gia gim st v xut cc vn lin quan n hot ng Cng ty c th nh: nh gi kt qu hot ng kinh doanh nm 2010 v k hoch kinh doanh nm 2011. La chn n v kim ton bo co ti chnh nm 2010. Xem xt tnh minh bch v kp thi ca qu trnh cng b thng tin nhm m bo quyn li cho cc nh u t v c ng. Gim st vic thc hin ng cc Quy ch, qui nh ca Cng ty.

8. THNG TIN C NG 8.1 Th lao, cc khon li ch khc v chi ph cho HQT v Ban KS Th lao v chi ph hot ng ca Hi ng qun tr v Ban kim sot trong nm 2010 l 648 triu ng.

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Bo co thng nin 8.2. T l s hu c phn v nhng thay i trong t l nm gi c phn ca thnh vin HQT S lng c phiu b hn ch chuyn nhng theo quy nh ca php lut hoc ca t chc pht hnh: S lng c phiu b hn ch chuyn nhng theo ti iu 9, khon d, Ngh nh 14/2007/N-CP ca Chnh ph ban hnh ngy 19/01/2007 v vic nm gi chng khon ca c ng l thnh vin HQT, Ban Gim c, Ban Kim sot, K ton trng sau khi c phiu c nim yt l 8.567.760 c phiu.

Danh sch c phiu b hn ch chuyn nhng k t ngy 19/04/2010 nh sau: Stt H v tn Chc danh SL CK s hu SL CK hn ch SLCK hn ch (c phn) 1 2 3 4 5 6 7 8 Nguyn Lng Nguyn Mnh Ho Nguyn Duy Khanh Hunh Th Mai Dung V Trng Qun H Xun Vinh Nguyn Th Thanh Hi Nguyn Hoi Giang Tng cng ChtchHQTTG y vin HQT y vin HQT y vin HQT U vin HQT Trng BKS Thnh vin BKS Thnh vin BKS chuyn nhng chuyn nhng trong 6 thng 6.923.900 110.000 507.000 1.020.000 0 1.860 0 0 8.562.760 6.923.900 110.000 507.000 1.020.000 0 1.860 0 0 8.562.760 trongvng1nm 3.461.950 55.000 253.500 510.000 0 930 0 0 4.281.080

Trong nm 2010, Cng ty c s thay i thnh vin HQT v BKS nh sau: - ng V Trng Qun c b nhim lm thnh vin HQT thay cho ng Lu Thanh Bnh theo Ngh quyt s 83 /2010 /NQ- HC ngy 03/04/2010. - B Nguyn Th Thanh Hi c b nhim lm thnh vin BKS thay cho b Nguyn Th Mai Hng theo Ngh quyt s 83 /2010 /NQ- HC ngy 03/04/2010. 8.3. Cc d liu thng k v c ng/thnh vin gp vn 8.3.1. C ng/thnh vin gp vn trong nc

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Bo co thng nin Danh sch c ng nm gi t trn 5% vn c phn ca Cng ty, Danh sch c ng sang lp v t l c phn nm gi.

C cu c ng ti thi im 14/09/2010: STT I C ng C ng trong nc T chc trong nc C nhn trong nc II C ng nc ngoi T chc nc ngoi C nhn nc ngoi Tng cng 1 16 2.199 17 2.165 S lng S lng c Gi tr c phn c ng phn 3.369.920 5.308.050 33.577.050 114.900 1.200 113.700 39.000.000 (ng) 33.699.200.000 53.080.500.000 335.770.500.000 1.149.000.000 13,61% 86,1% T l

12.000.000
1.137.000.000 390.000.000.000

0 0,29% 100 %

Ngun: Danh sch c ng Cng ty C phn Chng khon Chu Thi Bnh Dng do Trung tm Lu k Chng khon cp ngy 14/09/2010

Danh sch c ng nm gi trn 5% vn c phn ca Cng ty ti 14/09/2010 STT H v tn 1 2 Ngn hng TMCP Hng Hi Nguyn Lng Tng cng
Lu k Chng khon Vit Nam cp ngy 14/09/2011

CMND/ KKD

a ch

C phn 1.980.000 6.923.900 8.903.900

T (%)

0103008429 S 44 Nguyn Du, H Ni 011670398 10-B3 Tp th i hc KTQD, H Ni

5,08% 17,75% 22,83%

Ngun: Danh sch c ng Cng ty C phn Chng khon Chu Thi Bnh Dng do Trung tm

Danh sch c ng sng lp ca Cng ty Theo Giy chng nhn KKD s 0102015146 do S k hoch v u t TP. H Ni cp ngy 21/12/2006, s c phn ca c ng sng lp nh sau:
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Bo co thng nin STT 1 2 3 4 5 6 H v tn Ngn hng TMCP Hng Hi Nguyn Lng Nguyn Anh T Nguyn Duy Khanh Dng Song H H Ngc Anh Tng cng S lng C phn 660.000 1.080.000 1.080.000 1.080.000 1.080.000 1.020.000 6.000.000 T l (%) Theo KKD 11,00% 18,00% 18,00% 18,00% 18,00% 17,00% 100,00%

8.3.2

Gii hn v t l nm gi i vi ngi nc ngoi Theo Quyt nh s 55/2009/Q-TTg ngy 15/04/2009 ca Th tng Chnh ph, k

t ngy 01/06/2009, nh u t nc ngoi mua, bn chng khon trn th trng chng khon Vit Nam c nm gi: - i vi c phiu: ti a 49% tng s c phiu ca cng ty c phn i chng.Trng hp php lut chuyn ngnh c quy nh khc th p dng theo quy nh ca php lut chuyn ngnh. - i vi chng ch qu u t i chng: ti a 49% tng s chng ch qu u t ca mt qu u t chng khon i chng. - i vi cng ty u t chng khon i chng: ti a 49% vn iu l ca mt cng ty u t chng khon i chng. T l nm gi ca c ng nc ngoi hin ti ca Cng ty l: 0.29% (tng ng vi 113.700 c phn)

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