TP. Hé Chi Minh, ngay 28 thang 01 nam 2022 ‘Ho Chi Minh City, Jan 28, 2022 S6iRef: 178/2022/CV-SSIHO Viv: Céng bé Bao cdo tinh hinh quan ti céng ty nam 2021 Re: Disclosing Corporate Governance Annual Report 2024 CONG BO THONG TIN DISCLOSURE OF INFORMATION TREN CONG THONG TIN BIEN TU'CUA UY BAN ON THE STATE SECURITIES COMMISION’S CHU'NG KHOAN NHA NU'OC VA SGDCK PORTAL AND STOCK EXCHANGE PORTALS Kinh goi/fo: _- Uy ban Chimng khoin Nha nu6c! The State Securities Commission - S@ Giao dich Ching khoan TP.H8 Chi Minh! Hochiminh Stock Exchange - 88 Giao dich Ching khodn Ha NOi/ Hanoi Stock Exchange Céng ty GONG TY GO PHAN CHUNG KHOAN ssi Organization name: SS] SECURITIES CORPORATION Ma ching khosn: ssi Securities Symbol ssi ia chi try 86 chin 72 Nguyn Hue, P. Bén Nghé, Quan 1, TP. HB Chi Minh Address: 72 Nguyen Hue, Ben Nohe Ward, District 1, HCMC Bign thoail Telephone: 028-28242807 Fax 02e-30242907 Ngudi thu hign céng b6 thong tin Nouyn Héng Nam Spokesman: Nguyen Hong Nam Chie vy Téng Giam abc Position: Chief Executive Officer Loai thong tin cong bé Oo 4 gio Ibdt thudng theo yéu cau LXlainh ky Information disclosure type 24 hours gular demand \X\periodic 'N6i dung théng tin e&ng bé/ Content of information disclosure: 'Béo cdo tinh hinh quan tr eBng ty nm 2021 ella Céng ty C8 phan Ching khosn SSI The Corporate Governance Annual Report 2021 of SSI Securities Corporation. Thong tn nay 2 aoc cong b6 en wang tnorg tn in a ong ty vo ngdy 2801/2022 ong dan wry. ssicomyn This information was posted on SSI website on January 28, 2022 at this link www ssicomvn,CChiing toi xin cam két cdc théng tin cng bé trén day la ding sy that va hoan toan chiu tréch nhigm ‘rude phap luat v n6i dung cac thong tin da céng bé. The Company hereby deciares to be responsible for the accuracy and completeness of the above information Dal dign t8 chic Organization representative i quyén cong bé théng tin ¢ to disclose information Nguyén Héng Nam Téng Giam aéc Chief Executive OfficerCONG TY CO PHAN CONG HOA XA HOI! CHU NGHIA VIET NAM CHUNG KHOAN SSI ‘DGc lap - Ty do - Hanh phic ‘SSI SECURITIES CORPORATION THE SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom — Happiness TP.HCM, ngay 28 thang 01 nam 2022 Ho Chi Minh City, January 28, 2022 _ BAOCAO __ TINH HINH QUAN TRI CONG TY REPORT ON CORPORATE GOVERNANCE (Nam 2021/ The Year 2021) Uy ban ching khoan Nha nuée + S6 Glao dich Ching khodn TP. Hé Chi Minh - S86 Giao dich Chieng khoan Ha NOt To: - The State Securities Commission Ho Chi Minh Stock Exchange - Ha Noi Stock Exchange + Ten céng ty/Name of company: CONG TY CO PHAN CHUNG KHOAN SSII SS/ SECURITIES CORPORATION = Bia chi tru sé chinh/Address of head office: 72 Nguy&n Hué, Phuéng Bén Nghé, Quan 1, TP. H8 Chi Minh = Bign thoai/Telephone: (028) 38242897 Fax: (028) 38242997 Email: investorrelation@ssi.com.vn = Vén dibu lé/Charter capital: 9.847.500.220.000 ding - MA ching khoan/Ticker: SSI = MB hinh quan tri céng ty/Governance model: ‘Bai hoi déng cb déng (‘BHBCD"), Hoi ddng quan tri "HDQT"), Téng Giam déc ("TGB") va ¢6 Uy ban kiém toan (‘UBKT") thc HOQT/ General Meeting of Shareholders ("GMS"), Board of Directors ("BOD"), Chief Executive Officer ("CEO") and Audit Committee under the BOD. = Vé viée thy hién chire nang kiém toan ndi bd: Ba thy hién The implementation of internal audit: Implemented Hoat dong ciia Bai hdi déng cd déng! Activities of the GMS ‘Thong tin vé cdc cudc hop va Nghi quyévQuyét dinh cia Bal hoi dng cB 66ng (bao gdm ca céic Nghi quyét cia Dai héi ding o8 dong duoc thong qua durdi hinh thac lay y kién bang van ban)/nformation on meetings, resolutions and decisions of the GMS (including the resolutions of the GMS approved in the form of written discussion):sit No. S6 Nahi quyét! Quyét dinh Resoluttion/ Decision No. Ngay Date Noi dung Content o1/2021/NQ- DHBCD 22/05/2024 Nghi quyét BHBCD thuréng nién 2021 ca Cong ty thong qua cdc vn aa] sau The resolution of 2021 Annual GMS of SSI has adopted the folowing issues ~ Thong qua Bao céo vé hoat dong cia HBQT, Béo cao hoat dong cla UBKT va Thanh vin d¢c lap HBQT trong UBKT n&m 2020 Approving the report an activities of the BOD, Audit Committee and Independent Member of the BOD in the Audit Committee in 2020 Thong qua Bao céo tai chinh nm 2020 dé kiém toan, béo edo két qua kinh doanh nam 2020 va ké hoach kinh doanh nam 2021 Approving the audited Financial Statements 2020, business resuits in 2020 and business plan in 2021 Thong qua ké hoach phan ph6i loi nhuan nam 2020. Approving 2020 profit distribution plan Phe chudn thi lao cho toan bd 6 thanh vién HQT cho nam tai chinh 2021 va giao cho HBQT viéc phan phdi thi lao. Approving remuneration for entire 08 members of the BOD for the fiscal year 2021 and assigning the BOD to distribute such remuneration Phe chuan dé xuat cla HBQT va giao cho HBQT chon céng ty kiém toan 48 kiém toan bao cdo tai chinh cla cOng ty trong nam 2021. Approving a proposal of the BOD and assigning the BOD to select the firm for auditing the financial statements of the Company in 2027 |- Thdng qua siva déi, bd sung Diéu lé Cong ty va Quy ché ndi bo vé Quan tri Cong ty Approving the amendment, supplement to the Company Charter and Internal Regulations on Corporate Governance of the Company ~ Thong qua Phurong an phat hanh cé phiéu tang von didu Ié va dy quyén cho HBQT thy hién céc cong viée lién quan Approving the Plan on shares issuance for capital injection and authorizing to implement the relevant tasks for the BOD | Théng qua Phuong én phat hanh cd phiéu theo chong trinh Iya chon cho nguei lao dong (ESOP) va by quyén cho HBQT thyc hign c&c cong vige lién quan. Plan for issuing shares under employee stock ownership plan (ESOP) and authorize to the BOD to implement related works. u 1 H6i déng quan trj (Bao céo nm 2021)/ The BOD (The report in 2021): Théng tin vé thanh vién HDQTIInformation about the members of the BOD:; Ngay bat GdurkhOng con ia thanh vien | Chur vu (thanh vien HBGT doe| lap, TVHQT khéng diéu hanh)| HBGT/HOGTdgclee STT | Thanh vign HBQT/ Board of |Posiion (Independent members| The dave becoming/ceasing fo be tne No. | Directors’ members | of the Board of Directors, Non-|__™ember of the Board of Directors executive members of the | Ngay b8 nhiém (*) | Ngey mign nhigm Board of Directors) | pate of appointment| Date of dismissal ‘Ong Nguyén Duy Hung ‘Chi fich © | hr Nguyen Duy Hung Chairman ee ‘Ong Nguyén Héng Nam “Thanh vien 2 14/201 ‘Mr. Nguyen Hong Nam Member geieole | 3 | Ona Ngo Vain Biém Thanh vien 0c lap maa Mr. Ngo Van Diem Independent Member ‘Ong Pham Viet Muon “Thanh vien dd lap 4 | he Pham Viet Muon Independent Member pstpuents ‘ng Hironori Oka “Thanh vien 5 | Me. lironori Oka Member pe ‘Ong Nguyén Duy Khanh Thanh vién 6 2710612020 Mr. Nguyen Duy Khanh Member nee | (7) tinh tir ngay thanh vién HBQT duc HDCD bau cho nhiém ky hién tai, nhiém ky thanh vien HQT ca cong ty tinh riéng cho ting thanh vién theo NQ BHOCD khi dug bau. As calculated from election by the GMS until the current term; the Board member's term is calculated to each member under the respective resolution of the GMS. 2. Céc cudc hop HBQT/Meetings of the BOD: sit Thanh vién HDQT ‘86 bubi hop HOT tham dy | Tye tham dy ]Ly do khong tham dy | No. BOD's member Number of meetings attended} hop hop. by BOD Attendance rate | Reasons for absence | 1 ea ee sata 100% | 2 eee 12112 100% | 3 sole eee 12/12 100% | ae wef = [eee we |e 6. eae 1212 100%3. Hoat dong glam sat ciia HDQT déi v6i Ban Giém déc/Supervising the Board of Management (“BOM”) by the BOD: Téng Giam déc va céc cp quan Ij da trién khai cdc céng viée theo quy dinh tai Dieu Ié, c&c Nghi quyét DHCD, HBQT va céng viée khac trong pham vi thm quyan, cu thé: CEO and management levels implemented in accordance with regulations of Company Charter, Resolutions of GMS, BOD and the other tasks within its authorization scopes, in which: = Chuan bi ké hoach kinh doanh n&m 2021 trinh BHOCD thurdng nién thong qua. Preparing business plan 2021 to be submitted for the AGM's approval. = Téchite thu hien cac ké hoach kinh doanh va ké hoach dau tu 43 duoc BHBCD, HBQT théng qua. Implementing the proposed business plan and plan on investment approved by the General Meeting of Shareholders and the BOD. = Kiém toan 6c lap Béo edo tai chinh nam 2020, sodt xét Bo céo tai chinh ban nién nam 2021 tai ngdy 30/08/2021 Conducting independent audit on the Financial Statements 2020, reviewed semi-annual Financial Statements as at June 30%, 2021. = Lya chon Cong ty kiém todn. Selecting the audit firm. = Tip tuc dy manh céc hoat dong quan tri va kiém sodt ri ro. Enhancing management and risk control activities. = Bay manh phat trién ngu’n nhén luc tal cde mang nghiép vy trong yéu, pha hgp v6i dinh huéng, chién lwgc kinh doanh clia Céng ty. Enhancing for workforce development in major fields, which complying with Company's orientation end business strategy. = Bly manh cdc hoat dng dao tao ni bo Enhancing internal training activites. - _ Tiép tue cap nhat va nang op hé théng obng nghé théng tin phuc vu céc sn pham kinh doanh moi cla Ong ty va nang cao chat Ivong dich vu khach hang, Continue updating and improving information technology system for the Company's new business products and enhancement of customer service quality = Ra soat hé théng, bao dam an toan, chi dong phong ru ro, Review the system, ensure safety and proactive risk prevention = Thyc hién chi tra od tire bang tién mat nam 2020 cho ed déng. Direct implementation on the cash dividend payment in 2020 for shareholders = Chi dao trién khai thy hign phat hanh 08 phiéu theo chyong trinh lyva chon cho ngudi lao dong, phat anh 8 phiéu dé tang vén didu Ie. Direct implementation on the shares issuance under the ESOP and for capital injection. = Chiao trién khai thy hien phat hanh cé phiéu 48 chuyén adi trai phiéu chuyén di Direct implementation on the shares issuance for convertible bonds conversionLen ké hoach st dung nguén vén huy dng tt céc dot phat hanh trong nam va dé xuét ké hoach huy ong vén 48 tang ngu’n vén phuc vu cho céc hoat déng kinh doanh eta Cong ty. Preparing for collected capital usage from the issuance in 2021 and proposing the plan on capital mobilization with the aim of Company's operation 4, Hoat dong cua cae tiéu ban thuge HDQT! Activities of the BOD’ subcommittees: HQT dé thanh lap Tidu ban Chién luge Phat trién tryc thude HBQT ngay 26/10/2019 va 4a hoan thien co cu td chire, nhan sy va quy ché hoet déng. Tho BOD has established Strategy and Development Committee directly under the BOD from October 25, 2019 and has completed its organizational structure, personnel and operation regulations. HBAQT da chi dinh mot thanh vin HBQT lap béo cdo hang thang vé heat déng cla HOOT, két qua gidm sat GD gti céc thanh vin cilia HQT theo Bieu Ié ca Céng ty. Phan cong met thanh vien phy tréch phat trién nguén nhan lye, phat trién thi truténg nue ngoal va quan I thyong hieu. The BOD has appointed one member prepares monthly reports on the BOD's operation and supervision activities over CEO's operation delivered to all Board members under the Company's Charter. One member is assigned to manage the development of human resources, overseas market and trademark management. UBKT tryc thudc HBQT dug thanh lap theo Nghi quyét BHBCD thudng nién ngay 27/06/2020. HQT a4 bé nhigm cac thanh vign cia UBKT, la nhGng thanh vien HBQT déc lap, 9 chue nang kiém tra, danh gid doc lap v8 cdc mat hoat déng cia Céng ty The Audit Committes under the BOD was established upon the Annual GMS resolution dated June 27, 2020. The BOD has appointed members of internal Audit who are independent members of BOD. They play roles of checking, evaluating independent in every operation aspect of Company. 5. Cac Nghj quyét ciia HBQT (Bao cao nam 2021)/Resolutions of the BOD (The 2021 annual report): THe STT| SéNghiquyét | Noy Noi dung thong qua No.| ResolutionNo. | Date Content Approval rate Théng qua viée chuyén déi Trai phiéu chuy€n adi duoc | phat hanh ngay 09/02/2018 thanh cB phiéu phé thong 1. | o1zoztiNa-Hear | os/ozra0ar | tee yeu cA cla Trai chi 100% Approving the plan on share issuance for convertible bonds conversion dated Feb 09, 2018 to common shares as requested from Bondholder BS sung Nahi quyét s6 14/2020/NQ-HDQT ngay 29/12/2020 quy dinh vé chao ban ching quyén cé bao am nam 2021 . 2, | 02/2024INQ-HBOT | 19/03/2021) tementing to Resolution No. 14/2020/NQ-HDQT | ‘°° dated Dec 29, 2020 promulgating the covered warrants, issuance in 2021 Thong qua vig trién khai Phuong an phat hanh cé phiéu theo chong trinh ESOP theo Biéu 7 Nghi quyét sé 01/2020/NQ-DHBCD va Dieu 1 Nghi quyét sd 02/2020/NQ-DHBCD va ty quyén cho Chiitich HDQT 48 thye hign cc céng viée lién quan Approving the implementing the Plan on shares issuance 3. | 03/2021/NQ-HBAT | 30/03/2021 100%sit No. 86 Nohi quyét Resolution No. Ngay Date Noi dung Content We {thong qua Approval rate under ESOP stipulated in Article 7 Resolution No. 01/2020NQ-HDQT and Article 1 Resolution No. 02/2020/NQ-HDQT and authorizing to implement the relevant tasks for the Chairman of BOD 04/2021NQ-HBQT 30/03/2021 Thong qua Quy ché phat hanh 8 phiéu theo chuong trinh ESOP Approving the Regulation on shares issuance under the ESOP 100% 05/2021JNQ-HBQT 30/03/2021 “Thong qua ngay t8 chire hop BHBCD thuéng nién nam 2021 va t6 chic hop theo hinh thire true tuyén Approving the meeting date of 2021 Annual GMS by online meeting method 100% 06/2021/NQ-HEQT 30/03/2021 ‘Théng qua Tiéu chi phan bd c& phiéu theo chong trinh ESOP Approving the Allocation criteria for shares issued under the ESOP. 100% 07/2021INQ-HBQT 30/03/2021 Thong qua Danh séch ngudi lao dong du diéu kién mua 06 phiéu phat hanh theo chuong trinh ESOP Approving the eligible employee list for purchasing shares issued under the ESOP 100% 08/2021/NQ-HBQT 19/04/2021 Thong qua Thay adi tén va dia diém dat Phong giao dich Nguy€n Chi Thanh Approving the changing name and location of Nguyen Chi Thanh Transaction Office 100% 09/2021/NQ-HBQT 1910412024 Thong qua Thay di tén va dia diém dat Phong giao dich Tran Hung 820 Approving the changing name and location of Tran Hung Dao Transaction Office 100% 10. 10/2021/NQ-HDQT 28/04/2021 Thong qua Ké hoach kinh doanh va Chuong trinh hop BHBCD thuéng nién nam 2021 Approving the Business Plan and Agenda meeting of 2021 Annual GMS 100% " 11/2021/NQ-HDQT 03/06/2021 ‘Théng qua viée chi tra ¢é tire bang tién cia nam 2020 Approving the payment of cash dividend of 2020 100% 12, 12/2021/NQ-HBQT 03/06/2021 Thong qua chi tiét Phuong an phat hanh cd phigu tang von diéu le Approving the detailed shares issuance for capital injection 100% 13, 13/2021/NQ-HBQT 25/06/2021 Thong qua sia dBi Nohi quyét s6 14/2020/NA-HBQT va Nghi quyét s6 02/2021/NQ-HBQT vé chao ban ching quyén 6 bo dam néim 2021 Approving the amendment to Resolution No, 14/2020/NQ- HOQT and Resolution No. 02/2021/NQ-HBQT on covered warrant offering in 2021 100%sTT No. 6 Nghi quyét Resolution No. Ngay Date Noi dung Content Tie thong qua Approval rate 14. 15/2021/NQ-HBQT 07/07/2021 Thong qua nguén vén phat hanh cé phiéu thuéng Approving the resource for bonus shares 100% 16. 19/2021/NQ-HBQT 13/09/2021 ‘Thanh lap Phong giao dich Céng trréng Mé Linh Establishing the Cong Truong Me Linh Transaction Office 100% 16 20/2021/NQ-HBQT 13/09/2021 BO sung Nghi quyat s6 14/2020/NQ-HBQT va Nghi quyét $6 13/2021/NQ-HBQT vé chao ban chtrng quyén c6 bao gm nam 2021 Supplement to Resolution No.14/2020/NQ-HBQT and Resolution No. 13/2021/NQ-HBQT on covered warrant offering in 2021 100% 17. 21/2021NQ-HBQT 14/10/2021 ‘Tang von diéu Ié cia Cong ty TNHH Quan ly Quy SSI Capital injection for SSI Asset Management Company Limited 100% 18, 22/2021INQ-HBQT 20/10/2024 “Théng qua chao ban ching quy&n trong nam 2022; va Thong qua két qua thyc hién quyén mua cé phiéu duoc chao ban cho o8 déng hién hiu theo Nghi quyét sé 01/2021/NQ-DHBCD Approving the covered warrant in 2022; and Approving the Results of subscription execution from ‘offering for the existing shareholders stipulated in Resolution No.01/2021/NQ-BHECD 100% 19, 23/2021/NQ-HDQT 47/11/2021 Thong qua lay j Kién o8 dong bing vn bln Approving the collecting written opinion of shareholders 100% 20. 24/2021INQ-HBQT 17/11/2021 ‘Thong qua tiép tuc trién khai phwong an phat hanh od phigu theo chyong trinh Iva chon cho nguéi lao dén theo Nghi quyét s6 01/2020/NQ-BHBCB va Nghi quyét 86 02/2020/NQ-BHOCB Approving the continuous implementation on ESOP issuance stipulated in Resolution No. 01/2020/NQ- HBCD and Resolution No. 02/2020/NQ-DHECD 100% 24 25/2021INQ-HBQT 4711112024 “Thong qua trién khai phurong an phat hanh ¢é phiéu theo chvong trinh Iva chon cho ngudi lao dong theo Nghi quyét s6 01/2021/NQ-DHBCD Approving the continuous implementation on ESOP issuance stipulated in Resolution No. 01/2021/NQ- BHBCD 100% 22, 26/2021/NQ-HBQT a7is2021 Thong qua Quy ché phat hanh ob {inh Iva chon cho ngu&i lao dong Approving the Regulation on ESOP issuance theo chvong 100% 23. 2712021INQ-HBQT 17412021 Théng qua Tiéu chi phan bé cB phiéu phat hanh theo churong trinh Iya chon cho ngu@i lao déng Approving the Allocation Criteria on ESOP issuance 100% 24, 28/2021/NQ-HBQT 47112021 Théng qua Danh sach ngudi lao dong du diéu kién mua é phiéu phat hanh theo chuong trinh Iva chon cho ‘ngu®’ lao dong theo Nghi quyét s6 01/2021/NQ-DHBCD 100%Tie STT| 6 Nghi quyét Noay Noi dung thong qua No. | Resolution No. Date Content Approval rate Approving the List of eligible employees for ESOP Purchase stipulated in Resolution No. 01/2021/NQ- DHECD ‘Thong qua Danh sach nguéi lao Gong dt diéu kién mua 6 phiéu phat hanh theo chuong trinh Iva chon cho ngudi l2o déng theo Nghi quyét s6 01/2020/NQ-DHOCB 28. | 29/2021/NQ-HBAT | 17/11/2021 | va Nghi quyét s6 02/2020/NQ-DHBCD 100% Approving the List of eligible employees for ESOP purchase stipulated in Resolution No. 01/2020/NQ- DHBCD and Resolution No. 02/2020/NQ-BHBCD I Uy ban Kiém toan (Bao cao nam 2021)! Audit Committee (The 2021 annual report): 1. Thong tin vé than vién UBKT/ Information about members of Audit Committee: srr] TARRMENUBET T case wy [NRE EA Suen cn ahah in UBT ran cnuyen mi fembers of Au i 1e date becoming/ceasing to be the member Ne Committee Foation of Audit Committee Gualtoatca ; Tién si kinh t8, Cir 4, |OraNgo van Bigm | Trudng ban | Ngay bat edu: 08/10/2020 ninan chin tr Mr. Ngo Van Diem Head | Starting from: October 08, 2020 PhD in Economics, BA in Poltics > | Ong Pham Vigt Mun | Thanh vien | Ngay bat du: 08/10/2020 Tién st kinh Mr. Pham Viet Muon | Member | Starting trom: October 09, 2020 | Ph in Economics 2. Cue hop cua UBKT/Meetings of Audit Committee ; Ty do khong srr] Thannvien uBit | sé bubihoptham a [75 ig am ayhop| Tyie bu quet | Facnsrens No, Members of | Number of meetings | “Atandance rate | Voting rato | Reasons for Audit Committee attended e absonco ‘Ong Ngé Van Biém : 1 | hc Ngo Van Diem 2 100% tones Ong Pham Viét Muén 2 [Mr Pham Viet Muon ae 190% sox Hoat dong giam sat cua Uy ban Kiém todn aéi vi Héi déng quan tri, Ban Giam déc va cd déng/Supervising the BOD, BOM and shareholders by the Audit Committee: Trong nhiém ky cia minh, UBKT thyc hign c&c hoat dong giém sat nhur sau: During their term, Audit Committee has conducted the supervising operation as below: - Kiém tra, giém sat viéc tuan thd phép luat, chap hanh Bidu lé obng ty va thyc hién Nahi quyét oda SHBCP, HBQT va Ban TGA. Checking, supervising the corporate compliance to comply with laws, Company charter and Resolutions of GMS, the BOD and BOM