BAO CAO T Y L E AN TOAN TAI CHINH

D A DlTOC S O A T X E T

Tai ngay 30 thing 06 nim 2017

C O N G T Y C 6 P H A N C H C N G K H O A N T R I V I E T

M U C L L C

N O I D U N G T R A N G

BAO CAO TY L $ A N TOAN T A I CHINH

BAO CAO KIEM TOAN DQC LAP

BANG TONG HQP CAC CHI TIEU RUI RO VA VON KHA DUNG

THUYET M I N H BAO CAO TY A N TOAN TAI CHINH

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C O N G TY C O P H A N C H O N G K H O A N TRJ VIET C O N G HOA X A H O I C H U NGHIA V I E T NAM V/v Bao cao ty IS an toan tki chinh D§c ]|p - Tir do - Hanh phiic

Kinh guT Uy ban Chihig khoin Nhi nirdc

BAO CAO T Y L E AN TOAN TAI CHINH Tai ngay 30 thing 06 nam 2017

Chiing t6i cam dean rSng

Bao cio diroc xay dyng tren co so s6 hSu diroc cdp nhSt tai ngiy I§p bio cio v i duoc l i p theo diing

quy dinh tai Thdng tu s6 226/2010/TT-BTC ngay 31 thang 12 nam 2010 va Thong tu 165/20i2/TT-

BTC ngay 9 thang 10 nam 2012 ciia B6 T i l chinh sua ddi bd sung Thdng tu 226/2010/TT-BTC quy

dmh vS chi tiSu an toan tai chlnh v i bidn phip xu ly ddi v6i cic td chirc kinh doanh chiing khoan

khdng dap ling cac chi tiSu an toin t i i chinh,

D6i vdi nhOng v i n de cd ThS anh huong dSn tinh hinh tai chinh cua Cdng ty phit sinh sau ngiy l ip

bio cio nay, chiing tdi sS cip nhit trong k^ bio cio tiSp theo,

Chung toi xin hoan toan chiu trach nhiem truoc phap luat ve tinh chmh xac va tnmg thuc cua npi

dung bio cao

HdNgi, ngay 24 thdng 07 nam 2017

Trirong bp phin kiSm scat ii(ii hX

Ke toan trirong

"—FBam Thanh Tung Nguyen Thi Hup Nguyen Thi Hong Trung

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C O N G T Y T N H H K I E M T O A n T T P T T P A U D I T T I N G L I M I T E D C O M P A N Y

S6 SOa'BCKT/TC

BAO CAO K E T QUA CONG T A C SOAT X E T Vi Bdo cdo ty le an toan tdi chinh tai ngay 30 thdng 06 ndm 2017

cua Cong ty Co phdn Chiing khoan Tri Vi^t

Kfnh giri: Quy vi co dong

H6i dong Quan trj; Ban T6ng Giam doc

Cong ty Cfi phin Chirng khoan Tr i ViSt

Chung l6i, Cong ly TNHH Kiem loan TTP d i thuc hien cong tac soat xet Bao cao ty IS an toin t i i chinh tai ngay 30/06/2017 Cho Cdng ty CP Chung khoan Tn Viet duac lap ngay 24 thing 07 n im 2017 trinh bay tir trang 04 den trang 24 kSm theo

Trach nhifm cua Ban Tdng Gidm dSc

Ban Tong Giam doc Cong ty chm trach nhifm vS vifc !ip v i trinh bay trung thuc v i hap ly Bao cao t\' le an loan tai chmh cua Cdng ty phu hap v&i quj dmh cua Thdng tu so 226/2010/'TT- BTC ngay 31 thang 12 nam 2010 cua Bo Tai chinh quy dinh chi tiSu an l o i n t i i chinh v i bien phip xu ly ddi vdi cac td chuc kinh doanh chung khoan khdng dap ung chi tieu an loan tai chinh va Tlidng tu 165/2012/TT - BTC sua ddi bo sung mot so dieu ciia Thong tu 226/2010/TT - BTC ngay 31 thang 12 n im 2010 v i chiu trich nhiem ve kiem soat ndi bd ma Ban Tdng Giam ddc xac dinh !a c in thiSt dS dam bao cho viSc l i p v i uinh bay bao cao t>' IS an toan tai chmh klidng cd sai sot trong ySu do gian l i n hoic nham !an

Trach nhiim cda Kiem lodn viin

Trach nhiem ciia chiing tdi la dua ra y kiSn ve Bao cio ty IS an toan tai chmh dua trSn ca so ket qua soat xet cua chiing tdi Chung tdi d i thuc hien cdng lac soat xet theo Chuan muc Kiem toan Viet Nam so 2410- Soat xet Thdng tm tai chinh giuaniSn dd do kiSm toan vien thuc hiSn

Cdng tac soat xet tiiong tm tai chinh giOa men dd chii yeu la viec trao ddi v6i nhan su ciia Cong ty v i ap dung cac thii tyc phan tich tren nhung thdng tin lai chinh duac sir dung de lap bao cio ty IS an toan t i i chinh va cac cdng viec soit xet khic, cdng t ic nay cung cap mot miic dd dam bao thap ban cong tac kiem toan Chung tdi khong thuc hipn kiem toan nen khdng dua ra y kiSn kiem toan

Kit ludn ciia Kiim toan

Dua tren ca so cdng t ic soat xet cua chiing tdi chiing tdi cho rang bio cio ty le an toan tai chinh lai ngay 30 thing 06 nam 2017 kem theo xet tren cac khia cynh trong ySu dugc lap va trmh bay phil hap theo hudng dan tgi Thdng tu 226/2010/TT BTC ngay 31 thang 12 n im 2010 v i Thdng tu 165/2012/TT -

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E)|a chi T4ng 12 ThSp Tay. Tda nhd Hancorp Plaza, So 72 Tran Dang Ninh, Cau Giiy, Hi N$i Add Floor 12 West Tower, Hancorp Plaza Building, 72 Tran Dang Ninh, Cau Giay, Ha Noi

Tel (04) 37425 888 - Fax (04) 37578 666 Website http //kiemtoanttp com http //kiemtoanttp vn 'Email ttp@kiemtoanttp com

BTC sira doi b6 sungmdt so dieu cua Thong tu226/2010.TT- BTC ngay 31 thang 12 n im 2010 cua B6 Tai chinh quy dmh chi tieu an toan tai chinli va bien phip xu !y doi voi cac td chuc kinh doanh chung khoan khdng dip limg chi tieu an toan tai chinh

CfflNG T Y TNHH K I E M T O A N T T P

Gidy chiing nhdn DKHN hem toan s60739 2017^133-1

Hd NQI, ngay 24 thdng 07 ndm 2017

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CONG TY CO PHAN CHl 'NG KHOAN TRI MET Tang 2 so 142 Dpi Can. Quan Ba Dinh TP Ha Ngi

BAO CAO TY L$ AN TOAN TAI CHINH Tai ngiy 30 thing 06 n im 2017

BANG T Q N G HgfP C A C C H I T I E U RUI RO VA V Q N K H A D y N G Tgi ngay 30 thang 06 nSm 2017

Donv i tmh VND

B A N G T 6 N G H Q P C A C C H I T I E U R U I R O V A V O N K H A D U N G

S T T C i c chi tieu Thuvet 30/06/2017 minfa

I Tong g i i tn rui ro thi tnidng 4 9 762 464 620 2 Tdng gia i n rui ro thanh toan 5 10 689 157 960 3 Tdng g i i tri rui ro hoal ddng 6 7 000 000 000

4 Tdng gii tn rui ro (4=1+2+3) 27.451 622 580 5 Von kha dung 7 154.957.197.452 6 Ty 1̂ an toan Von khi dung 564,47%

(6=5/4)

Ha N01, ngay 24 thdng 07 ndm 2017

Tdng Giam ddc Trirdng b§ ph^n kidm scat nOi kI toin triroTig

Cac ihuyei minh la mot bd phan hap thanh cua Bdo cao ty le an toan tdi chinh 4

C 6 N G TV C6 P H A N C H I I N G K H O A N TRI VIET Tang 2. s6 142 D6i Can. Quan Ba Dmh. TP Ha NQI

B A G C A O T Y A N T O A N T A I C H I N H Tai ngay 30 thang 06 nSni 2017

T H U Y E T MINH BAO CAO TV L E AN TOAN TAI CHINH (Thuyei nunli nay Id IIIQI bg phdn hpp lhanh va can dupe dgc cung Bao cao ty le an loan tdi chmh/

D A C D I E M H O A T D Q N G D O A N H N G H I E P

• Hinh thirc sd hfhi v6ii

Cdng ty Cd phin Chung khoin Tri Vi^t tien than \h Cdng ty Cd phSn Chung khoin Thi i Binh Ducmg.

duQC thinh lap va hoal d^ng theo Gi iy chirng nhan ding ki kmh doanh so 0103015199 ngay 22 lhang 12

n im 2006 do So KS hoach va Dau tu thanh pho Ha NQI c ip va Giay phep hoat done kmh doanh Chung

khoin so 46VBCK - GPHDKD ngay 28 thang 12 n im 2006 do Uy ban Chung khoin Nha nude cap L i n

dieu chinh Gi iy phep hoat ddng kinh doanh chung khoAn gin nhit sd 20/GPDC-UBCK ngay 31/05.'20] 7

Tru so chinh cua Cdng ty dat tai tang 2, sd 142 phd Dpi Cin, quin Ba Dinh, thanh phd H i NQI

Dcm VI true thudc Chi nhanh Cdng ty Cd phin Chirng khoin Tri ViSi tai thanh phd Ho Chi Mmh

NghiSp 141 kmh doanh chung khoan cua Chi nhanh Tu v i n diu tu chung khodn

Von diSu I9 cua Cong ty theo Giay phSp thanh lap va hoat dong ia 150 200.000.000 d ing (BCing chU-

M()t trim ndm mircri fc, liai Irdm trifu ddng chdnJ.)

- Linh I \K kinh doanh

Linh viyc kinh doanh cua Cong ty I i Kinh doanh chung khoan

- Nginh nghi kinh doanh

Theo Gia> chirng nhan dang k\ kmh doanh sd 0103015199 va Giay phep hoat ddng kmh doanh chirng

khoin, nganh nghe kinh doanh cua Cdng ty gom

* M61 gioi chirng khoan,

+ Tir van tai chinh,

+ Luu ky chung khoAn,

• Tu vAn dAu tu chung khoAn,

+ Giao dich ky quy,

HOl I>6\G QUAN TRI, BAN KlfeM SOAT VA BAN GIAM D 6 C DIEU HANH

CAc thAnh vidn cua HQI ddng Quan trj. Ban Kiem soat vA Ban Giam ddc dieu hanh cho ky ke toAn lu

01,'0l/2017 ddn 30/06/2017 bao gom

H^i ddng Quan tn

BA Phuong Hoang Lan Huong Chu t]ch HDQT Bd nhiem ngay 20/01/2017

Ong Pham Thanh Tiing Chu tich HDQT Mien nhiem ngAy 20/01/2017

Ong Han Cdng Khanh Pho chu tich HDQT

CONG TY CO PlIAN CHUNG KHOAN TRI VIET BAO CAO TV L $ AN TOAN TA! CHINH Tang 2, so 142 DQI Can, Qu^in Ba Dinh, TP Ha No: Tai ngay 30 thAng06 nSm 2017

Ong D5 Thanh Ha

Ong Pham Thanh Tung

Ong NguySn Thanh Duy

Ong Nguyen Dinh Thanh

Ban Kiem soat

6ng Phan DoAn Vmh

Ba Nguyen Thi Thorn

Ong Nguyin Ddc Tiing

BA Ta Thi Thu Thao

Ba Mai Th| Thuy

Ban T6ng GiAm d6c

Ong Pham Thanh Tiing

Ba Nguyin Bich Van

Thanh vien HDQT

ThAnh vien HDQT

Thanh vien HDQT

Thanh viSn HDQT

Truong ban kiSm soAt

Truong ban kiSm soat

Thanh vien Ban Kiem soAt

Thanh vien Ban Kiem soAt

Thanh vien Ban K i l m soat

Tong Giam dOc

GiAm ddc DiSu hAnh

Midn nhiSm ngay 20/01/2017

Bd nhiSm 20/01/2017

M i l n nhiem 20/01'2017

Bd nhiem ngay 20/01/2017

M i l n nhiem 20/01/2017

2 C O SO LAP BAO CAO TY L E AN TOAN TAI CHINH VA K Y K E TOAN

Co SO lAp BAo cao ty id an toAn tAi chinh

Bao cao t>' 1? an toan tai chinh kem theo dugc trmh bAy bang Ddng Viet Nam (VND) va phu hgp voi

hudng d in tai Thong t u sd 226/2010/TT-BTC ngay 31 thang 12nam 2010 va Thdng tusd 165/2012/TT-

BTC ngay 9 thang 10 nSm 2012 sua ddi bd sung Thdng tu sd 226/2010/TT-BTC cua Bp Tai chinh ve quy

dmh chi tieu an toan tai chinh va bien phap xu ly ddi vdi cac td chirc kmh doanh chirng khoan khdng dap

dng chi Iidu an toan tai chmh

Ky ke toan

NAm tai chinh cua Cdng ty bat dIu tir ngay 01 thAng 01 vA kdtthilc vao ngay 31 thang 12

3. T O M T A T C A C C H I N H S A C H L A P B A G C A O T Y L E AN T O A N T A I C H I N H C H U Y E U

Sau day la nhimg chmh sach chu yeu dugc Cdng ty ap dung trong viec lap Bao cao ty' le an toan lai chinh tai ngAy 30 thang 06 nAm 2017

T^ Id v6n ktiA dung

Ty Id von kha dyng cua Cdng ty duac xac dmh theo quy dinh ciia Thdng tu sd 226/2010/TT BTC ngAy

31 thang 12 nAm 2010 va Thdng tu sd 165/2012/TT-BTC ngay 9 thang 10 nAm 2012 sua ddi bd sung

Thdng Ur sd 226/2010/TT-BTC cua Bd Tai chinh vd quy dmh chi tieu an toan tai chinh nhu sau

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C 6 N G T Y C6 PHAN CHlTNG KHOAN T R I V I E T Tang2,s6 142 Dgi Can, Quan BaDinh, TP HaNdi

BAO CAO TV L$ AN TOAN TAI CHINH Tai ngAy 30 thang 06 nAm 2017

Ty an toan ^ V6n kha dung

vSn kha dung Tdng gid tn rut ro "

Trong (36, tdng gia tn rui ro la tdng cAc giA tn rui ro tin truong, rui ro thanh toAn va giA tr; riu ro hoat iJdng

v6n kha dyng

Vdn kha dung la von chu so hQu co th i chuydn ddi thanh hen trong vong chm mum (90) ngAy Vdn kha

dung duac dieu chmh tAng them hoac giam tru theo huiimg d in tai Didu 5, 6 cua Thdng tu 226 /2010/TT

BTC ngAy 31 thang 12 nAm 2010 va Thdng tu sd 165/2012/TT-BTC ngay 9 thang 10 nAm 2012 sua ddi

bd sung Thdng tu sd 226/2010/TT BTC cuaBd TAi chinh ve quy dmh chi tieu an toan tai chinh

GiA tri rui ro thi trirdng

Gia tri rui ro thi tniong la giA tn tuong ling vai muc do ton thi t co thd xay ra khi giA thi trudng cua tai

san dang so hOu bidn ddng theo chieu huong bat Igi Gia trj thi truong duac xAc dinh theo quy dmh cua

Thdng tu 226/2010/TT BTC ngay 31 thAng 12 nAm 2010 va Thdng tu sd 165/2012/TT BTC ngAy 9

thang 10 nam 2012 sua ddi bd sung Thdng tu sd 226/2010/TT-BTC cua Bd Tai chinh vd quy dmh chi

tidu an toan tai chmh nhu sau

Gid tri rut ro thi trudng = Vi the rang * Gid tdi san * Hi sd rdi ro thi tnrdng

Trong do vi thd rong ddi vdn mdt chCmg khoAn tai mdl thdi diem IA sd luong chiing khoan ma Cdng ty

dang nam giti sau khi didu chinh giam bdt sd chung khoan cho vay va tang them sd chung khoan di vay

phil hop vd\ quy dinli cua phap luat

Cdng ty khdng xac dmh gia tn rui ro thi truong cho cac chung khoan, tai san sau • Cd phidu qu5', • Chirng khoAn phat hanh bdi cac td chiic co quan he voi Cdng ty, • Chung khoan cd thai gian bi han chd chuydn nhucng cdn lai trdn 90 ngay ke tCr ngay lap bao cao, • TrAi phieu, cac cdng cu no, giAy to cd gia tren thi truong tien td da dao hyn

GiA tai san

Gia tai san duac xac dmh theo nguydn tAc dmh giA duoc quy dinh tai Thdng tu 226/2010/TT-BTC ngay 31 thAng 12 nAm 2010 va Thong tu sd 165/2012/TT BTC ngay 9 thang 10 nAm 2012 sua ddi bd sung Thdng tu so 226/2010/TT-BTC cua Bd Tai chinh ve quy dinh chi tieu an toan tai chmh nhu sau

S T T LoaitAisAn Nguyen tAc dmh giA giao dich tren thi truwng

Tien va cac khoan tuong duoTig tien, cong cu thi triroTig tien te

1 Tien (VND) Sd du tAi khoan tai ngay tinh toan

2 Ngoai td Gia tri quy ddi ra VND theo ty gia tai cac td chuc tin dyng dugc phep kinh doanh ngoai hdi tinh tai ngAy tinh toan

3 Tien gui ky han Gia tn ten gin cgng lAi chua duoc thanh toan i6\ ngay tinh toAn

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CONG TV C6 PHAN CHUNG KHOAN TRI V I ^ T Tang 2 sd 142 Ddi CAn Quan Ba Dmh, TP HaNpi

BAO CAO TV Lt AN TOAN TAI CHINH Tgi ngAy 30 thang 06 nAm 2017

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1 Tin phieu kho bac, hdi phieu ! ngAn hang, thucmg phieu, chung

chi tidn gin co the chuyen nhirgng. trAi phieu va cac cdng cy thi trudng tidn tg chiet khau

Gia mua cyng vdi lAi lOy kd tinh den ngay tinh loan

TrAi phidu

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1

Trai phieu mem yet

- Gia yet bmh quan tren hf thdng giao dich tai Sd Giao dich Chung khoAn lai ngay giao dich gan nhAt cpng lai IQy kd,

Truong hgp khong c6 giao dich nhidu hon hai (02) tuan tinh den ngay tinh toAn, la gia tn Ion nhat trong cac gia tr] sau - GiA mua cdng lAi luy kd, + Mgnh gia cdng lAi luy ke,

GiA xac dinh theo phuong phap npi by cua td chiic kinh doanh chung khoAn, bao gdm ca lAi luy ke Tuc !a Max (Gia mua cdng lAi luy kd Menh giA cyng lAi luy ke, GiA xAc dmh theo phuong phAp nyi bd, bao gdm ca lAi luy ke)

6 Trai phieu khdng mem yet

La giA tri Idn nhat trong cAc giA tn sau - GiA ydt (ndu co) tren cAc he thdng bAo gia do td chdc kmh doanh chirng khoAn lua chon. cdng lai ]u> ke + GiA mua cdng iai luy kd -1- M f nh giA cong lai luy ke, + GiA theo quy dinh ndi bd cua td chuc kinh doanh chirng khoan, bao gdm ca lai luy ke Tuc la Max ( GiA yet (ndu co) GiA mua cdng lAi luy kd, Menh gia cone lai luy kd, GiA xac dmh theo phuong phAp ndi bd, bao gdm ca lai luy ke)

C6 phidu

7 Cd phieu nidm ydt trdn So Giao dich Chung khoAn Hd Chi Mmh

- Gia ddng cua lai ngay giao djch gan nhat ngay tinh toAn,

- Trudng hyp khdng co giao dich nhieu Hon hai (02) tuan linh den ngay tinh toan la gia tri Idn nhat trong cAc giA tri sau

+ Gia tn sd sach,

+ Gia mua,

+ Gia theo phuong phAp nyi by cua td chirc kmh doanh chiing khoAn

TucIA

Max (ijia In so sacn oia mua, cjia xac uinn ineo phuong phap ndi bo)

8 Cd phidu nidm ydt trdn So Giao djch Chiing khoan Ha Ndi

- GLA giao dich binh quan cua ngay giao dich gan nhAt ngay tinh toAn, - Truong hyp khdng cd giao dich nhieu hon hai (02) tuSn tinh den ngAy tmh toAn, IA giA tn Idn nhat trong cac gia tn sau

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CONG TY CO PHAN CHUNG KHOAN TRI VIET Tang2 s6 142 Doi Can Quan Ba Dinh, TP HaNyi

BAO CAO TV LE AN TOAN TAI CHINH T91 ngav 30 lhang 06 nSm 2017

+ Gia tri s6 sach, •b GlA mua. + GiA theo phirong phap nyi bd cua t6 chirc kinh doanh chung khoan Tiic la Max (GiA tri s6 sAch, GiA mua, GiA xac dmh theo phuong phap nyi by)

STT Loai tai san ' Nguydn tAc dmh giA giao dich tren th; trtrong

9 C6 phidu cua C6ng ty dai chung dang k>' giao dich trdn hd thong UpCom

• Gia giao dich binh quan cua ngay giao dich gan nhat ngay linh loan,

- Trudng hop khong c6 giao dich nhieu hon hai (02) tuAn tinh den ngay tmh loAn, la gia tri Ion nhat trong cac gia tri sau

+ GiA tri s6 sach,

1- Gia mua,

+ Gia theo phuong phap nSi bO cua t6 chirc kmh doanh chirng khoan

Tiic la

Max (GiA tn so sAch, Gia mua, Gia xAc dmh theo phuong phAp noi bo)

10 Co phidu da dang ky iiru kV nhung chua mem ydt chua dang ky giao dich

- Gia tn trung bmh dya trdn bAo gia cua t6i thidu 03 c6ng ty chung khoan khong phai la nguoi co Iidn quan lai ngay giao dich gAn nhat tmdc thdi diem Iinh toan - Truong hyp khong c6 du bao gia cua toi thieu 03 cong ty chung kJioan, la giA tr] ion nhAt trong cac giatri sau 1- Gia tu cAc bao giA, - Gia cua k\ bao cao gAn nhAt, + Gia tn so sach, + Gia mua, + Gia theo quy dinh noi bO cua t6 chiic kmh doanh chiing khoan Tiic lA Max(GiA tir cAc bao giA, GiA cua k̂ * bAo cAo gAn TiHaT fri^ tn RA *2^rh mim fria thpn i^iiv j^inh I I I I C I L , v j l a 111 J \ / J U K ^ I I J VJ IC l l i l L ' u , vJ LCI l l l t U LJl.l> U I J I I I

noi bo cua to chuc kmh doanh chung khoan)

11 Co phieu bi dinh chi giao dich, hoAc huy mem ydt ho^c huy dang ky giao dich

La giA tn Ion nhAt trong cac giA tr] sau

+ Giatri so sAch,

-r Menh gia,

+ Gia theo phuong phAp noi by cua t6 chOc kinh doanh chiing khoAn

Tuc la

Max (Gia In so sach, Mgnh giA, GiA xac dmh theo phuong phap nyi b6)

12 C6 phieu cua t6 chiic trong tmh tr^ng giai the, pha san

80% Gia tn thanh ly cua c6 phieu d6 tai ngay lap bang cAn dbi ke toAn gan nhat hoAc gia theo quy dinh nyi by cua to chuc kinh doanh chiing khoAn

C O N G T\ C O P H A N C H l N G K H O A N T R I MET B A O C A O TV L E - V V T O A N T A I C H I N H Tang 2. SO 142 Dpi Can Quan Ba Dmh. TP HaNoi Taiiigay 30 thang 06 nam 201?

S T T Logi tAi sAn Nguydn tAc dmh giA giao djch tren thj truAng

13 Co phSn phan \ on gbp khac

La gia tn Ion nhat trong cAc gia tri sau + Gia iri so sach, * Gia mua gia tri v6n g6p, T GiA theo quy dinh nyi bo cua l6 chuc kinh doanh chung khoan Tiic la Max(Gia tn s6 sAch GiA mua'giA tn von gdp Gia theo quy dinti noi bd cua to chirc kinh doanh chirng khoan)

Qu\/C6 phieu cua Cong tv d^u t u chiing khoAn

14 Quy dong dai chung

Gia ddng cua cua ngay giao dich gan nhAt ngay tinh loAn,

- Truong hap khone co giao dich nhieu hon hai (02) tuan linh den ngay tinh loan la NAV ICCQ tgi ky bAo cao gan nhat trudc ngay tinh toAn

15 Quy thanh vien'Quy rao'Cfl phidu ciia Cong ly dau tu chiing khoan phAt hanh neng le

Gia in tAi san rong NAV tren myt dcm vi phan von gop.'don v] chiing chi quyicb phieu t j i ky bao cAo gAn nhAt truac ngay linh toAn

16 CAc uuong hop khAc Theo quy dinh noi bo cua to chuc kmh doanh chung khoAn j

T A I san co dtnh >

17 ^ • ^ lAp do td chuc kinh doanh chiing khoan lua chon ]

18 Nha cua' val kien true bao gom ca cac hang myc xay dyng co ban da dang

Gia tn duac xac dmh bai to chuc dinh gia dye lap do Id chuc kinh doanh chung klioan lua choa'Chi phi xay dyng co ban da dang luy ke

, . Cac irane ihici bi . ma\ moc, . , , 19 , n . . . . Q,g (J., j ^ j , jg, (.ya (ai san

phuong lien ;

20 • X k 11, *"'^ '^"'-"^ ^^'^ '^'"b boi i6 chuc dinh gia doc cac tai san co d|nh khac | ^ . ^ ^ ^ ^ ^ j ^ ^ ^ j ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^

Hy so rui ro (hi tn r img

He sd nil ro ihi trudng duoc xac dinh cho tung khoan muc tai san theo quy dinh ciia Thdng tu 226 2010 TT-BTC ngay 31 thang 12 nAm 2010 \ a Thdng lu sd 165 2012 TT-BTC ngay 9 thang 10 nAm 2012 sua ddi bd sung Thong tu sd 226,'20]0.TT-BTC cua Bd Tai chinh ve quy dinh chi lieu an toan lAi chinh duoc trmh bay a Thuyet mmh sd 4

GiA trj rui ro thi t ruong tAng them

GiA tn rui ro thj tnrcmg cua mdi tai san xac dmh theo quv dinh sS phai dieu chinh lAng them uong trudng hyp td chuc kinh doanh chiing khoan dau tu qua nhieu vao lai san dd, ngoai tru chung khoan dang trong Ihdi gian bao lanh phat hanh theo hinh thiic cam ket chAc chan, irAi phieu Chinh phu. trai phieu duoc Chmh phu bao lanh GiA in rui ro duyc dieu chmh tang iheo nguyen lAc sau

• Tang them 10% trong tniong hap gia tn cua khoan dau tu nay chiem tir 10% toi 15% Vdii chu so hihi cua to chuc kinh doanh chimg khoan,

10

C O N G T Y C 6 P H A N C H L ' N G K H O A N T R I V I E T TSng 2, s6 ! 42 D6i Can Quan Ba Dinh, TP Ha N^i

B A O C A O T Y L E A N T O A N T A I C H I N H Tgi ngay 30 thAng 06 nAm 2017

• TAng them 20% trong tnrcmg hyp gia tn cua khoan diu ty nay chiem tu 15% tdi 25% V6n chu so hflti cua to chuc kmli doanh chung khoan,

• TAng thdm 30% trong trudng hyp giA tn cua khoAn dau tu nAy chiem tu 25% trd 16n V6n chu so hthi cua to chuc kmh doanh chung khoAn

CAc khoan co tuc trAi tuc, gia tn qu\en uu dai cua chiingkhoAn (niu c6) hoAc co lAi cho vay cua tien gui va cac khoan tuong duong tien cong cu chuydn nhuong, giay to co gia duyc dieu chinh tAng them vao gia tn tai san khi xac dinh rui ro thi truong

GiA trj rui ro thanh toan

GiA tri nil ro thanh toan la giA tn tuong ung vdi muc dy t6n thAt c6 the xay ra khi d6i tAc kh6ng thd thanh toAn dung han hoAc chuydn giao tAi san dung han theo cam kdt Gia tn rui ro thanh toAn duyc xac d|rh khi kdt thuc ngay giao djch cua cac hop dong, giao dich nhu sau

GiA tn nil ro thanh loAn trudc thdi han nhan chuyen giao chung khoan tidn va thanh ly hop dong duoc xac dinh nhu sau Gia In rui ro lhanh lodn - Hi so rui ro lhanh lodn x Gid tn tdi san tiem an rui truoc thai han thanh loan theo doi tac ro thanh loan

Nguyen tAc xAc dinh rui ro thanh toan trudc thai h^n trdn day duoc ap dung cho cAc hyp ding sau day

- Tidn gui c6 ky han tai cAc I6 chuc tin dyng, cAc khoan cho vay dfii vdi cac to chuc, cA nhan khac, - Hop dong vay, muyn chung khoAn phu hop vdi quy dmh cua phAp luAt, - Hyp dong bAn cd cam ket mua lai chune khoan phu hyp voi quy dinh cua phap luat, - Hyp dong mua cd cam kdt ban l?i chimg khoan phu hop vdi quv dinh cua phap luat, - Hyp dong cho vay mua k> quy chimg khoan phu hyp vdi quy dinh cua phap luAt, - CAc khoan phai thu, cAc khoan phai Ihu khac va cAc tAi san khac cd liem An rui thanh toAn d6I vdi cac khoan phAi thu qua han, chirng khoAn chua nhAn chuydn giao dung han, kd ca chimg khoan, tidn chua nlian duyc tu cAc hyp dong noi trdn, gia tn rui ro thanh toan qua thdi han duyc xac dinh theo ngu\ en tAc sau Gia In rui ro thanh loan — Hg so rui ro lhanh loan x Gia In lai san liem an rui qua thai han lhanh loan theo thai gian ro thanh loan

Hf s6 rui ro thanh toAn

He sd nil ro thanh toan theo ddi tac duoc quv dmh tai Thdng tu 226/2010/TT-BTC ngay 31 thang 12 nAm 2010 vA Thdng tusd 165/2012/TT-BTC ngay 9 IhAng 10 nAm 2012 sua ddi bd sung Thdng tu sd 226/2010/TT BTC cua Bd Tai chinh vd quy dmh chi tidu an toAn tai chinh nhu sau

S T T Di i tac thanh toAn cho t i chuc kinh doanh chirng khoAn H | sd rui ro thanh toan

1

Chmh phu, cac to chuc phat hanh duoc Chinh phu bao lAnh Bd Tai chinh bao lAnli, Ngan hang Nha nude, Chinh phu vA NgAn hang Trung uong cac nuoc thuyc khdi OECD, Uy ban Nhan dan tinh, thanh phd true thuyc Trung uong,

0%

2 So Giao dich Chung khoAn 1 rung tam Luu kv Chung khoAn 0,8%

11

CONG T Y C 6 PHAN CHL'NG KHOAN TRI YIET BAO CAO TV LE AN TOAN TAI CHINH Tang 2, so 142 Dpi Can, Quan Ba Dinh, T P Ha Noi Ta: ngay 30 lliang 06 nam 2017

STT DOI tAc thanh loan cho to chuc kmh doanh chung khoan Hf sd rui ro thanh loAn

3

To chuc tin dung to chuc tai chinh to chuc kmh doanh chung khoan thanh lAp o cAc nuac thupc khdi OECD va co h? so tin nhiem dap ung cAc dieu kipn khac theo quv dinh npi bd cua td chuc kinh doanh chung khoAn

3,2%

4

Td chuc tm dyng. td chilrc tai chinh. td chirc kmh doanh chung khoan L I l Q J I l l JEjlL' I I^Kfai V d V J 1 U U I v A—* 1_.A_- L J j J J C a t U ICU U J l a U lO-l t Q v 1 l U C v 11 J U C t n J I d

O E C D va khdng dap ung cac dieu kien khac theo quy dinh npi bd cua td chuc kinh doanh chung khoan

4,8%

5 Td chuc lin dung td chirc tai chmh td chuc kmh doanh chung khoAn thanh lap va hoai ddng lai Viet Nam

6%

6 1

Cac td ciiuc, cA nhan khAc 8%

He s6 nil ro thanh toAn theo thai gian duac quy dmh t?! Thong tu 226 nhu sau

STT Thdi giaii quA han thanh loan, chuven giao chung khoan Hd sd rui ro

1 0-15 nga> sau thoi han liianh toan chuyen giao chung khoan 16%

2 16-30 ngay sau then han thanh toan, chuydn giao chung khoAn 32%

3 31 - 60 ngay sau thdi hgn thanh toan, chuydn giao chung khoan 48%

4 Tir 60 ngaytradi 100%

Thai han thanh toan.nhan chuyen giao chung khoania T+2 (ddi vdi cd phieu mem yet) T+! (ddi vdi trai phieu mem yet) hoAc T+n (ddi voi cac giao dich thoa thuan ngoai he thdng giao dich trong n theo thoa thuan cua hai ben)

Gia tr( tAi san tiem An rui ro thanh toAn

Gia Tn tdi san tiem an nii ro lhanh loan trong hoat ddng vay, cho vay chung khoan, giao dich ky quy. giao dich mua ban lai

STT Loai hinh giao d|ch Gia t n tAi san tidm An n i l ro thanh toAn

1 Tien gui CO ky han, khoan tien cho vay khdng cd tAi san bao dam

Toan bd gia tri khoan cho vay

2 Cho vay chimg khoAn Max {Gia in thi trudng cua hap ddng - Gia trj tai san dam bao (neu cd),0}

3 Vay chung khoan Max { GiA tn lai san dam bao - Gia tn thi truong cua hap dong.O}

4 Hop dong mua chung khoan cd cam kei ban lai

Max {Gia tn hop ddng tinh theo gia mua-Gia m thi truong cua hyp ddng ' (1- hp sd rui ro thi triroTig).0}

12

C O N G T V C O P H A N C H L N G K H O A N T R I V I ^ T Tang 2, so 142 Dpi Cin, Qi i |n Ba Dmh, TP Ha Ndi

B A O C A O T V L E A N T O A N T A I C H I N H T^i ngay 30 ihAng 06 nAm 2017

STT Lo^ i hmh giao dich GiA tr) tai san ttcm an rui ro thanh toAn

5 Hpp ddng bAn chimg khoAn cd cam kdt mua lai

Max (GiA tn thi truong cua hyp ddng * ( 1 -hp sd rui ro thi truong) - GiA tn hop dong tinh Iheo gia ban,0}

6 Hyp ddng cho vay mua ky quy (cho khAch hang vay mua chung khoAn)'Cac thoa thuAn kinh te cd cung ban chat

Max {So du ny - GiA tr) tAi san dam bAo (neu co),0}

Sd du no bao gdm giA tn khoan vay, lAi vay va cAc loai phi, Truong hop tai san bao dam cua khach hana khdng co giA tham khao theo thi trudng, thi duoc xAc d)nh theo quy dinh ndi by cua td chuc kinh doanh chung khoan

Gia In lai san nem an rui ro trong hoat dgng giao dich chung khoan

STT Thdi gian GiA t n tAi san tiem an rui ro

A Ddi VOI cAc giao djch bAn chung khoan (bdn ban iA td chdc kinh doanh chirng khoan ho^c khach hang cua td chiic kinh doanh chiing khoAn trong hoat ddng moi gidi)

1 ' Trudc thdi han nhan thanh toan

2

Sau thoi han nhAn thanh toan Gia tn thi trudng cua Hop dong (trong truong hyp GiA thi truong thap hon GiA giao dich) 2

Sau thoi han nhAn thanh toan

(trong truong hyp Gia ihi truong cao hon Gia giao dich)

B - Dot vdi cAc giao dich mua chirng khoAn (ben mua la td chirc kinh doanh chung khoAn ho|c khach hAng cAa td chirc kmh doanh chirng khoAn)

1 Trudc thai han nhAn chuyen giao j chimg khoan i

2

Sau ihoi han nhan chujen giao chimg khoan

GiA ir) thi truong cua Hop ddng (trong truong liyp Gia th| trudng cao hon GiA giao dich)

2

Sau ihoi han nhan chujen giao chimg khoan

(irong truong hyp Gia thi truong cao hon Gia giao dich)

Thdi han thanh toan/nhAn chuyen giao chung klioAn IA T+2 (ddi vdi cd phidu nidm ydt), T+1 (ddi vdi trAi phidu mem ydt, hoAc T-'-n (doi vdi cAc giao dich thoa thuAn ngoai he thdng giao dich trong n Iheo thoa thuan cua hai ben)

Gid ti 1 tdi san tiem an rui ro thanh loan dot vai cdc khoan phai Ihu, trai phieu da ddo hgn, cdc c6ng cu no da dao hpn la gid tn khoan phai thu tmh theo menh gia, cong them cac khoan lai chua duqc thanh loan chi phi cd lien quan va trudi khoan lhanh toan da thuc nhdn truoc do (neu CO)

Giam tr ir giA tr) tai sAn t i l m An rui ro thanh toAn

Cdng ty duoc dieu chinh giam tru phSn gia tn tAi san bao dam cua ddi tac, khach hAng khi xAc dinh giA tn tai san Hem an rui ro thanh toan quy dmh tai khoan 1 Dieu nay trong truong hyp cac hyp ddng, giao dich nay dap ung day du cac didu kiAn sau

a) Dot tac khAch hang cd tAi san bao dam thuc hien nghia vu cua minh va tai san bao dam la tidn. cAc khoan tuong ducmg tien, giAy to cd gia, cdng cy chuyen nhuyng tren thi truong tien If , chung khoAn mem yet, ddng ky giao dich tren So Giao dich Chung khoan, trai phieu Chinh phu, trAi phieu duyc Bd Tai chinh bao lAnh phAt hAnh,

13

CONG TY C6 PHAN CHU NG KHOAN TRI V lET Tang 2, so 142 DOi Can Quyn Ba Dmh, TP Ha Noi

BAO CAO TV LE AN TOAN TAI CHINH Tgi ngay 30 thang 06 nSin 2017

b) To chuc kmh doanh chung khoan c6 quyen dinh dogt, quan ly, su dyng, chuyen nhuyng tai san bao dam trong truong hyp doi tac kh6ng thuc liign nghia vy thanh toan day du vA dung thdi han dA thoa thuan tai cac hop dong

Gia tn tAi san bao dam duyc giAm trir duyc xac dinh nhu sau

Gid m lai son bao dam = Khoi lucmg lai san * Gia lai san * (1 He so nil ro thi tntcmg}

Gid lai san dupe xac dinh theo nguven lac quv dinh cua Thong tu 226/2010/TT-BTC ngay 31 thang 12 ndm 20JO dupe trinh bayo Thuyei mmh so 3

Hi so rui ro th] truong dupe xac dinh theo quy dmh cua Thdng tu 226/201 OfTT-BTC ngay 31 thang 12 ndm 2010 duoc trmh bay a Thuyet mmh so 4

GiAm trugiA trj rui ro thanh toAn

Gia tri rui ro thanh toAn phai duyc didu chmh tAng them trong cAc truong hyp sau

a) Tang thdm 10% trong tnrcmg hop giA tn khoan cho vay doi vdi mdt td chuc cA nhan vA nhdm td chirc ca nhan hen quan (ndu co), chidmtu 10% 101 15% Von chu so huu,

b) Tang thdm 20% trong trudng hyp giA tri khoan cho vay ddi vdi mdt td chuc, cA nhAn vA nhdm Id chdc, cA nhan hen quan (ndu co). chidm tu 15% tdi 25% Von chu so huu

c) TAng them 30% trong truong hop gia tn khoan cho vay ddi \ d i mdt to chuc, cA nhan va nhdm to chuc, cA nhan hen quan (ndu cd), hoAc mdt ca nhan vA cAc ben lidn quan toi cA nhan dd (ndu cd), chiem tu 25% Von chu so huu tro len

GiA trj rui ro hoat ddng

Gia tn rui ro hoat ddng la gia tri tuong img vdi muc dd ton that co thd xay ra do Idi ky thuat, Idi lie thong va qm trinh nghipp vu, Idi con nguoi trong qua trinh tac nghipp ho^c do thieu vdn kinh doanh phat sinh tir cac khoan chi phi Id tir hoat ddng dau tu, hoac do cac nguven nhan khach quan khac Rui ro hoat dyng cua to chuc kmh doanh chung khoan duyc xac dinh bang 25% chi phi duy tn hogi done cua td chdc kmh doanh chung khoAn trong vong mudi hai (12) thAng Iidn kd tinh toi thang gan nhat hoAc 20% Von phap dinh theo quy dmh cua phap luat, niv thudc vao gia tn nao !cm hem

GiA tn rui ro hoat dyng

Chi phi duy tri hoat ddng cua td chdc kinh doanh chung khoAn duac xAc dinh bang tdng chi phi phAt sinh trong k^' tru di a) Chi phi khau hao b) Du phdng giam giA dau tu ngan han, c) Du phong giam gia dau tu dai han,

d) Dy phong phai thu khd doi

14

CONG TY CO PHAN CHUNG KHOAN TRI VIET Tang 2, so 142 D6i Can Qu^n Ba Dinh, TP Ha N91

BAO CAO TV L f AN TOAN TAI CHINH T^i ngay 30 thang 06 nam 20! 7

IV T H U V E T MINH C A C C H I T I E U C H U V E L T R E N BAO C A O T V L f AN TOAN TAI C H I N H

I . T 6 N G G I A T R ] R U I R O T H ] T R U Q N G

A . R U I R O T H I T R U Q N G

Donv i tmh VND

CAc hang muc dAu tir tai ngav 30 thang 06 nam He so ^ . ^ . - < * . 0 0 I Quy mo rui ro Gia tri rui ro

2017 rui ro ^ •' '

(I ) (2)

I . Tien v4 cAc khoan tinmg dutmg tien, c6ng cy thi trudmg tien t?

1 Tidn 0% 81 737 925 657

2 CAc khoan tuong duong tidn 0% 23 500 000 000 3 GiAy to CO gia. c6ng cu chuyen nhuyng trdn 0%

thi truong tien td

II . TrAi phieu Chinh phu 4 TrAi phieu Chinh phu khong tra lai 0% 5 TrAi phieu Chinh phu tra ISi suit cuong phieu

5.1 TrAi phieu Chinh phu, TrAi phidu Chmh phu 3% cAc nuoc thudc khoi OECD hoac duyc bao lanh boi Chinh phu hoac Ngan hang Trung uong cua cac nuoc thuyc khoi nay, Trai phieu duyc phat hanh boi cac to chuc quoc te IBRD, ADB. lADB, AfDB, ElB va EBRD

5.2 TrAi phidu c6ng trinh duoc Chinh phu, B6 TAi 3% chinh bao lAnh co thai gian dao han con lai dual 1 nam,

TrAi phidu c6ng trinh duoc Chinh phu. Bo TAi 4% chinh bao lanh co ihoi gian dao han c6n iai tu 1 tdi 5 nam,

Trai phieu c6ng trinh duoc Chinh phu. Bo TAi 5% chinh bao lanh co thai gian dao han con lai tu 5 nam try Idn,

III Trai phieu doanh nghiyp 6 Trai phieu mem ydt cd thdi gian dAo han cdn 8%

lai duoi 1 nam, ke ca trAi phieu chuyen doi

TrAi phidu nidm ydt cd thdi gian dao han tu 1 15% toi 5 nam ke ca trai phieu chuyen ddi

TrAi phieu mem yet cd thdi gian dao han tir 5 20% nam tro len, ke ca trAi phieu chuyen ddi

7 Trai phieu khdng mem yet c6 ihdi gian dao 25% han cdn lai dudi 1 nam, ke cA trAi phieu chuven ddi TrAi phieu khdng mem ydt cd thai gian dao 30% han tu 1 tdi 5 nam, kd ca trAi phieu chuyen ddi

(3)=(l)v(2)

15

C O N G T Y C6 P H A N C H L ' N G K H O A N T R I V I E T Tang 2, s6 142 Ddi Can, QuAn Ba Dinh, TP Ha Noi

B A O C A O T V L E A N T O A N T A I C H I N H Tai ngay 30 thang 06 nSm 2017

Trai phieu khong mem yet co thoi gian dAo 40% han tu 5 nAm tro len ke ca trAi phieu chuvdn doi

I I C6 phieu - Co phieu pho Ih6ng. cd phidu iru d3i cua cAc 10% 3 580 800 358 080 td chuc mem ydt tai So Giao dich Chung khoAn Hd Chi Mmh, chung chi quy mo

- Cd phidu phd thdng, co phidu uu dAi ciia cAc 15% '2 307 200 ] 846 080 to chuc mem yet tgi So Giao dich Chung khoAn Ha Ndi

Cd phidu phd thdng cd phidu uu dSi cac cdng 20% 1 302 300 260 460 ty dai chung chua mem yet, dAng ky giao dich qua hd thdng UpCom

- Cd phidu phd thdng, cd phieu uu dAi cua cAc 30% cdng ty dgi chung dA dang k^ luu ky, nhung chua nidm ydt hoac dang ky giao dich, cd phieu dang trong dot phat hanh Ian dau (IPO)

Cd phidu cua cAc cdng ty dgi chung khac 50%

V Chung chi quy dau tu chung khoan 13 Quy dai chung 10% 14 Quy thanh vien 30%

I I I , Chung khoAn bi han che giao dich Chung khoAn bi tam nguni; giao dich 40% Chune khoAn bi huy mem yet, huy giao dich 50%

V I I Chtrng khoAn khAc Co phan phan von gdp vA cAc loai chimg 80% 12 200 000 000 9 760 000 000 khoan khac

V in R U I ro tAng them

T O N G G I A T R I R U I R O T H I T R U O N G 9 762 464 620

( I + I I + I H + I V )

16

C O N G T i C O P H A N C H I N G K H O A N TRI V I E T Tang 2, so 142 Ddi CAn Quan Ba Dmh. TP Ha Ndi

B A G C A O T V L $ A N T O A N T A J C H I N H T?! ngay 30 thang 06 nAm 2017

2 T Q N G G I A T R [ R U I R O T H A N H T O A N

Loai hinh giao djoh

I R U I ro triro'c Ihoi han thanh loan 1 Tidn gm kj ' han va cAc

khoan tien cho vay khdng c6 tai san bao dam ( ' )

2 Cho vay chrnig khoAn 3 Va> chimg khoAn 4 Hyp ddng mua chung khoan

c6 cam ket ban lai 5 Hop ddng ban chimg khoan

CO cam ket mua lai 6 Hyp ddng cho vay mua ky

quy (cho khach hang va; mua chung khoan) Cac thoa thuAn kmh te co cung bAn chat

I I R U I ro qua thdi han thanh toan

Thoi gian qua han

1 0-15 ngay sau thdi han thanh toan, chuyen giao chimg khoAn

2 16-30 ngAy sau thoi han thanh loan, chuyen giao chung khoan

3 31 - 6 0 ngay sau then han thanh toan, chuyen giao chung khoan

4 Tu60ngAytrddi

TONG GIA TR| RUi R O THANH TOAN

0) a) (3) (4)

Don VI tinh VND

G i i I n n i l ro

(5) (6)

100%

Tdng gia tn rui ro

5 525 104 330 5 525 104 330

H S R R Quy mo rui ro GlA t n rui ro

16%

32%

48%

5 164 053 630 5 164 053 630

10 689.157 960

17

C O N G T V C O P H A N C H U N G K H O A N T R I V I E T Tang 2, so 142 Dpi Can QuAn Ba Dinh, TP Ha Noi

B A O C A O T V L E A N T O A N T A I C H I N H Tpj nga>' 30 thang 06 n im 2017

(•) RUI RO TRLi'OC THOI HAN THANTI TOAN

GlA tri tAi san Ty Gia tn Tai san khong c6 TS GiA trj rui ro lhanh ly

RR N6i dung Phai Ihu khong c6 TS dam bao

GlA tn ghi sd dam bao dam bao toAn

NhCt Dinh Hidu 6 500 000 000 6 500 000 000 520 000 000

Nguyin VAn Hieu Cong t>- CP Kinh doanh nua Dijui

7 500 000 000 7 500 000 000 600 000 000

\Jng trudc ti6n bAn ck Cone phai thu khong co TSDB

37 438 804 130

51.438 804 130

37 438 804 130

51.438 804.130

2 995 104 330

4.115 104 330

T i l n gui CO ky h?n C6ng Tien gui co ky han HS cho vay mua ky quy

23 500 000 000

23 500 000.000

6 784 099 098 40.910 208 710

23 500 000 000

23 500.000 000

1 410 000 000

1.410 000 000

Tdng cdng 81 722 903 228 40 910.208 710 74 938,804 130 5 525.104 330

8%

8%

8%

6%

18

C O N G T \ C 6 P H A N C H C N G K H O A N T R I V I E T Ting 2. sd 142 Dpi Can. Quan Ba Dinh. TP Ha Npi

B A O C A O T Y L £ A N T O A N T A J C H I N H Tgi ngay 30 thang 06 nAm 2017

3 . T Q N G G I A T R J R U I R O H O A T D Q N G

Dcm V] tinh VND

RUI R O H O A T DONG

Gia tr| I. Tong chi phi hogt dpng phat sinh trong vdng 12 thing 18 205 793 689

H Cac khoan giam trir khoi tong chi phi 1.115 798 2 2 2

1 Chi phi khiu hao 415 425 743

2 Du phong giam gia (3§u tu chung khoan ngAn han (70 133)

3 Dp phong giam gia dAu tu chiing khoan dai han

4 Dp ph6ng phai thu khd doi 700 442 612

HI Tong chi phi sau khi giim trir (111 = 1 - 1 1 ) 17 0 8 9 995 468

IV. 2 5 % Tong chi phi sau khi giam trir (IV - 2 5 % HI) 4 272 4 9 8 867

V. 2 0 % VSn phap djnh cua to chuc kmh doanh chung khoin 7 000 000 000

C T Q N G G I A T R I R U I R O H O A T DONG (C=Max { I V , V ) ) 7 .000.000 000

19

C 6 N G TV C 6 PHAN C H t N G K H O A N TRI M E T Tang 2, so 142 Dpi Can, Qu^n Ba Dinh. TP Ha N^i

BAO CAO TV L $ AN TOAN TAl CHINH Tai ngay 30 thang 06 nAm 2017

4. V O N K H A D V N G

S T T NOI DUNG

Tai ngav 30 thing 06 nSm 2017

A Ngudn vdn 1 Von chu so hihi khong bao gom cd

phan inj dAi hoan lai {neu co) 2 ThAng du vdn cd phin 3 Cd phieu quy 4 Quy du tril bd sung vdn dieu )? 5 Quy dau m phat men 6 Quv dp phong tai chinh 7 Qub khac ihudc vdn chu so hCu g Lpi nhuan luy kd va loi nhuAn chua

phan phdi truoc khi mch lap cac khoan du phong theo quy dinii cua phap luat ( I )

9 Chenh lech danh gia i^i tai sAn (50% ting them hoAc 100% giam dl)

) 0 Chenh lych tv' gia hdi doai 11 LOT ich cua co ddng thidu sd 12 Cac khoan no cd the chuyen ddi 13 Toan bd phan giam di hoAc cAng

them cua cac chung khoan tai chi tieu dau tu lAi chinh

C§ng

lA Tong

vdn kha dung

150 200 000 000

300 927 470

500 927 470

10916 323 241

vdn kha dyng

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161 718 178 181

51 078 154

51 078 154

1 467 736

1 467.736 161.668 567,763

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5.694 369 814

5.221.953.427

57 899 797

5 164 053 630

10.916 323.241

20

CONG TV C6 PHAN CHUNG KHOAN TRI VIET Tang 2, so 142 Ddi Can QugnBaDinh TP HaNpi

BAO CAO TV LE AN TOAN TAI CHINH Tai ngay 30 thang 06 nam 2017

S T T NQI DUNG vdn kha dyng

vdn kha dung Khoan giim tru-

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7 353 843

1.101.271.197

Phdi thu cua khach hang cd thai han thanh todn con Igi lu 90 ngay tro xuong

Phai thu ciia khach hang co then han thanh loan con Igi tren 90 ngay

2 Tra trudc cho nguai bAn - 303 576 750 3 Phai thu npi bo ngan hgn

Phai thu noi bo co thai han thanh toan con Igi lu 90 ngay tro xuong

Phai thu noi bo co thai han thanh loan con lai tren 90 ngay

^ Phai thu hoat dpng giao dich chung khoAn

Phai thu hoal dong giao dich chung kliodn co thai hgn thanh todn con lai tie 90 ngay tra xuong

Phai thu hoal ddng giao dich chimg klioan co thai han thanh todn con Igi tren 90 ngay

21

C 6 N G T Y C 6 P H A N C H U N G K H O A N T R I V I E T Tang 2 so 142 Dpi Can Qugn Ba Dinh TP Ha Ndi

B A O C A O T V L E A N T O A N T A I C H I N H Tai ngay 30 thang 06 nam 2017

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Phai Ihu khac co thai han lhanh " ''^^ '^^'^ '^^'^ loan con lai tren 90 ngay

. Du phong phai thu ngSn han ^ kho ddi ( ' )

IV Hang ton kho III Tdi san ngfin han khdc 883 755 746 1 Chi phi tra trudc ngan hpn - 293 566 552 2 Time GTGT dupe khau tru

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Tam img co thai han hoan img con lai lu 90 ngay tra xuong

Tam ung cd thai han hoan ung - "̂ 3̂ '̂ ^^ con lai tren 90 ngay

Phai thu khac tai san ngan han - ^^'^ '^'^ khac

I B Tong - 1 992 380 786

22

CONG TV C 6 PHAN CHUNG KHOAN TRI \ lET BAO CAO TV AN TOAN TAI CHINH TAng 2, so 142 Doi CAn, Quan Ba Dmh, TP HaNdi Tgi ngay 30 ihAng 06 nAm 2017

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C TAl sAn dai han / Cac khodn phai Ihu dai hgn 1 Phai thu dai hgn cua khach hang

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Phai ihu dai han npi bd cd thai han lhanh loan con Igi tren 90 ngay

4 Phai thu dai han khAc Phat ihu dai han khac co thai han thanh loan con Iqi tren 90 ngay

] 5 DP phai thu dai han kho ddi ( ' ) J Taisancdd/nh - 1.914767740

I I Bat d^ng san dtiu tie Cac khoan dau tir tai chinh dat han

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4 DAu tu dai han khac Du phong giam gia dau tu tAi chinh dai han ( ' ) Tin san dai han klidc - 2.S04 221.785

154 957 197 452

4 718 989 525

23

CONG Ty CO PHAN CHUTVG KHOAN TRI VIET Ting 2 so !42 Dpi Cln , QuAn Ba Dinh, TP Ha Npi

BAO CAO TV ht AN TOAN TAI CHINH Tyi ngay 30 thang 06 nAm 7017

MUC DICH SU DVNG BAO CAO

Bao cao tv I f an toAn tAi chlnh nAy dirpc lAp theo hircmg dan tyi Th6ng ttr s6 226/2010/TT-BTC ngA> 31/122010 cua Bp Tai chmh va u'long tu so leSQOn-TT-BTC ngay 9 thang 10 nAm 2012 sua doi bo sung Thdng tu s6 2262010/7T-BTC cua Bp Tai chinh vA chi duoc su dung de npp cho cAc co quan quan ly Nha nuoc co tham quy en

Ha NQI, ngay 24 thdng 07 ndm 2017

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