CONG TV CO PHAN

CHUNG KHoAN TOAN cAu

CONG HOA xA HOI CUU NGHiA VIET NAM. . .DQc l~p - Tl}' do - Hanh phuc

Ha N6i, ngay 30 thdng 03 nam 2018

CONG BO THONG TIN TREN CONG THONG TIN BIEN TU CVA uv BAN CHUNGKHoAN NHA xuoc VA sa GIAO DJCH CHUNG KHoAN

Kinh gfri: Vy ban Chung khoan Nhit mrocSO'Giao djch Chung khoan Hit NQiSO'Giao djch Clnmg khoan Tp. Ha Chi Minh

Ten t6 chirc: Cong ty c6 phan chirng khoan Toan C~u

Dia chi tru sa chinh: T§.ng 15, Toa nha Diamond Flower, s6 48 duong Le Van Luong,khu do thi m61 N2, Phuong Nhan Chinh, Quan Thanh Xuan, Thanh ph6 Ha NQi

Dien thoai: (84-24) 3377.6699

Ngiroi thuc hien cong b6 thong tin: D6 Trung Son - Thanh vien HDQT kiem T6ngGiam d6c

Loai thong tin cong b6:

D24 gio D 72 gio DBit thuong DTheo yeu du 0 Dinh ky

NQi dung thong tin dn cong b6:

Cong ty C6 phan Chung khoan Toan C~u cong b6 thong tin v~ Bao cao ty l~ an toan tai chinhtai ngay 31.12.2017 dii duoc ki~m toano

Thong tin nay chi ti€t dii diroc cong b6 tren trang thong tin dien nr cua Cong ty vao ngay 30thang 03 nam 2018 t<;lidUOngd~n: http://vgs.vnlcategory/quan-he-co-dong/

Tai lieu ainh kern:- Bao cao tY l~ an toan tai chinh t(1ingay31.12.2017 aa aur;rckidrn toan.!

DO TRUNG SON

•••

•CONGTYCOpHANCHUNGKHOAN

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TOANCAUBAo cAo ITL¥ ANToAN TAl CHiNH BA BUQCKIEM ToAN

T,i ngay 31 thing 12 nam 2017

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C6NGTY co pllANcnuxc KHoAN ToAN cAuTAng 15 Toa nha Diamond Flower, se 48 DUCmgLe Van Luong, Khu Do thi moi N2, PhuongNhan Chinh, Qu~ Thanh Xuan, Thanh ph6 Ha NQi

MVCLVC

TRANG

BAo cAo CVABAN TONGGIAMDOC

BAo cAo KIEM ToAN DOCLAp

BAo cAo TY LEAN Tom TAI cHiNH

BANTHUYETMINH BAo cAo TY LEAN Tom TAI cHiNH

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CONG TY CO pHAN CHUNG KHoAN ToAN cAuTAng 15 Toa nha Diamond Flower, S6 48 Duong Le Van Luong, Khu do thi moi N2, Phuong NhanChinh, Quan Thanh Xuan, Ha NQi

BAo cAo CVA BAN TONG GIAM DOC

Ban T6ng Gifun d6c Cong ty C6 phAn Chirng khoan Toan (goi t~t "Cong ty") trinh bay Bao cao cua minhcling voi Bao cao 1)' l~ an toan tai chinh cua Cong ty tai ngay 31 thang 12 nam 2017 dll duoc kiem toano

HQI DONGQuAN TRJ vA BANTONGGIA.MDOeHQi dbng quan tri va BanT6ng Giani d6c Cong ty trong nam va dSn thoi di~m l~p Bao cao nay gbm:

HQva ten Chuc vu NwbJnhi~m Nwtitnhi~mHoi danK. g_uiin triBa Nguyen Thi Anh Chu tich 02/3/2017Ong TrAnPhuMy Chu tich 2010112017Ong Chau Vinh Quang Ph6 Chu tich 2010112017Ong Nguyen Due Thuan Ph6 CM tich 02/3/2017Ong Mai Van Cong Thanh vien 2010112017Ong Nguyen Bao Thanh Thanh vien 2010112017Ong Hoang Bi6u Thanh vien 2010112017 ::;

Ong Nguyen Thanh Phong Thanh vien 5/4/2017 ..l

ang D6 Trung Son/

Thanh vien 02/3/2017ang TrAnDuc ChiSn Thanh vien 02/3/2017 <IBan TanK. Giam dac ,ang D6 Trung Son TAng Giam d6c

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02/3/2017 1

ang CMu Vinh Quang TAng Giam d6c.::::

02/3/2017ang Nguy~n M~nh Toan PhO TAng Giam d6c 111412017

KIEM ToAN vrENCong ty 1NHH Ki~m toan - Tu vAnDAtVi~t (Vietland) dll dUQ'cchi dinh ki~m toan Bao clio 1)' l~ an toantai chinh t~i ngay 31 thang 12 nam 2017 cua Cong ty.

eONG BO TRAeH NHIEM eVA BAN TONG GIA.MDoe DOl VOl BAo cAo TV LE ANToANTAICHiNH . .

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DO TRUNG SON- TAng Giam d6c

Thanh ph6 Ha NQi, ngay 28 thang 3 nam 2018

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s6: 0125/2018IBCTLATTC-KTV

02 Huynh Khuong Ninh StreetDistrict 1,Ho Chi Minh City

Tel: (84-28) 39105401Fax: (84-28) 39105402

Email: vietland@vietlandaudit.com.vn

BAo cAo KIEM TOANDQC L~P

Kinh girl: QUY CO DONG, HOI DONG QuAN TRJ vA BAN TONG GIAM DOCCONGTYCOPHANCHUNGKHOANTOANCAu

Chung t6i da kiem toan Bao cao ty I~ an toan tai chinh tai ngay 31 thang 12 nam 2017 cua C6ng ty C6phan Chung khoan Toan C~u, duoc I~p ngay 28 thang 3 narn 2018, tir trang 5 dSn trang 16 kern theo.

Trach nhi~m ella Ban TAngGiam dBe

Ban T6ng Giam d6c C6ng ty chju trach nhiem vS viec I~p va trinh bay trung thirc va h9P Iy Bao cao tY I~an toan tai chinh cua C6ng ty thea Chuan mire kS toan, ChS dQkS toan Vi~t Nam va cac quy dinh phap Iyco lien quan dSn viec I~p va trinh bay Bao cao ty I~ an toan tai chinh va chiu trach nhiern vS ki~m scat nQibQ rna Ban T6ng Giam d6c xac dinh la dn thiSt d~ dam bao cho vi~c I~p va trinh bay Bao cao tY I~ antoan tai chinh kh6ng co sai sot tr9ng ySu do gian I~n ho~c nh~m I~n.

Traeh nhi~m ella Ki~m toan vien

. Trach nhi~m cua Chung t6i la dua ra y kiSn vS Bao cao tY I~ an toan tai chinh dl,fa tren kSt qua cua cUQcki~m toano ChUng t6i da tiSn hanh ki~m toan thea cac ChuAn ml,fCki~m toan Vi~t Nam. Cac chufrn ml,fcnay yeu du ChUng t6i tuan thu chufrn ml,fc va cac quy dinh vS dl;loduc nghS nghi~p, I~p kS hOl;lchva thl,fchi~n cUQcki~m toan d~ dl;ltduqc Sl,fdam bao hqp Iy vS vi~c Bao cao tY I~ an toan tai chinh ctia C6ng ty cocon sai sot tr9ng ySu hay kh6ng.

C6ng vi~c ki~m toan bao gbm thl,fc hi~n cac thti f\lc nh~m thu th~p cac b~ng chUng ki~m toan vS cac s6li~u va thuySt minh tren Bao cao tY I~ an toan tai chinh. Cac tM t\lC ki~m toan duqc Il,fach9n dl,fatren xetdoan cua ki~m toan vien, bao gbm danh gia rui ro co sai sot tr9ng ySu trong Bao cao tY I~ an toan taichinh do gian I~n ho~c nh~m I~n. Khi thl,fc hi~n danh gia cac rui ro nay, ki~m toan vien da xem xet ki~msoat nQi bQ cua C6ng ty lien quan dSn vi~c I~p va trinh bay Bao cao tY l~ an toan tai chinh trung th\lc, hqpIy nh~m thiSt kS cac tM f\lc ki~m toan phu hqp v&i tinh hinh th\lc tS, tuy nhien kh6ng nh~m m\lc dich duara y ki~n vS hi~u qua cua ki~m soat nQi bQ ctia C6ng ty. Cong vi~c ki~m toan cling bao gbm danh gia tinhthich hqp cua cac chinh sach k~ toan duqc ap d"mg va tinh hqp Iy cua cac u&c dnh k~ toan cua Ban T6ngGiam d6c dIng nhu danh gia vi~c trinh bay t6ng th€ Bao cao tY I~ an toan tai chinh.

Cnung toi tin tuOng r~ng cac b~ng chung ki€m toan rna Chung toi da thu th~p duqc la ddy dti va thich hqplam CO' So'cho y ki~n ki€m toan cua Chung toi.

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Theo y kiSn cua Chung toi, Bao cao tY I~ an toan tai chinh da phan anh trung th\fC va hqp Iy, tren cac khiacl;lnhtr9ng ySu, tY l~ an toan tai chinh (tY I~ v6n kha d\lng) ctia Cong ty C6 ph~n ChUng khoan Toan C~utl;lingay 31 thang 12 nam 2017, phil hqp v6i quy dinh tl;liThong tu s6 87/2017/TT-BTc; ngay 15 t~ang 8nam 2017 cua BQ Tai chinh quy dinh ve chi tieu an toan tai chinh va bi~n phap xu Iy doi v6i cac to chuckinh doanh chUng khoan khong dap ung cac chi tieu an toan tai chinh.

3

BAo cAo KIEM ToAN DOCL~P (ti€p theo)

Thanh ph6 H6 Chi Minh, ngay 28 thang 3 nam 2018

Noi ohio:Nhu trenLiru Vietland

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S6 cong van: .VIv: Bao cao tY l~ an toan tai chinh Thanh ph6 Ha NQi, ngay 28 thang 3 nam 2018

BAo cAo TY L:¢ AN ToAN TAl CHINHT~i ngay 31 thang 12 nam 2017

Kinh gUi: uv BAN CmJNGKHoAN NHA xrrocChung toi cam doan r~ng:

(1) Bao cao diroc xay dung tren co sa s6 li~u diroc c~p nhat tai ngay l~p bao cao va diroc l~p theadung quy dinh tai dinh tai Thong nr s6 87/2017/TT-BTC ngay 15 thang 8 nam 2017 cua BQTaichinh quy dinh v~ chi tieu an toan tai chinh va bien phap xu ly d6i voi cac tA chirc kinh doanhchirng khoan khong dap (eng cac chi tieu an toan tai chinh; (

(2) D6i voi nhtrng vAn d~ co th~ anh huang dSn tinh hinh tai chinh cua Cong ty phat sinh sau ngayl~p bao cao nay, chUng toi se c~p nh~t trong kY bao cao tiSp thea; \

. xin holm toiin chiu trach nhi~m truac Phap lu~t v8 tinh chinh xac va trung th\fc Clla

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5

CONG TY CO pHAN CHUNG KHOAN ToAN cAuTc\ng15 Toa nha Diamond Flower, 86 48, Duong Le Van Luang, Khu Do thi mol N2, Phuong Nhan Chinh, Quan ThanhXuan, Thimh ph6 Ha NQi

BAo cAo TY Le AN ToAN TAl CHiNHT~i ngay 31 thang 12 nam 2017

BANG TONG H<}PcAc CHi TIEU RiJI RO vA VON KHADVNG

Tal ngay 31 thang 12 nam 2017

TT Cac ehi tieu Chi ti~tGia tr] riii ro

Nan khs dung

1. Tang gia tri rui ro th] tnrong pHANlIA -2. Tang gia tr] rui ro thanh toan pHANlm 166.799

3. Tfmg gia tri rui ro hoat dQng pHANIIC 7.000.000.000

4. Tang gia tr] riii ro (4=1+2+3) pllANn 7.000.166.799

5. van khs dung pHANI 13.897.688.907

6. Ty I~van khs dung (6=5/4) 198,53%

"thang 3 nam 2018

DOTRUNGSONTang Giam dae

~~TRAN THl THANH HAlK~toan trU-cYog

rnUN THl THANH HAlNgu-Ol l,p bi@u

6

CONGTYCOPHANCHUNGKHOANTOANCAuTAng15 Toa nha Diamond Flower, S6 48, Duong Le Van Luang, Khu £)6 th] mci N2, Phuong Nhan Chinh, Quan Thanh Xuan, Thanhph6HaNQi

BAo cAo TV U;: AN ToAN TAl CHINHT\}.ingay 31 thang 12 nam 2017

PHAN I. BANG TiNH VON KHA Dl)NGDan vi tlnh: VND

Van kha dyng

TT N(li dungVan kha dyng Khoan giam tru Khoan tang them

A. Van Chii sO-hfru (1) (2) (3)

1. Von gop cua chu so hilu khong bao gam eo phan uu diii hoan 35.000.000.000lai (n~u eo)

2. Thang dir von eo phan khong bao gom eo phan tru diii hoanlai (n~u eo)

3. Cc phieu quy4. Quyen chon chuyen doi trai phieu - Cau phan von5. Von khac cua chu so hilu6. Chenh lech danh gia tai san thea gia tri hO'PIy7. iQuydu tru bo sung von dieu Ie8. IQuyd\l phong tooehinh va rui ro nghieo vu9. IQuykhac thuoc von Chu so hilu10. Lui nhuan sau thue chua phan phoi (5.059.036.563)11. So du du phong suy giam gia tri tai san 951.450.46612. Chenh I~eh danh gia I~i tMsan eo dinh13. Chenh I~eh tV gia hoi doai14. Cae khoan n(1eo th~ ehuy~n doi

15. Toan phan giam di ho(ie tlillg them eua eae ehUng khoan t~iehi tieu d§.uttl tai ehinh

16. Von khae (neu eo)lA TAng 30.892.413.903

B. Hi san ngan hanI. Tiii san liii chfnh 12.181.419.5141. THlnva eae khoan tU(JIlgdU(JIlgtien2. Cae tai san tai ehinh ghi nhan thong_qua liii 16(FVTPL)

- ChUngkhoan tiem an rlii ro thi trllang- ChUngkhoan bi giam trU kh6i von khil dung

3. Cae khoan dau ttl nam gift den ngay dao han (HTM)- ChUngkhoan tiem an rlii ro thi trllang- ChUngkhoan bi giam trir kh6i von khil dl,lllg

4. Cae khoan eho vay5. Tili san tai ehinh snn sang de ban (AFS)

- ChUngkhoan tiem an rlii ro thi trllang- ChUngkhoan bi giam trU kh6i von khil dl,lllg

6.D\l phOng suy giam gia tri eae tM san tai ehinh va tai san theeh~p

7.Cae khoan phili thu (Phili thu ban eae tili san tai ehinh, Philithu va d\l thu e6 tire, Ti~n liii t\:r eae tai san tai ehinh)

- Cae khoan phili thu eo thm h~ thanh toan eon I~i t\:r 90ngay tra xu6ng- Cae khoan phili thu eo thm h~ thanh toan eon I~i tren 90 5.376.833ngav

8. ChUngQUyeneo bao dam ehua pMt hanh het

9. ChUngkhoan eo so ph\le V\I m\le dieh phOng ngira rill ro khiIpMt hanh ehUngQuy~neo bao dam

10. Phai thu eae dieh V\I eong ty ehUngkhoan eung eap- Cae khoan phili thu eo thm h~ thanh toan eon l\1i til 90ngav tra xu6ng- Cae khoan phili thu e6 thm h~ thanh toan eon l\ii tren 90 4.541.129ngav

11. Phili thu n6i b6- Cae khoan phili thu e6 thm h~ thanh toan eon I~i tu 90ngily tra xu6ng- Cae khoan phoo thu eo thm h~ thanh toan eon 1\1itren 90ngay

12. Phili thu ve 16igiao dieh ehUngkhoan

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7

CONG TY co PHANCHUNG KHoAN TOAN cAuTang 15 Toa nha Diamond Flower, S6 48, Duong Le Van Luong, Khu Do th] rnoi N2, Phuong Nhan Chinh, Quan Thanh Xuan, Thanhph6HaNQi

BAo cAo TY Ll;: AN ToAN TAl CHINHT' '31 h' 12 2017~l ngay tang nam

+ Cac khoan phai thu e6 thoi han thanh toan eon lai til 90nzav tro xu6ng+ Cac khoan phai thu e6 thoi han thanh toan con lai tren 90ngily

13. Cac khoan nhai thu khac+ Cac khoan phai thu e6 thoi han thanh toan eon lai til 90naav tra xuona+ Cac khoan phai thu e6 thoi han thanh toan eon I~i tren 90 12.171.501.552nzav (*)

14. Du phong suv aiam gia tri cac khoan phai thuIL Tiii san nJ!dnhan khde 144.116.6401. Tam (mg

T\IIllirng e6 thoi han hoan img eon lai til90 naav tra xuonzTam ung e6 thoi han hoan irng eon lai tren 3.300.00090 nzav

2. V~t nr van phong, eong cu dung cu3. Chi phi tril truae ngiin h\lIl 140.816.6404. Cam eo, the ehlip, kY quv,~ eUQ'engiin h\lIl5. Thue GTGT dUQ'ekhau trir6. Thu~ vii eae khoan phili thu nhil nuae7. Tili san ngiin h\lIlkhae8. Du phOngsuy giilm gia tri tili san ngiin han khae1B Tang 12.325.536.154C Tai san dai banI Tiii san liii ehinh diii h(ln1. Cae khoan phai thu dai h\lIl2. Cae khoan dl1utu

Cae khoan dau tu nllln gift den ngilv dao han (HIM)2.1 • Ch(mg khoan tiem linnii rothltruOng

• Ch(mg khoan hi giilm trir kh6i von kha d\lflg2.2 Bau tu vilo eong tv eon2.3 Bau tu vilo eong tv lien doanh lien ket2.4 BAutu dili h\lIlkhaeII Tiii san cD d;nh 2.766.395.056

/II Bill dong san ddu IIrIV Chi phi xdy dlrng elY ban dil dangV Tiii san diii h{ln khde 1.902.793.7861. Cam eo the ehlio. leV allv. leV euae dili han 247.795.0002. Chi phi tra truae dili han 766.883.5173. Tili san thue thu nhao hom lai4. Tien nop Quy H6 tra thanh toan 888.115.2695. Tili san dili ban khaeVL DIr phOngsuvgiam Rid IT;liii san diii han

Cac cbi tieu tai san hi eoi Iii khoan ngo~i trir, e6 y kien trainguQ'eho~e til eh6i dua ra y ki~n t~i bao eao tai ehinh nllln da:dUQ'ekiem toan, soat xet mil khong hi tinh giilm trir thea quydinh tai Bi~u 5

lC Tane: 4.669.188.842D Cae kboan kt aut. dam bao1. Gia tri ky QUY

Gia trj d6ng g6p vilo quy h6 trQ'thanh toan elia Trung tam1.1 Luu kY eh(mg khoan (d6i vm thi truOng eh(mg khoan phili

sinh)Gia trj d6ng g6p vilo quy bu trir eua doi tae thanh toan trung

1.2 tam d6i vm vi th~ rna ella ehinh thilnh vien bu trir (d6i vm !hitruOnI1'eh(m11'khoan oMi sinh)

1.3 Khoan kY quy biing tien vii gia tri hao lilnh thanh toan eliangan hanll:khi ohat hilnh eh(mll:auv6n e6 bilo dilm

2. Gia trj tai san dilm bilo eho eae nghia V\I phai tra e6 thOih\lIleon lai tren 90 nll:ilv

1D Tane: .VON KIIA DVNG = lA ·ID ·IC·lD 13.897.688.907

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8

CONGTYc6puANCnUNGKHOANTOANCAuTAng15 Toa nha Diamond Flower, 8648, Duong Le Van Luang, Khu Do th] moi N2, Phuong Nhan Chinh, Qu~ Thanh Xuan, Thanhph6HaN{\i

BAo cAo TY L);: AN ToAN TAl CHINHTQ.i ngay 31 thang 12 nam 2017

Gh; chu:B. TBisin n~inb,nL Tdi san ttl; chfnh13. Cackhoanphai thu khac

+ Cac khoanphai thu cO thci han thanh toan con I~ tren 90ngay (*)Baog6m:Cae khoan phdi thu co thOi han thanh todn con lat tren 90ngizyTrti tnf60c cho nguUi ban

12.171.501.552

3.171.501.552

9.000.000.000

IrI

9

CONG TYCO PHAN CHUNG KHoAN ToAN cAuTAng15Toa nha Diamond Flower, se 48, Duong Le Van Luong, Khu Do thi moi N2, Phuong Nhan Chinh,Quan Thanh Xuan, Thanh ph6 Ha NQi

BAo cAo TV Ll; AN TOm TAI cHiNHT~i ngay 31 thang 12 nam 2017

PHAN II.BANG TINH GIA TRJ RiJI RODon vi tinh: VND

pHANIURUIROTHITRUONG.Cac han muc dAu tu H~ sA rut ro Quy mo riji ro Gia tr] rul ro

(1) (2) (3) = (1) x (2)I. Ti~n va cac khoan tuong durrng ti~n, cong cu th]

6.337.763.131trmrng ti~n t~ -1. Ti~nmat (VND) 0% 6.337.763.131 -2. Cac khoan nronz duonz tien 0% -3. Gi~yta c6 gia, cong cu chuyen nhirong tren thi -

tnrong ti~n t~, chimg chi ti~n giri0%

II. Tra! phi~u chinh phii -4. Trai phieu chinh phu khong tra lal 0% -

5 Trai phieu Chinh phu tra lai su~tcuong phieu

Trai phieu chinh phu (bao g6m cong trai va trai -phieu cong trinh da phat hanh truce day), traiphieu Chinh phu cac nuac thuQc khoi DECD

5.1 ho~c dUQ"cbao lanh hOi Chinh pM ho~c ngiio 3%Mng trung uong cua cac nuac thuQckh6i nay,trai phi€u dUQ"cpMt hanh hOi cac t6 chuc qu6cy€ IBRD, ADB, AIDB, AFDB, EIB va EBRS

III. Trai phi~u doanh D!!hien -Trai phi€u niem yet c6 thai gian dao h~ con -l\lidum 1nam, k~ ca trai phi€u chuy~nd6i 8%

Trai phi€u niem yet c6 thai gian dao h~ con -l\li duai til 1 den duai 3 nam, k~ ca trai phi€u 10%

6. chuv€nd6iTrai phi€u niem yet c6 thm gian dao h~ con -l\li dum til 3 den dum 5 nam, k€ ca trai phi€u 15%chuv€n d6iTrai phi€u niem yet c6 thai gian dao h~n con -l~i til 5 nam tra len, k~ ca trai phi€u chuy€nd6i 20%

Trai phi€u khong niem yet c6 thm gian dao h~ -con l~i duai 1 nam, k€ eft trai phi€u chuy€nd6i 25%

Trai phi€u khong niem yet c6 thai gian dao h~n -con l~i duai til 1 den duai 3 nam, k~ ca trai 30%

7 ohi€u chuv~nd6iTrai phi€u kh6ng niem y€t c6 thai gian dao h~ -con l~i duai til 3 den dum 5 nam, k~ ca trai 35%Iphi€uchuven d6iTrai phi€u khong niem yet c6 thai gian dao h~ -con l~i dum til 5 nam tra len, ke ca trai phi€u 40%chuven d6i

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10

CONG TYCO PHAN CHUNG KHOAN ToAN cAuTAng 15 Toa nha Diamond Flower, S6 48, Duong U\ Van Luong, Khu Do thi moi N2, Phuong Nhan Chinh,Quan Thanh Xuan, Thanh ph6 Ha NQi

BAo cAo TV L1~:AN ToAN TAI cHiNHT~i ngay 31 thang 12 nam 2017

IV. C6 pbi~u - -8 C6 phieu ph6 thong, c6 phieu uu diii cua cac t6 -

chirc niem y~t tai So giao dich clnrng khoan 10%Tp.HCM, clnmg chi quy dai chung rna

9 C6 phieu ph6 thong, c6 phieu uu diii cua cac t6 -chirc niem y~t tai So giao dich chirng khoan Ha 15%Noi.

10 C6 phieu ph6 thong, c6 phieu uu diii cac cong -ty dai chung chua niem y~t, dang ky giao dich 20%laua he th6nl! UoCom

11 C6 phieu ph6 thong, c6 phieu iru diii cac cong -ty dai chung d1i dang kY hru ky, nhirng chuaniem y~t ho~c dang ky giao dich; c6 phieu 30%dang trong dot phat hanh lfut dAu (IPO)

12 C6 phi~u cua Cong ty dai chUng khac 50% -V. Cb.me; cbi qUV d§u tll cb.me; khoan -

13 Quy d~i chUng, bao g6m ca cong ty dAu tu 10%-

chieng khoan dai chUng14 Quy thanh vien, cong ty dAu tu chieng khoan 30%

-rieng Ie

VI. Cb.m khoan bi han cb~ e;iao dich -15 Chieng;khoan bi t~ ngimg giao dich 40% -16 50% -

Chieng khoan bi My niem y~t, My giao djchVII. ChUng khoan Phai sinh

-

17. HQ'Pd6ng tuong; lai chi s6 c6 phi~u 8%18. HQ'Pd6ng; tuong lai trai phi~u chinh ohU 3%

Vill. ChUng khoan khac -C6 ph§.n, phfut v6n g6p va cac lo~i chieng -

19. 80%khoankhacC6 phi~u niem y~t tren cac thi truOng nuoc -

20.ngoai thuoc chi s6 dat chufut

25%

C6 phi~u niem y~t tren cac thi truOng nuoc -21.

ngoai khong thuoc chi s6 dat chufut100%

Chieng quy€n c6 bao dam niem y~t tren So giao-

22.dich Chieng khoan Thanh ph6 H6 Chi Minh

8%

Chieng quy8n c6 bao dam niem y~t tren So giao -23.

dich Chieng khoan Ha Noi10%

Chieng quyen c6 bao dam do cong ty chieng24. khoan pMt hanh

I(Ro=(PoxOoxk-PlxOI )xR-MD)

Chieng khoan hlnh thanh tir ho~t dong phOng

25.ngira rui ro cho chieng quy€n c6 bao dam docong ty chieng khoan d1ipMt hanh (truOng hgpchieng quy€n c6 bao dam khong c6 11ii)

Phfut chenh l~ch giita gia tri chieng khoan co so

26. dimg d€ phOng ngira rui ro va gia tri chiengkhoan co so cfut thi~t de phOng ngira rui ro chochieng auv€n c6 bao dam

I

-3

,A

11

------------------- ------

CONGTyc6 pHAN CHUNG KHoAN ToAN cAuTAng15Toa nha Diamond Flower, se 48, Duong Le Van Luang, Khu Do thi moi N2, Phuong Nhan Chinh,Quan Thanh Xuan, Tbanh ph6 Ha NQiBAo cAo TV Le AN TOm TAl cHiNHT~i ngay 31 thang 12nam 2017

IX. Rtii ro tang them (n@uco) (au{1cxdc ainh tren ca sifvOnchu sit htiu ad tr(ch lQ-paay au cdc khoiin d(C -Iphong)

Mil chUng kh6an Mu-c tangQuy mo rtii ro Gia tr] rui rothem

1. .... - -2. .... - -

TONG GIA TRI RiJI RO TID TRUONG ( A = I + II + ill + IV + V + VI + VII + vm +IX) -

.,

12

CONG TY CO PHAN CHUNG KHoANTOAN cAuTang 15 Toa nha Diamond Flower, se 48, Duong Le Van Luang, Khu Do thi moi N2, Phuong Nhan Chinh, Quan Thanh Xuan, Thanh ph6 Ha Ni)i

BAo cAo TY Ll;:AN TOm TAl cHiNH31 12niUn2017

PHANIIB.G TRJ RUI RO THANH ToAN

TT Chitieu Gia tr] riii roI. Rui ro tnroc thai han thanh toan 166.799II. Rui ro qua thoi han thanh toan -ill. Rui ro tang them -

Tong gia tr] riii ro thanh toan 166.799

I. Riii ro trulYc thM h30 thaoh toanGia trj riii ro

Lo,i hinh giao djch 0,0% 0,8% 3,2% 4,8% 6,0% 8,0% Taog gia trj riii ro

(1) (2) -(3) (4) (5) (6)1. Ti8n giri c6 Icy han, cac khoim ti80 cho vay - - - - - 166.799 166.799

khong c6 tai san bao dam, cac khoan phai thu tilhoat dQng giao dich va nghiep V\I kinh doanhchirng khoan va cac khoan muc tiem An rui rothanb tnon IrhOC'

2. Cho vay t:ii san t:ii chinh/Cac thea thu~ kinh t~ - - - - - - -c6 cuna ban chAt

3. Yay t:ii san t:ii chinh/Cac thea thuan kinh te c6 - - - - - - -cunz ban chAt

4. HQ'pdAngmua tai san tai chinh e6 cam ket ban - - - - - - -I(li/Cac thoa thuen kinh te c6 cung ban chAt

5. HQ'pdAng ban t:ii san t:ii chinh c6 cam ket mua - - - - - - -Illi/Cac thoa thuj.n kinh te c6 cilDg ban chAt

TONG RUI RO TRU(1C THOI HAN THANH TOAN 166.799

Chi tiet h~ s6 riJi ro thanh toan thea d6i tac dUQ"exac djnh nhll sau:Doi tac thaoh toan cho ConI!: ty He s6 riii ro thaoh toao

Chinh phil, cae tAehirc pbat hanh dllQ"eChinh phil bao Imh, Chinh phil va Nglin hang Trung Iloog cae nllac thuQe(1) kh6i DECO; Uy ban nhlin dlin tinh, thanh ph6 tnrc thuQc Trung 1l000g; 0%

(2) Sa giao dich eh(mg khoan, Trung tam IIlUIcy ehimg khoan 0,80%TAehire tin d\lng, tAchire t:ii ehinh, tA ehire kinh doanh chimg khoan thanb I~p a cae nllae thuQc kh6i GECD va e6

(3) M s6 tin nhi~m dap img cae di8u ki~n kMe theo quy dinh nQi bQeila tAchire kinh doanh chimg khoan

3,20%TAchire tin d\lng, tAehirc t:ii chinh, tA chirc kinh doanh chirng khoan thanh I~p ngoai cac nllac DECO; ho~e thanh

(4) I~p lIIi cae nllac thuQc kh6i DECO va khong dap img cae di8u ki~n khae thea quy dinh nQibQ cila Cong ty4,80%

(5)TAchire tin d\lDg, tAchirc t:ii ehinh, tAchire kinh doanh chimg khoan thanh I~p va hO\ltdQng tlli Vi~t Nam

6%(6) Cae tAchire ea nhan khae 8%

II. Riii ro Qua thM h30 thaoh toao -ThM gian Qua h30 He s6 riii ro Ouv rna riii ro Gia tri riii ro

1. o - 15ngay sau thiri hllOthanh toan, ehuy~n giao chimg 16% - -khoan

2. 16- 30 ne:av sau thiri han thanh toan ehuy~n e:iao chime: 32% - -3. 31 - 60 nl(aVsau thiri han thanh toan ehuy~n giao chime: 48% - -4. Til 60 ne:av tra len 100% - -

TONG RUI RO QUA THffi HAN THANH TOAN -

III. Riii ro tio!! them

Chi ti~t tOi tirog khORO vay, tOi mog d6i tac Mire tiog them Quy rna riii ro Gia trj riii ro

- -TONG RUI RO TANG THEM -

\

13

CONG TY co PBAN CmJNG KIIoAN TOAN cAuTdng 15 Toa nha Diamond Flower, SB48, Duong Le Van Luang, Khu Do thi rnoi N2, Phuong Nhan Chinh, Quan Thanh Xuan, Thanh phBHaNQi

BAo cAo TY LI;:AN ToAN TAI cHiNHT~i ngay 31 thang 12 nam 2017

pHAN IIC. GIA TRJ RiJI RO HOAT DONG

TT Nqi dung Gia tr]

I. TAng chi phi heat dqng phat sinh trong yang 12 thang 18.794.873.388Cac khoau giam trir tAng chi phi 1.074.704.8911. Chi phi khau hao 851.593.8172. Chi phi! Hoan nh~p du phong suy giam gia tri cac tai san tai chinh va tai san the chap ngan han -

II. 3. Chi phi! Hoan nhap du phong suy giam gia tri cac tai san tai chinh dai han -4. Chi phil Hoan nhdp dir phong suy giam gia tr] cac khoan phai thu -5. Chi phi! Hoan nhdp du phong suy giam gia tri tai san ngan han khac -6. Chi phil Hoan nh~p dir phong suy giam gia tr] tai san dai han 223.111.074

III. TAn2 chi phi sau khi giam trir (III = I - II) 17.720.168.497IV. 25% TAng chi phi sau khi giam trir (IV = 25% III) 4.430.042.124V. 20% VAnphap djnh ciia tA chuc kinh doanh chang khoan 7.000.000.000

TONG GIA TRI RiJI RO HOAT DONG (MAX{JV,V}) 7.000.000.000

,/.,~,,

14

CONGTYCOPHANCHUNGKHOANTOANcAuTAng 15 Toa nha Diamond Flower, se 48 Duong L€ Van Luong, Khu Do thi moi N2, Phuong NhanChinh, Quan Thanh Xuan, Thanh ph6 Ha NQiBAa cAo TV LB AN ToAN TAl cHiNHT~i ngay 31 thang 12 nam 2017

BANTHUYET MINH BAo cAo TY AN ToAN TAl CHiNHT\li ngay 31 thang 12 nam 2017

I. DIEM HO~T DQNG eVA eONG TY

1. Hinh tlnrc SO' buu vt3n

Cong ty ce phAn Chung khoan Toan cAu duoc thanh l~p va hoat dQng theo Quyet dinh s683/UBCK-GP ngay 16 thang 01 nam 2008 do Uy ban Chirng khoan Nha mroc dp.

Trong qua trinh hoat it(Jng, Cong ty itli itU'1CUy ban Chung khodn Nha marc cap cac Quyit dinhthay it6i nhu sau:

Quyet dinh s6 30/UBCK-GP ngay 16 thang 01 nam 2009, chuan y viec bb sung Phong Giaodich Nguyen Cong Tnr tai s6 111 Nguyen Cong Tnr, Phuong Nguyen Thai Binh, Quan 1,Thanh ph6 Hb Chi Minh.

Quyet dinh s6 357/UBCK-GP ngay 19 thang 10 nam 2010, chuan y viec chuyen dbi trv sachinh til TAng 5 va 6 Toa nha 1015 TrAn Hung D~o, PhuOng 5, Qu~ 5, Thanh ph6 Hb ChiMinh v~ dia chi s6 79 Nguy8n Cong Tro, PhuOng Nguy8n Thai Binh, Qu~n 1, Thanh ph6 HbChi Minh.

Quy~t dinh s6 932/QD-UBCK ngay 16 thang 11 nam 2010, chuAn y vi~c chfun d(rt ho~t dQngcua Phong Giao dich Nguy8n Cong Tro.

Quy~t dinh s6 15/GPDC-UBCK ngay 5 thang 4 nam 2013, chuAn y vi~c chuy~n dbi trv sa chinhtil s6 79 Nguy8n Cong Tro, PhuOng Nguy8n Thai Binh, Qu~n 1, Thanh ph6 H6 Chi Minh v~dia chi TAng 4A & 9, Toa nha s6 85 Nguy8n Hiiu cAu, PhuOng Tan Dinh, Qu~ 1, Thanh ph6H6 Chi Minh.

Quy~t dinh s6 Il1GPDC-UBCK ngay 29 thang 3 nam 2017, chuAn y vi~c thay dbi ngmJi d~idi~n theo phap lu~t la ba Nguy8n Thi Anh, Chu tich HDQT va chuAn y vi~c chuy~n dbi trv sachinh tilTAng 4A & 9, Toa nha s6 85 Nguy8n Hiiu cAu, PhuOng Tan Dinh, Qu~n 1, Thanh ph6H6 Chi Minh v~ TAng 15- Toa nha Diamond Flower dia chi s6 1 du6ng Hoang D~o Thuy (LoCl Khu Do thi mai Trung Hoa Nhan Chinh), PhuOng Nhan Chinh, Qu~n Thanh Xuan, Thanhph6 HaNQi.

Quy~t dinh s6 29/GPDC-UBCK ngay 19 thang 7 nam 2017, chuAn y vi~c chuy~n dbi trv sachinh til TAng 15- Toa nha Diamond Flower dia chi s6 1 dUOng Hoang D~o Thuy (Lo Cl KhuDo thi mai Trung Hoa Nhan Chinh), PhuOng Nhan Chinh, Qu~ Thanh Xuan, Thanh ph6 HaNQi d~n TAng 15 - Toa nha Diamond Flower v~ dia chi s6 s6 48 DuOng L€ Van Luong, KhuDo thi mai N2, PhuOng Nhan Chinh, Qu~n Thanh Xuan, Thanh ph6 Ha NQi.

• Vt3n pbap dlnb

V I. A'" I"• on uleu ~

: 35.000.000.000 VND

: 35.000.000.000 VND

Try SO' bO\lt dqng

Dia chi : TAng 15, Toa nha Diamond Flower, s6 48 DuOng L€ Van Luong, Khu Do thimai N2, PhuOng Nhan Chinh, Qu~n Thanh Xuan, Thanh ph6 Ha NQi

Di~n tho~i .: (84-04) 3377 6699

Bim Thuyit rninh nay la rn(Jtb(jph9n h9]Jthanh va au'1c a9c cimg vOiBao cao tY I? an toim tai chinh kern theo

15

CONG TYCO pHAN CHUNG KHoAN ToAN cAuTAng 15 Toa nha Diamond Flower, ,S6 48 Duong Le Van Luang, Khu Do thi moi N2, Phuong NhanChinh, Quan Thanh Xuan, Thanh pho Ha NQiBAo cAo TY LE AN ToAN TAl cHiNHTai ngay 31 thang 12 nam 2017Ban ThuySt minh Bao cao tY l~ an toan tai chinh (ti~p theo)

Fax: (84-04) 3377 6699Ma s6 thue : 0 3 0 5 4 5 3 7 8 0

2. Nganh, ngh~ kinh doanh

Moi gioi chirng khoan; Ttr vAndAunr chirng khoan,

3. Nhan vien

S6 IUQ1lgnhan vien cua Cong ty tai ngay 31 thang 12 nam 2017 la 22 nguoi (tai ngay 31 thang 12nam 2016: 6 nguoi).

II. CO SOL~ BAo cAo TY Lt ANToAN TAl cHiNH vA MVC otca SUDVNGBao cao 15' I~ an toan tai chinh tai ngay 31 thang 12 nam 2017 duoc I~p va trinh bay phil hQ'Pvoihuang dftn tai Thong nr s6 87/2017 ITT -BTC ngay 15 thang 8 nam 2017 cua BQ Tai chinh quy dinhvS chi tieu an toan tai chinh va bien phap xu Iy d6i voi cac t6 clnrc kinh doanh chirng khoan khongdap (mg cac chi tieu an toan tai chinh. Bao cao nay chi duQ'c su dVng d~ nQP cho cac cO'quan quanIy Nha nu&c co thAm quySn.

Bao cao nay duQ'c I~p cM y~u tren CO' sa s6 li~u Bao cao tai chinh cho kY k~ toan nam k~t thucngay 31 thang 12 nam 2017 da duQ'cki~m toan bai t6 chuc ki~m toano

DOTRUNGSONT A G" d~ong lam oc

TRAN TID THANH HAlK~ toan tr~Ong

TRAN THI THANH HAlNgllOi l~p'bi~u

Bim Thuyit rninh nay la rn(j[hI)pMn hr;rpthanh va aU(JcaQcdmg v{riBao cao tY I¢ an toan tai chinh kern thea

16