DIEU ' LE - m.ocb.com.vn · GoeB NgAnH~ngPhl/clngfl6ng £li~uIeNganhangTMCPPhU'O'ng£long...

NGAN HANG THU'O'NG M~I co PHAN PHU'O'NG DONGORIENT COMMERCIAL JOINT STOCK BANK

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DIEU LE•

TP. HeM, NAM 2016

HOIso' chinh 41-45 Le Du~n, Q 1, Tp.HCM - Tel: (84-8) 38220961 - Fax (84-8) 38220963, Website www.ocb.com.vn

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oocaNgAnH.lng PhllClngfl6ng f)i~u Ie Ngan hang TMCP Phuonq f)ong f)Hf)Cf)

DI~U LeNGAN HANG THU'ONG M~I co PHAN PHU'ONG DONG

PHAN MC1DAu

Ngan hang ThU'O'ngrnai eo ph~n Phuonq £)ong (DeB) la ngan hang thU'O'ngmal cOphan dU'Q'cthuc hien hoat dong ngan hang va cac hoat dong kinh doanh khac co llen quantheo quy dinh cua phap lu~t vi rnuc tieu lQ'inhuan, gop phan thuc hien cac muc tieu kinh t~cua Nha nuoc, TO chrrc va heat dong cua DeB dU'Q'Cthuc hien theo £)i~u 1$nay, cac quydinh cua Ngan hang Nha nU'Q>cVi$t Nam va cac quy dinh phap luat khac co lien quan.

£)i~u 1$nay do £)~i hoi dOng eo dong cua Ngan hang quy~t dlnh thong qua tal cuochop £)~ihOidOngeo dong to chuc ngay 14 thang 04 nam 2016.

ChU'O'ngl

DINH NGHiA vA Ap DVNG DAN CHIEU

DiAu 1. Dlnh nghia cac thu~t ngli trong DiAu I~

1. "OCB" co nghia la Ngan hang ThU'O'ngm~i eo ph~n PhU'O'ng£)ong.

2. "Tho-i h,n ho,t dQng" co nghia la thai gian DeB dU'Q'Cti~n hanh cac ho~t dong kinhdoanh theo quy dinh cLla phap lu~t, k~ tLPngay dU'Q'cNgan hang Nha nU'Q>cVi$t Namc~p Gi~y phep thanh I~p va ho~t dong. DeB co th~ dU'Q'cgia h~n thai h~n ho~t dongtren cO'sa quy~t dinh cLla£)~i hoi dOng eo dong va dU'Q'CNgan hang Nha nU'Q>cVi$tNam ch~p thu~n.

3. "VOn diiu W' la v6n da dU'Q'ccac eo dong thl,l'cgop va dU'Q'Cghi trong £)i~u1$DeB.

4. "cA dong" la ngU'aisa hCruit nh~t mot cOph~n da phat hanh cLlaDeB.

5. "cA dong sang I~p" co nghia la eo dong tham gia vao vi$c thong qua £)i~u 1$d~u tiencLlaDeB.

6. "cA dong IcYn"la eo dong sa hCrutrl,l'cti~p, gian ti~p tLP5% v6n cOph~n co quy~n bi~uquy~t tra len cLlaDeB. V

7. "SO-hliu gian ti~p" la vi$c to chCYc,ca nhan sa hCruv6n di~u 1$,v6n cOph~n cLlaDeBthong qua ngU'aico lien quan ho~c thong qua uy thac d~u tU'.

8. "sA dang ky cA dong" la mot tai li$u b~ng van ban va t$p dCrli$u di$n tLr.SOdang kyeo dong phai co cac noi dung chLly~u theo quy dinh cLlaphap lu~t.

9. "cA phAn" la v6n di~u 1$cLlaDeB dU'Q'Cchia thanh cac ph~n b~ng nhau, moi ph~n cogia tri la 10.000 dOng.

10. "cA phi~u" la chCYngchi do DeB phat hanh ho~c but toan ghi sOxac nh~n quy~n sahCrumot ho~c mot s6 cOphan cLlaDeB. eo phi~u cLlaOeB la cOphi~u ghi ten theo quydinh cLla£)i~u1$nay.

11. "cA t(l'c" la khoan lQ'inhu~n rong dU'Q'ctra cho moi cOphan b~ng ti~n m~t ho~c b~ng taisan khac tLPnguOnlQ'inhu~n con I~i cLlaDeB sau khi da thl,l'chi$n nghia Vl,l v~ tai chinh.

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HOiso chinh: 41 - 45 Le Dulin, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn

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12. "C6ng ty con" cua OCB la cong ty thuoc mot trong cac trU'Qrnghop sau day:

a) OCB hoac OCB va ngU'Qrico Ii€mquan cua OCB sa hCrutrim 50% vOndi~u I~ hoactren 50% vOncOphan co quyen bi~u quyet:

b) OCB co quyen true ti~p hoac gian ti~p bOnhiem da sOhoac ti~t ca thanh vien HOidOngOuan trl, HOidOngthanh vien hoac TOngGlarn dOchoac Giam dOccua cong tycon;

c) OCB co quyen sua dOi,bOsung di~u I~ cua cong ty con;

d) OCB va ngU'Qrico lien quan cua OCB true ti~p hay gian ti~p ki~m soat viec thongqua nghi quyet, quy~t dinh cua £)«;IihOidOngCOdong, HOidOngOuan tri, HOidOngthanh vien cua cong ty con.

13. "C6ng ty lien k6t" cua OCB la cong ty trong do OCB hoac OCB va ngU'Qrico lien quancua OCB sa hCrutren 11% vOndi~u I~ hoac tren 11% vOncOphan co quy~n bi~u quy~t,nhU'ngkhong phai la cong ty con cLlaOCB.

14. "Thanh vien d{>c I,p cua HQi dOng Quan tri" la thanh vien HOidOngQuan tri bao damcac tieu chu~n, di~u ki~n theo quy dinh t«;li£)i~u45 cLla£)i~u I~ nay.

15. "NgU'cYi quan Iy OCB" bao gOmChLltich Hoi dOngQuan trj, thanh vien HOidOngQuantri, TOngGiam dOcva cac chLrcdanh quan Iy khac theo quy dinh v~ cO'du to chLrccLlaOCB.

16. "NgU'o-i di~u hanh OCB" bao gOm TOng Giam dOc, Pho TOng Giam dOc, K~ toantrU'ang, Giam dOcChi nhanh va cac chLrcdanh di~u hanh khac theo quy dinh v~ cO'duto chLrccLlaOCB.

17. "NgU'O-i co lien quan" la to chLrc, ca nhan co quan h~ tn,l'c ti~p ho~c gian ti~p v&i tochLrc,ca nhan khac thuoc mot trong cac tmcmg hO'psau day:

a) Cong ty me v&i cong ty con va ngU'O'cl«;Ii;to chLrctin dl,mgv&i cong ty con cLlatochLrc tin dl,lng va ngU'O'cl«;Ii;cac cong ty con cLla cLIngmot cong ty me ho~c cLlacLIngmot to chLrc tin dl,lng v&i nhau; ngU'Qriquan Iy, thanh vien Ban ki~m soat cLlacong ty me ho~c cLla to chLrc tin dl,lng, ca nhan ho~c to chLrc co th~m quy~n bOnhi~m nhCrngngU'Qrinay v&i cong ty con va ngU'O'cl«;Ii;

b) Cong ty ho~c to chLrctin dl,lngv&i ngU'Qriquan Iy, thanh vien Ban ki~m soat cLlacongty ho~c to chLrc tin dl,lng do ho~c v&i cong tv, to chLrc co th~m quy~n bO nhi~mnhCrngngU'Qrido va ngU'O'cl«;Ii;

c) Cong ty ho~c to chLrctin dl,lng v&i ca nhan, to chLrcsa hCrutLr5% vOndi~u I~ ho~cvOn cO phan co quy~n bi~u quy~t tra len t«;licong ty ho~c to chLrc tin dl,lng do vangU'O'cl«;Ii;

d) Ca nhan v&i VO',chOng,cha, me, cha nuoi, me nuoi, con, con nuoi, anh, chi, em ruotcLlangU'Qrinay;

e) Cong ty ho~c to chLrCtin dl,lng v&i nhCrngca nhan theo quy dinh t«;lidi~m d khoannay cLlangU'Qriquan Iy, thanh vi€mBan ki~m soat, thanh vien gop vOnho~c COdongsa hCrutLr5% vOndi~u I~ ho~c vOncOphan co quy~n bi~u quy~t tra len cLlacong tyho~c to chLrctin dl,lngdo va ngU'O'cl«;Ii;

3

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H(li so' chinh 41 - 45 Le Du~n, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website www.ocb.com.vn ~

GoeBNgAnH~ngPhl/clngfl6ng £li~u Ie Ngan hang TMCP PhU'O'ng£long £lH£lC£l

f) Ca nhan dU'oocuy quyen d~i dien cho to chuc, ca nhan quy dinh tal cac di~m a, b, c,d va e khoan nay vai to chuc, ca nhan uy quyen: cac ca nhan duoc uy quyen daidien phan vOng6p cua cunq mot to chuc vai nhau.

18. "Ta chLPCla!" la viec OCB bi chia, tach, hoopnhat, sap nhap hoac chuyen dOi.

19. "NHNN" la chCrvi~t tat cua Ngan hang Nha nuoc Viet Nam.

20. "Phap lu~t" c6 nghia la tat ca cac luat, phap lenh, nghi dinh, nghi quyet, quy dinh, thongtu, quy~t dinh va cac van ban quy pharn phap luat khac dU'oocesc co quan Nha nuocViet Nam ban hanh theo tLrngthai ky lien quan d~n cac hoat dong ngan hang.

21. "Lu~t Doanh nghi~p" c6 nghia la Luat Doanh nghiep dU'oocQuOc hoi nuoc Cong hoaXa hoi Chu nghia Viet Nam thong qua ngay 26-11-2014.

22. "Lu~t Cac ta chLPCtin dl:Jng" c6 nghia la Lu~t Cac to chlrc tin dl,lng dU'oocQuOc hOinU'acCong h6a Xa hOiChu nghia Viet Nam thong qua ngay 16-06-2010.

23. "Vi~t Nam" c6 nghia la nU'acC¢ng h6a Xa h¢i Chu nghia Viet Nam.

Di~u 2. Ap dl:Jngdin chiAu

1. Trong E>i~uIe nay, bat ky d~n chi~u nao tai bat Clr quy dinh ho~c van ban phap lu~t nao \.,.se bao gbm ca nhCrngsCradOi,bOsung ho~c van ban phap lu~t thay th~ cua chung.

2. Cac tieu d~ (chU'O'ng,di~u) cua E>i~uIe nay dU'oocscrdl,lng nh~m thu~n tien cho viec hi~un¢i dung va khong anh hU'angtai noi dung cua E>i~uIe nay.

ChU'O'ngII

TEN, DIA CHI vA THai H~N HO~T DONG

Di~u 3. Ten, dja chi va thai h,n hO\lt dQng

1. Ngan hang ThU'O'ngm~i co phan PhU'O'ngE>ong,dU'oocphep ho~t dong theo Giay phepthanh I~p va ho~t d¢ng sO0061/NHGP ngay 13-4-1996 do ThOngdOcNHNN cap, c6 tU'cach phap nhan theo quy dinh cua phap lu~t Viet Nam va c6 cac d~c di~m theo cackhoan tLrkhoan 2 d~n khoan 10 cua E>i~unay.

2. Ten Ngan hang: '-'

a) Ten day du b~ng ti~ng Viet Nam: NGAN HANG THU'ONG MAl co PHAN PHU'ONGE>ONG.

b) Ten day du b~ng ti~ng Anh: ORIENT COMMERCIAL JOINT STOCK BANK.

c) Ten vi~t tat: NGAN HANG PHU'ONGE>ONGho~c OCB.

3. Tn,l sa chinh:

a) E>iachi: SO41 va 45 Le Duan, phU'angB~n Nghe, Qu~n 1, TP HE>Chi Minh.

b) E>i$ntho~i: (84) 08.38220 960

c) Fax: (84) 08.38220 963

d) Email: [email protected]

e) Website: www.ocb.com.vn4

- ~-"..---------HQi sa chinh: 41 - 45 Le Du~n, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Websitewww.ocb.com.vn

ooeBNganHangPhllllng il6ng £)i~u I~ Ngsin hang TMCP PhuO'ng £)ong £)H£)C£)

4. NgU'aidal di~n theo phap lu~t cua OCB la Chu tich HOidOngQuan trio

NgU'aidc;lidi~n theo phap lu~t cua OCB phal CU'tru tal Vi~t Nam, trU'ang hop v~ng m~t aVi~t Nam thi phal uy quy~n bang van ban cho ngU'ai khac la NgU'aiquan Iy, NgU'aidi~uhanh cua OCB dang CU'tru tal Vi~t Nam d~ thee hi~n quyen va nghia VI,Icua minh.

5. OCB dU'Q'Crna chi nhanh, van ph6ng dc;lidien, dO'nvi Sl,f nghi~p va cOngty con tai diaban kinh doanh d~ thuc hi~n cac rnuc tieu heat dong cua Ngan hang trong pharn vi phaplu~t cho phep.

6. VOn di~u I~ cua OCB tal thai di~rn thOng qua f)i~u I~ nay la 4.000.000.000.000 dOng.TOng sO vOn di~u I~ cua OCB dU'Q'cchia thanh 400.000.000 cO phan vcYirnenh gia la10.000 dOng/cOphan.

7. OCB co con dau rieng theo quy dinh cua phap lu~t; co tai khoan rieng rna tc;liNHNN, cacngan hang trong nU'cYcva nU'cYcngoai theo quy dinh cua NHNN.

8. OCB co Bang can dOik€'toan va cac Quy theo quy djnh cua phap lu~t hi~n hanh.

9. Thai hc;lnhOc;ltdong cua OCB la 99 nam, k~ tLl'ngay dU'Q'cNHNN cap Giay phep thanhI~p va hOc;ltdong. OCB co th~ dU'Q'cgia hc;lnthai hc;lnhOc;ltdong tren cO'sa quy€'t djnhcua f)c;lihoi dOngCOdOngva phai dU'Q'cNHNN chap thu~n.

ChU'O'ngIII

MVC TIEU, NOI DUNG vA PH~M VI HO~T DONG

Di6u 4. Miele tieu hO\lt dQng

1. Linh VI,fCkinh doanh cua OCB la hOc;ltdong kinh doanh ti~n t~, tin dl,lngva cac djch VI,Itaichinh, ti~n t~, ngan hang dU'Q'cquy djnh trong Giay phep thanh I~p va hOc;ltdong cuaOCB, Giay chLrng nh~n dang ky doanh nghi~p va tuan thu cac quy dinh cua Lu~t Cac tochLrctin dl,lng, cac quy dinh hi~n hanh co lien quan cua phap lu~t nham phl,lcVI,Icho cacdOitU'Q'ngkhach hang theo dung chi€'n1U'Q'ckinh doanh da d~ ra.

2. Ml,lc tieu cua OCB la tra thanh mot trong nhCrngngan hang thU'O'ngmc;licO phan hangdau tc;liVi~t Nam; tim ki€'m lQ'inhu~n, co tich lOyvOnd~ tai dau tU', rna rong hOc;ltdongnham gia tang lQ'iich cho COdOng,thu nh~p cua ngU'ai lao dong va gop phan thl,fc hi~ncac ml,lCtieu phat tri~n kinh t€'xa hoi cua Nha nU'cYc.

Di6u 5. NQi dung hO\lt dQng

1. Nh~n ti~n gLPikhOng ky hc;ln,ti~n gLPico ky hc;ln,ti~n gLPiti€'t ki~m va cac 10c;liti~n gLPikhac.

2. Phat hanh chLrng chi ti~n gLPi,ky phi€,u,tin phi€,u,trai phi€,ud~ huy dong vOntheo quydjnh cua Lu~t cac to chLrc tin dl,lng, Lu~t ChLrng khoan, quy djnh cua Chfnh phu vahU'cYngdan cua Ngan hang Nha nU'cYcVi~t Nam.

3. cap tin dl,lngdU'cYicac hinh thLrcsau day:

a) Cho vay;

b) Chi€,tkhau, tai chi€'t khau cOngCI,Ichuy~n nhU'Q'ngva giay ta co gia khac;

c) Bao lanh ngan hang;

5

HQisa chinh: 41 - 45 Le Dulin, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn[G

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d) Phat hanh the tin dl,mg;

e) Bao thanh toan trong nuoc: bao thanh toan quec te;

f) Cac hinh thuc cap tin dl,mgkhac sau khi dU'Q'cNHNN chap thuan.

4. Ma tai khoan thanh toan cho khach hang.

5. Cung (J>ngcac phU'O'ngtien thanh toano

6. Cung (J>ngcac dich VI,I thanh toan sau day:

a) Thuc hi$n dich VI,! thanh toan trong ruroc bao gOmsec, lenh chi, uy nhiern chi, nhothu, uy nhlern thu, tho tin dl,lng,the ngan hang, dich VI,! thu h¢ va chi h¢;

b) Thuc hien dich VI,! thanh toan quOcte va cac dich VI,! thanh toan khac sau khi dU'Q'cNHNN chap thuan,

7. Vay vOncua NHNN:

DCB dU'Q'cvay vOncua NHNN dU'oi hinh thuc tal cap vOntheo quy dinh cua Luat Nganhang Nha nU'ocViet Nam.

8. Vay vOncua to chuc tin dl,lng,to chirc tai chfnh:

DCB dU'Q'cvay vOn cua to chuc tln dl,lng, to chuc tal chfnh trong nuoc va nU'oc ngoaitheo quy dinh clla phap lu~t.

9. Ma tai khoan:

a) DCB phai ma tai khoan ti~n gLrit~i NHNN va duy tri tren tai khoan ti~n gLrinay sOdU'binh quan khong thap hO'nm(J>cdl,l'trCrb~t bu¢c;

b) OCB dU'Q'cma tai khoan thanh toan t~i to ch(J>ctfn dl,lng, chi nhanh ngan hang nU'ocngoai khac;

c) DCB dU'Q'cma tai khoan ti~n gLri, tai khoan thanh toan a nU'oc ngoai theo quy dinhclla phap lu~t v~ ngo~i hOi.

10.TOch(J>cva tham gia cac he thOngthanh toan:

a) DC~Bd~Q'cto ch(J>cthanh toan n¢i bO,tham gia he thOng thanh toan lien ngan hang \."quoc gla;

b) DCB dU'Q'ctham gia h$ thOngthanh toan quOcteo

11.Tham gia thi trU'ang ti~n t$:

DCB dU'Q'ctham gia dau thau tfn phieu Kho b9c, mua, ban cong Cl,! chuy~n nhU'Q'ng,traiphieu Chfnh phll, tin phieu Kho b9c, tin phieu NHNN va cac giay ta co gia khac tren thitrU'ang ti~n teo

12. Kinh doanh, cung (l'ng djch VI,! ngo~i hOiva san pham phai sinh:

a) Sau khi dU'Q'cNHNN chap thu~n bang van ban, DCB dU'Q'ckinh doanh, cung (J>ngdich VI,! cho khach hang a trong nU'ocva nU'ocngoai cac san pham sau day:

Ngo9i hOi;

Phai sinh v~ ty gia, lai suat, ngo9i hOi,ti~n te va tai san tai chfnh khac.

6

HQisa chinh: 41 - 45 Ll! Dulin, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn

gOeBNg~nHangPhll<lngfl6ng £>illu I~ Ngan Mng TMCP PhuO'ng £>ong £>H£>C£>

b) Vi~c cung Lrngdich VI,Jngot;ii hOicua aCB cho khach hang thl,l'c hi~n theo quy dinhcua phap lu~t v~ ngo;;tihOi.

13.Thuc hi~n nghi~p VI,Juy thac va d;;tiIy:

aCB dU'Q'cquy~n uy thac, nhan uy thac, d;;ti Iy trong linh VI,J'Clien quan d~n hoat dongngan hang, kinh doanh bao hi~m, quan Iy tai san theo quy dinh cua phap lu~t va hU'ongd~n cua NHNN.

14. Hoat dong giao dich bat dong san:

a) aCB khong dU'Q'ckinh doanh bat dong san, trlr cac trU'cmghoopquy dinh tal di~m bcua khoan nay.

b) aCB dU'Q'cthuc hien cac giao dich bat dong san trong cac trU'ang hoopsau day:

Mua, d~u tu, sa hCfubat dong san d~ SLYdl,Jnglam tru sa kinh doanh, dia di~mlam vi~c hoac co sa kho tang phuc VI,Jtrue ti~p cho cac heat dong nghi~p VI,JcuaaCB;

Cho thue mot ph~n tru sa kinh doanh chua SLYdl,Jngh~t, thuec sa hCfucua aCB;

N~m giCfbat dong san do vi~c XLYIy nO'vay. Trong thai ht;in03 nam, k~ tlr ngayquy~t dinh XLYIy tai san bao dam la bat dong san, aCB phai ban, chuy~n nhU'Q'ngho~c mua l;;tibat dong san nay d~ bao dam ty I~ d~u tU' vao tai san cOdinh vaml,JCdich SLYdl,Jngtai san cOdinh khong VU'Q'tqua 50% vOndi~u I~ va quy dl,J'trCfb6 sung vOndi~u I~ cua aCB.

15. Cung cap dich VI,Jquan Iy ti~n m~t, tU'van ngan hang, tai chinh; cac dich VI,Jquan Iy, baoquantaisan, chothuetu, k6tantoan.

16. TU'van tai chinh doanh nghi~p, tU' van mua, ban, hoopnhat, sap nh~p doanh nghi~p vatU'van d~u tU'.

17. Mua, ban trai phi~u Chinh phu, trai phi~u doanh nghi~p.

18. Thl,J'chi~mdich VI,Jmoi gicYiti~n t~.

19. Kinh doanh mua, ban vang mi~ng.

20. LU'uky chLrngkhoan, kinh doanh vang va cac ho;;ttdong kinh doanh khac lien quan d~nhot;itdong ngan hang sau khi dU'Q'cNHNN chap thu~n b~ng van ban.

21. GLYi,nh~n gLYivOn cua t6 chLrc tin dl,Jng,chi nhanh ngan hang nU'cYcngoai, t6 chLrctaichinh trong nU'cYcva nU'cYcngoai theo quy djnh cua phap lu~t va hU'ong d~n cua Nganhang Nha nU'cYcVi~t Nam.

22. Mua nO'.

£)i~u 6. Gop vOn, mua c6 phan

1. aCB chi dU'Q'cdung vOndi~u h~va quy dl,J'trCfd~ g6p vOn,mua c6 ph~n theo quy dinh tt;iicac khoan 2, 3, 4 va 7 £)i~u nay tr€mcO'sa tU8nthu cac gicYih;;tntheo quy dinh cua phaplu~t d~ bao dam an toan trong ho;;ttdong d~u tU',g6p vOn.

2. aCB dU'Q'cthanh I~p ho~c mua It;iicong ty con, cong ty lien k~t d~ thl,J'chi~n hot;itdongkinh doanh sau day:

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HQiso' chinh: 41 - 45 Le OU<3n, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www ocb com~

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a) Bao lanh phat hanh chung khoan, rnoi gi6i chung khoan; quan Iy, phan phOichungchi quy d~u tu chung khoan; quan Iy danh rnuc d~u tU'chung khoan va mua, ban c6phieu:

b) Cho thue tai chinh;

c) Bao hi~m.

3. OCB dU'Q'cthanh I~p hoac mua Ic;iicong ty con, cong ty lien k~t hoat dong trong linh vuequan Iy tal san bao dam, killu hOi,kinh doanh nqoai hOi,vang, bao thanh toan, phat hanhthe tin dunq, tin dl,lngtieu dung, dich Vl,ltrung gian thanh toan, thong tin tin dunq.

4. OCB duoc g6p vOn,mua c6 ph~n cua doanh nghiep heat dong trong cac linh Vl,J'Csauday:

a) Bao hi~m, chung khoan, killu hOi,kinh doanh ngoc;iihOi,vang, bao thanh toan, phathanh the tin dunq, tin dl,lng tieu dung, dich VI,Itrung gian thanh toan, thong tin tindl,lng;

b) Unh Vl,J'Ckhac khong quy djnh tai di~m a khoan nay.

5. Viec thanh I~p, mua Ic;iicong ty con, cong ty lien k~t theo quy djnh tc;iikhoan 2 va khoan 3 \..IDillu nay va viec g6p vOn,mua c6 ph~n cua OCB theo quy djnh tc;iidi~m b, khoan 4, Dillunay phai dU'Q'cSl,J'ch~p thu~n trU'6c b~ng van ban cua NHNN.

6. Dillu kien, thu tl,lCva trinh tl,J'thanh I~p cong ty con, cong ty lien k~t cua OCB thl,J'chientheo quy djnh cua phap lu~t c6 lien quan.

7. OCB, cong ty con cua OCB dU'Q'cmua, n~m giCPc6 phi~u cua t6 chuc tin dl,lng khac vcYidillu kien va trong gi6i hc;inquy djnh cua NHNN.

8. Trong phc;imvi th~m quylln quy djnh tc;iiDillu Ie nay, Hoi dOngQuan trj OCB quy~t djnhho~c uy quylln cho T6ng Giam dOcOCB quy~t djnh viec g6p vOn,mua c6 ph~n theo cachinh thuc neu tc;iiDillu nay theo quy djnh cua phap lu~t.

9. OCB khong dU'Q'cg6p vOn,mua c6 ph~n cua cac doanh nghiep, t6 chuc tin dl,lngkhac langU'aic6 lien quan cua c6 dong 16n,cua ngU'aiquan Iy cua OCB.

10.OCB khong dU'Q'cmua cOph~n, g6p vOncua cac doanh nghiep, t6 chuc tin dl,lngkhac lac6 dong, thanh vien g6p vOncua OCB. \.;

Di6u 7. Bao dam an toan trong ho,t dQng

Trong qua trinh hOc;itdong, OCB phai tuan thu cac quy djnh vll bao dam an toan theoquy djnh tc;iiChU'O'ngVI, Lu~t Cac t6 chuc tin dl,lng va quy djnh cua NHNN; thl,J'chienphan IOc;iitai san "C6" va trich I~p dl,J'ph6ng d~ xU>Iy cac rui ro trong hOc;itdong nganhang theo quy djnh cua phap lu~t hien hanh.

ChLl'O'nglV

VON DIEU LI; vA VON HO~T DONG

Di6u 8. van di6u I~ ella aCB

1. VOndillu Ie la vOn da dU'Q'ccac c6 dong thllc g6p va dU'Q'cghi trong Dillu Ie nay cuaOCB va ghi trong Gi~y chung nh~n dang ky doanh nghiep.

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OCBNgAn Hang PhLldng !lOng Di~u I~ Ngan hfmg TMCP PhuO'ngDong DHDCD2. Von di~u Ie cua DCB c6 thil dU'Q'ctang tty cac nguOn sau:

a) Quy dl,J'tni' bo sung von di~u Ie; Th~ng dU' von co phan; lQ'i nhuan dil lai va cac quykhac theo quy dinh cua phap lu~t;

b) Phat hanh co phieu ra cong chunq, phat hanh co phi~u ri€mg 113;

c) Chuyen doi tty trai phi~u chuyen doi thanh co phieu pho thong;

d) Cac nguOn khac theo quy dinh cua phap luat.

3. Von di~u Ie cua DCB dU'Q'chach toan bang dOng Viet Nam (VND).

4. Trong qua trinh hoat dong, DCB phai bao dam duy trl rnuc von di~u Ie thuc c6 khongthap hon rrurc von phap dinh theo quy dinh cua phap luat, Khi c6 Sl,J'thay doi von di~u Ie,DCB phai cong bo cong khai so von di~u Ie rnoi,

f)i~u 9. Thay d6i VOndi~u I~

1. Viec thay doi Von di~u Ie cua DCB phai dU'Q'cf)~i hoi dOng Co dong thong qua va NHNNch~p thu~n bang van ban trU'ac khi thl,J'chien theo dung quy dinh cua phap lu~t.

2. Trinh tl,J',thu tl,lC, hO sO' xin ch~p thu~n thay doi von di~u Ie thl,J'Chien theo quy dinh cuaNHNN. Sau khi da thay doi mLrc von di~u Ie, OCB phai dang ky vai cO'quan dang ky kinhdoanh v~ mLrc von di~u Ie maL

3. Hoi dOng quan tri phai chiu trach nhiem trU'ac phap lu~t v~ viec tham dinh hO 50', thu tl,lC,di~u kien dil DCB thay dOi von di~u Ie theo quy dinh cua NHNN, phap lu~t c6 li€m quanva f)i~u Ie nay.

f)i~u 10. VOnho~t dQngeuaoce1. Von chu sa hCPu:

a) Von di~u Ie;

b) Cac khoan chenh lech do danh gia I~i tai san, chenh lech ty gia theo quy dinh cuaphap lu~t; 1

c) Th~ng dU' von co phan;

d) Cac quy dl,J'trCPbo sung von di~u Ie, quy dau tU' phat triiln nghiep Vl,l, quy dl,J'ph6ngtai chinh;

e) LQ'inhuan dU'Q'cdil Ii;lL

2. Von huy dong:

a) Von huy dong ti~n glii cua cac to chLrCva ca nhan;

b) Vay cac to chLrCtin dl,lng trong va ngoai nU'ac;

c) Vay NHNN;

d) Phat hanh cac gi~y tcyc6 gia.

3. Von khac theo quy djnh cua phap luat.

f)i~u 11. Slr dl;lngvOn,tai san

1. DCB dU'Q'cquy~n thay doi cO'c~u von, tai san phl,lc Vl,lcho viec phat triiln hOi;ltdong kinhdoanh.

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Hoi so' chinh 41 - 45 LEiOU<3n,Q 1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website www.ocb.com.vn 1z...

~

aoeBNgan Hang PhllClng Il6ng £)i~u Ie Ngan hang TMCP PhU'O'ng£)ong £)H£)C£)

2. Viec dit\u dong v6n, tai san giCracac chi nhanh cua DCB dU'O'cthuc hien theo quy dinhcua Hoi dong Quan trio

£)i~u 12. Ty I~ bao dam an toan

1. DCB phai duy trl cac ty Ie bao dam an toan sau day:

a) Ty Ie kha nang chi tra;

b) Ty Ie an toan v6n t6i thi~u theo quy dinh cua NHNN trong tCmg thai ky;

c) Ty Ie t6i da cua nguon v6n ng~n han dU'O'cSLrdl,mgd~ cho vay trung han va dai han:

d) Tranq thai ngo~i te, vang t6i da so vcYiv6n tl,J'co;

e) Ty Ie dU'no cho vay so vcYitOngtit\n gLri;

f) Cac ty Ie tit\n gLritrung, dai han so vcYitOngdU'no cho vay trung, dai han.

2. DCB khi tham gia he th6ng thanh toan lie!nngan hang qu6c gia phai narn giCrs6 IU'O'ngt6i thi~u gi~y ta co gia dU'O'cphep c~m c6 theo quy dinh cua NHNN trong tLrngthai kyo

3. TOngs6 v6n cua DCB d~u tU'vao to ch(J'ctin dl,.mgkhac, cong ty con cua DCB dU'cYihinhth(J'cgop v6n, mua cOph~n va cac khoan d~u tU'dU'cYihinh th(J'cgop v6n, mua cOph~n \,.,.,nh~m n~m quyt\n ki~m soat cac doanh nghiep ho~t dong trong linh Vl,J'Cngan hang, baohi~m, ch(J'ngkhoan phai trLrkhoi v6n tl,J'co khi tinh cac ty Ie an toano

4. Trong trU'ang hO'paCB khong d~t ho~c co kha nang khong d~t ty Ie an toan v6n t6i thi~utheo quy dinh t~i di~m b khoan 1£)it\u nay, DCB phai bao cao NHNN giai phap, k~ ho~chkh~c phl,lcd~ bao dam ty Ie an toan v6n t6i thi~u theo quy dinh.

ChU'O'ngV

cO PHAN, cO PHI~U vA TRAI PHI~U

£)i~u 13. Cae lo,i e6 phAn

1. DCB co cOph~n phOthong. NgU'aisCYhCrucOph~n phOthong la COdong phOthong.

2. DCB co th~ co cOph~n U'udai cOt(J'c.COph~n U'Udai cOt(J'cla cOph~n dU'O'ctra cOt(J'c ~vcYim(J'ccao hO'nso vcYim(J'ccO t(J'ccua cO ph~n phOthong ho~c m(J'cOn dinh h~ngnam. COt(J'cdU'O'cchia h~ng nam gom cOt(J'cc6 dinh va cOt(J'cthU'CYng.COt(J'cc6 dinhkhong phl,lthuoc vao k~t qua kinh doanh cua to ch(J'ctin dl,lngva chi dU'O'ctra khi to ch(J'ctin dl,lng co lai. TrU'ang hO'pDCB kinh doanh thua 16 ho~c co lai nhU'ngkhong du d~ chiacOt(J'cc6 dinh thi cOt(J'cc6 dinh tra cho cOph~n U'Udai cOt(J'cdU'O'ccong don vao cacnam ti~p theo. M(J'ccOt(J'cc6 dinh Cl,l th~ va phU'O'ngth(J'cxac dinh cOt(J'cthU'cyngdo £)~ihoi dong COdong quy~t dinh va dU'O'cghi tren cOphi~u cua cOph~n U'Udai cOt(J'c.TOnggia trj menh gia cua cOphc\nU'Udai cOt(J'ct6i da bang 20% v6n dit\u Ie cua DCB.

Thanh vien Hoi dong Quan tri, thanh vien Ban Ki~m soat, TOngGiam d6c va NgU'aiquanIy, NgU'aidit\u hanh khac cua DCB khong dU'O'cmua cOph~n U'Udai cOt(J'cdo DCB phathanh. NgU'ai dU'O'cmua va s6 IU'O'ngcOph~n U'Udai cOt(J'cdU'O'cmua do £)~i hoi dongCOdong quy~t dinh.

10

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OCBNgan Hang Phttdng !lOng £)i~u Ie Ngan hang TMCP PhU'O'ng£)Ong £)H£)C£)

3. COph~n phOthong khong th~ chuyen dOithanh cOph~n uu dai cOtuc. COph~n uu daicOtuc co th~ chuyen dOithanh cOphan phOthong theo nghj quy~t cua f)~i hOidOngCOdong.

4. OCB luon bao dam duy trl tOithi~u 100 COdong va khong han eh~ sO1U'Q'ngtOida.

5. TOchuc, ca nhan nuoc nqoai dU'Q'emua cOphan cua OCB theo quy dinh cua phap luat.

Di~u 14. Ty I~sa h(jlu cO phAn

1. Mot COdong la ca nhan khong duoc sa hCruvuot qua 5% vOndi~u Ie cua OCB.

2. Mot COdong la to chuc khong dU'Q'esa hCruvuot qua 15% vOndi~u Ie cua OCB, trLl'cactrU'ang hop sau day:

a) Sa hCrucOph~n theo quy djnh tal khoan 3, f)i~u 149 cua tuat Cac to chuc tin dl,lngdt§XLI' Iy khi OCB g~p kho khan, bao dam an toan he thOngto eh(fe tin dl,lng;

b) Sa hCrucOph~n eua nha d~u tU'nU'cYengoai theo quy dinh eua phap lu~t.

3. cll dong va ngU'ai co lien quan eua cll dong do khong dU'Q'Csa hCruvU'qt qua 20% vOndi~u Ie eua OCB.

4. Ty Ie sa hCruquy dinh t~i cae khoan 1, 2 va 3, f)i~u nay bao gOmea ph~n vOnuy thaeeho tll eh(fe, ea nhan khae mua ell ph~n.

Di~u 15. COphi6u

1. cll phi~u la eh(fng chi do OCB phat hanh, but toan ghi sll ho~e dCrlieu dien tLl'xae nh~nquy~n sa hCrumot ho~emot sOell ph~n eua OCB. cll phi~u co cae noi dung ehu y~u sauday:

a) Ten, dia chi trl,l sa ehfnh eua OCB;

b) SOva ngay cap Giay eh(fng nh~n dang ky doanh nghiep;

c) SO1U'Q'ngell ph~n va lo~i cOph~n;

d) M$nh gia moi ell ph~n va tOngm$nh gia sOell ph~n ghi tren ell phi~u;

e) Ho, ten, dja chi thU'ang tru, quOetieh, sOGiay eh(fng minh nhan dan, Ho ehi~u ho~eeh(fng thl,l'eea nhan hQ'pphap khae eua cll dong la ea nhan; ten, dja chi thU'angtru,quOetieh, sOquy~t dinh thanh I~p ho~e sOdang ky doanh nghiep eua COdong la tlleh(fe dOivcYiell phi~u co ghi ten;

f) Tom tat v~ thu tl,leehuy~n nhU'Q'ngcOph~n;

g) ChCrky m~u eua ngU'aid~i di$n theo phap lu~t va dau eua OCB;

h) SOdang ky t~i sll dang ky cll dong eua OCB va ngay phat hanh ell phi~u;

i) Cae noi dung khae theo quy dinh t~i cae f)i~u 116, 117 va 118 eua Lu~t Doanhnghiep dOivcYiell phi~u eua ell ph~n U'udai.

2. TrU'ang hQ'pco sai sot trong noi dung va hinh th(fe cOphi~u do OCB phat hanh thi quy~nva lQ'ifeh eua ngU'ai sa hCrun6 kh6ng bi anh hU'ang.Chu tieh HOidOngQuan tri va TllngGiam dOcOCB phai lien dcYiehiu traeh nhi$m v~ thi$t h~i do nhCrngsai sot d6 gay ra dOivcYiOCB.

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HQiso' chinh 41 - 45 Le Du~n, 0.1, Tp.HCM - Tel (84-8) 38220961 - Fax: (84-8) 38220963, Website:www ocb.com v~h~~

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3. TrU'ang hop cOphieu bj mat, bi rach, bj chay hoac bl tleu huy dU'&ihinh thtrc khac thi COdong dU'Q'cDCB cap lal cO phi~u theo d~ nghj cua COdong d6. £)~ nghj cua COdongphai c6 cam doan v~ cac n¢i dung sau day:

a) COphi~u thuc Sl,l'da bj mat, bj chay hoac bj tieu huy dU'&i hinh thuc khac; trU'anghop bj mat thi cam doan them rang da ti~n nanh tim ki~m h~t rnuc va n~u tim laidU'Q'cse dem tra DCB d~ tieu huy;

b) Chiu trach nhiem v~ nhCrngtranh chap phat sinh tCYviec cap Ic;licOphi~u rnoi.

c) £)6i v&i cO phieu c6 gia trj danh nghia tren 10 trieu dOngVi~t Nam, tnroc khi ti~pnhan d~ nghj cap cOphieu rnoi, ngU'ai dc;lidi~n theo phap lu~t cua DCB c6 th~ yeuc~u chu sa hCrucO phi~u dang thong bao v~ vi~c cO phi~u bj mat, bj chay ho~c bjtieu huy dU'&ihinh thLfCkhac va sau 15 ngay, k~ tCYngay dang thong bao se d~ nghjDCB cap cOphi~u m&i.

4. COphi~u cua DCB khong dU'Q'cSLYdl,mgd~ c~m c6 tc;lichinh CCB.

5. Trong thai hc;ln10 ngay lam vi~c k~ tCYngay n¢p d~y du hOsO'd~ nghj chuy~n quy~n sahCrucOphi~u ho~c trong thai hc;ln30 ngay k~ tCYngay COdong thanh toan du cOph~ncam k~t mua, DCB c6 trach nhi~m phat hanh cOphi~u cho cac COdong. V

£)i6u 16. Ch(rng chi ch(rng khoan khac

ChLfngchi trai phi~u ho~c cac chLfngchi chLfng khoan khac cua DCB (trCYcac thU'chaoban, cac chLfng chi tc;lmthai va cac tai li~u tU'O'ngtl,l'), se dU'Q'cphat hanh c6 con dauphap nhan va chCrky cua ngU'ai dc;lidi~n c6 th~m quy~n cua DCB, trCYtrU'ang hQ'prnacac di~u khoan va di~u ki~n phat hanh quy djnh khac.

£)i6u 17. Chao ban c6 phAn

1. H¢i dOngQuan tri quy~t djnh thai di~m, phU'O'ngthLfCva gia chao ban cOph~n trong s6cO ph~n dU'Q'cquy~n chao ban. Gia chao ban cO ph~n khong dU'Q'cthap hO'ngia thjtrU'angtc;lithai di~m chao ban ho~c gia trj sOsach cua cOph~n tc;lithai di~m g~n nhat, trCYnhCrngtrU'ang hQ'psau day:

a) COph~n chao ban I~nd~u tien cho nhCrngngU'aikhong phai la cOdong sang I~p;

b) COph~n chao ban cho tat ca COdong theo ty I~ cOph~n hi~n c6 cua hQ(y DCB;

c) COph~n chao ban cho ngU'aimoi gi&i ho~c ngU'ai bao lanh. Trong truang hQ'pnay,s6 chi~t khau ho~c ty I~ chi~t khau CI,J th~ phai dU'Q'cSl,l'chap thu~n cua s6 COdongdc;lidi~n cho it nhat 65% tOngs6 cOph~n c6 quy~n bi~u quy~t;

d) Cac trU'ang hQ'pkhac va mLfc chi~t khau trong cac trU'ang hQ'pd6 do Dc;lihoi dOngCOdong DCB quy~t djnh.

2. TrU'ang hQ'pDCB phat hanh them cOph~n phOthong va chao ban s6 cOph~n d6 cho tatca COdong phOthong theo ty I~ cOph~n hi~n c6 cua COdong tc;liDCB thi se dU'Q'cthl,l'chi~n theo quy djnh sau day:

a) DCB thong bao bang van ban d~n cac COdong theo phU'O'ngthLfc bao dam d~ndU'Q'cdja chi thU'ang tru cua COdong. Thong bao phai dU'Q'cdang bao trong 03 s6lien ti~p trong thai hc;ln10 ngay lam vi~c, k~ tCYngay thong bao;

12

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OCBNgan Hang Phlldng £lOng Bi~u I~ Ngan hang TMCP PhU'O'ngBong BHf)Cf)

b) Thong bao phai c6 he, ten, dla chi thU'cmgtru, qu6c tich, s6 Gifty chLi'ngminh nhandan, Ho chleu hoac chLi'ngthuc ca nhan hop phap khac cua COdong 113ca nhan:ten, dia chi thU'cmgtru, qu6c tich, s6 Quy€ltdinh thanh I~p hoac s6 dang ky doanhnghiEilpcua COdong 113to chuc: s6 cOphan va ty Ie cOphan hien c6 cua COdong taiOCB; tOng s6 cOphan dl,l' ki€lnphat hanh va s6 cOphan COdong dU'Q'cquyen mua;gia chao ban cO phan: thai han dang ky mua; he, ten, chCrky cua ngU'ai dai dientheo phap lu~t cua OCB. Thai han xac dinh trong thong bao phai hop Iy dLl d~ COdong dang ky mua duoc cOphan, Kern theo thong bao phai c6 m~u Phi€ludang kymua do OCB phat hanh;

c) COdong c6 quy~n chuy~n quy~n U'utien mua cOphan cLlamlnh cho ngU'aikhac;

d) N€luPhi€ludang ky mua cOphan khong dU'Q'cgLriv~ OCB dung hiiin nhU'thong baothl COdong c6 lien quan coi nhU'da khong nh~n quy~n U'utien mua;

e) TrU'ang hQ'ps6 1U'Q'ngcll phan dl,l' dinh phat hanh khong dU'Q'cCOdong va ngU'ainh~n chuy~n quy~n U'utien mua dang ky mua h€ltthl s6 cOphan dl,l'ki€lnphat hanhcon liiii S9 do HOidOngQuan tri quan IY.HOidOngQuan tri c6 th~ phan ph6i s6 cllphan d6 cho COdong cLlaOCB ho~c ngU'aikhac theo cach thLi'chQ'pIy vai di~u kiEilnkhong thu~n lQ'i hO'nso vai nhCrngdi~u kien da chao ban cho cac cll dong, trCrtrU'ang hQ'pf)iiii hOidOngCOdong c6 chftp thu~n khac ho~c cOphan dU'Q'cban quaSa Giao dich chLi'ngkhoan.

3. cll phan cLlaOCB dU'Q'ccoi 113da ban khi dU'Q'cngU'ai mua thanh toan dLl ti~n mua vanhCrngthong tin v~ ngU'ai mua quy dinh tiiii khoan 2, f)i~u 24 cLlaf)i~u Ie nay dU'Q'cghidung, ghi dLl vao sO dang ky COdong va k~ tCrthai di~m d6, ngU'ai mua cO phan trathanh cll dong cLlaOCB.

£)iAu 18. Chuy€m nhU'Q'ng cO phAn

1. cll dong 113ca nhan, COdong 113to chLi'cc6 ngU'ai diiii dien 113thanh vien HOidOngQuantri, thanh vien Ban Ki~m soat, TOngGiam d6c cLlaOCB khong dU'Q'cchuy~n nhU'Q'ngcllph~n cLlamlnh trong thai gian dam nhiEilmchLi'cVl,l.

2. Trong thai gian dang x(r Iy h~u qua theo nghi quy€ltcLlaf)iiii hoi dOngcll dong ho~c theoquy€ltdinh cLlaNHNN do trach nhiem ca nhan, thanh vien HOidOngQuan tri, thanh vienBan Ki~m soat, Tllng Giam d6c khong dU'Q'cchuy~n nhU'Q'ngcOphan, trCrmot trong cactrU'ang hQ'psau day:

a) Thanh vien Hoi dOngQuan tri, thanh vien Ban Ki~m soat, TOngGiam d6c 113diiii diEilntheo uy quy~n cLlaCOdong to chLi'cbi sap nh~p, hQ'pnhftt, chia, tach, giai th~, phasan theo quy dinh cLlaphap lu~t;

b) Thanh vien Hoi dOng Quan tri, thanh vien Ban Ki~m soat, TOng Giam d6c bi buocchuy~n nhU'Q'ngcOphan theo quy€ltdinh cLlaToa an;

c) Thanh vien Hoi dOng Quan tri, thanh vien Ban Ki~m soat, TOng Giam d6c chuy~nnhU'Q'ngcOphan cho cac nha dau tU'khac nh~m thl,l'c hien viec sap nh~p, hQ'pnhfttb~t buoc quy dinh tiiii khoan 2 Di~u 149 Lu~t Cae to ehLi'ctin dl,lng.

3. TrU'ang hQ'pchuylm nhU'Q'ngcOphan cLlaCOdong lan, chuy~n nhU'Q'ngcOphan dan d€lnCOdong Ian tra thanh cll dong thU'ang va ngU'Q'cliiii phai dU'Q'cSl,l'chftp thu~n b~ng vanban cLlaNHNN trU'ac khi chuy~n nhU'Q'ng.

HOisO'chinh 41 - 45 Le Du~n, Q 1, Tp,HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www,ocb,com,vn h L--,/L ,/

OCBNgln H~ngPhuong06ng Billu Ie Ngan hang TMCP PhU'O'ngBong BHBCB

Di~u 19. Mua I\li c6 phAn theo yeu cAu cua C6 dong

1. cs dong bi~u quyet phan d6i quyet dinh v~ viec t6 chirc IGliOCB hoac thay d6i quysn,nghia Vl,Jcua cs dong quy dinh tai £)i~u Ie oeB co quyen yeu cau OeB mua lal c6 phancua minh. Yeu cau phai bang van ban, trong do neu ro ten, dia chi cua e6 dong, s61U'(;mgc6 phan tLrng IOGli,gia dl)' dinh ban, Iy do yeu cau oeB mua lai. Yeu cau phaidU'oocgLPid~n OeB trong thai han 10 ngay lam viec, k~ tLr ngay £)Glihoi dOng cs dongthong qua quyet dinh v~ cac v~md~ quy dinh tal khoan nay.

2. OCB phai mua li;li c6 phan theo yeu cau cua c6 dong quy dlnh tal khoan 1 £)i~u nay v&igia do Hoi dOng Quan tri quy~t dinh trong thai hGln90 ngay, k~ tLr ngay nh~n dU'oocyeucau. TrU'ang hoopkhong thoa thu~n dU'oocv~ gia thi e6 dong do co th~ ban c6 phan chongU'ai khac hol)c cac ben co th~ yeu du mot t6 ch(fc dinh gia chuyen nghi$p dinh gia.OeB gi&i thieu it nh~t ba t6 ch(fc dinh gia chuyen nghi$p d~ c6 dong Il)'a chon va Il)'achon do 113quy~t dinh cu6i cung.

Di6u 20. Mua I\li c6 phAn theo quy6t djnh cLiaOCB

1. V&i cac di~u kien theo quy dinh tGli khoan 1, £)i~u 21 clla £)i~u 1$ nay, OCB co quy~nmua IGlikhong qua 30% t6ng s6 c6 phan ph6 thong d§ ban, mot phan hol)c toan bo c6 ~.phan U'ud§i c6 t(fc d§ ban theo quy dinh tGlicac khoan 2, 3, 4 va 5 cua £)i~u nay.

2. Hoi dOng Quan tri co quy~n quy~t dinh mua IGlikhong qua 10% t6ng s6 c6 phan cua tLrngIOi;lid§ dU'oocchao ban trong m6i mU'ai hai thang. Trong trU'ang hoopkhac, vi$c mua IGlic6 phan do £)Glihoi dOng c6 dong quy~t dinh.

3. Hoi dOng Quan tri quy~t dinh gia mua li;li c6 phan. £)6i v&i cll phan ph6 thong, gia mua li;likhong dU'ooccao hO'n gia thi trU'ang tGlithai di~m mua IGli,trLr trU'ang hoopquy dinh ti;likhoan 4, £)i~u nay. £)6i v&i c6 phan IOi;likhac, n~u OCB va c6 dong co lien quan khongco thoa thu~n khac thi gia mua IGlikhong dU'oocth~p hO'ngia thi trU'ang.

4. OCB co th~ mua li;li e6 phan clla tLrng cll dong tU'O'ng (fng v&i ty 1$ cll phan cua hO.Trong trU'ang hOOpnay, quy~t dinh mua IGlic6 phan cua OCB phai dU'oocthong bao bangphU'O'ng th(fc bao dam d~n dU'ooct~t ca cll dong trong thai hGln 30 ngay, k~ tLr ngayquy~t dinh do dU'oocthong qua. Thong bao phai co ten, dia chi trl,Jsa chinh cua OCB,t6ng s6 c6 phan va IOGlic6 phan dU'oocmua li;li, gia mua IGlihol)c nguyen tac dinh gia muali;li, thu tl,JCva thai hGlnthanh toan, thu tl,JCva thai hGlnd~ e6 dong chao ban c6 phan cLla \....ho cho OCB.

c6 dong dOng y ban IGlic6 phan phai gLPichao ban cll phan cLla minh bang phU'O'ngth(fcbao dam d~n dU'oocOCB trong thai hGln30 ngay, k~ tLr ngay thong bao. Chao ban phaico ho, ten, dia chi thU'ang tru, s6 Gi~y ch(fng minh nhan dan, Ho chi~u hol)c ch(fng thl)'cca nhan hoopphap khac cua e6 dong 113ca nhan; ten, dia chi thU'ang tru, qu6c tich, s6quy~t dinh thanh I~p hol)c s6 dang ky doanh nghiep clla e6 dong 113tll ch(fc; s6 c6 phansa hCru va 56 c6 phan chao ban; phU'O'ng th(fc thanh toan; chCr ky cLla cll dong ho~cngU'ai dGlidien theo phap lu~t cLla cll dong. OCB chi mua IGlicll phan dU'oocchao bantrong thai hGlnnoi tren.

5. Viec OCB mua IGlic6 phi~u cLla chinh minh d~ lam cll phi~u quy phai dap (fng cac di~uki$n va thu tl,JCcua phap lu~t d6i v&i cong ty dGlichung va clla Ngan hang Nha nU'&c.

Di~u 21. Di~u ki~n thanh toan va XLP Iy cac c6 phAn dU'Q'cmua I\li14

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H¢i sa chfnh: 41 - 45 Le Du~n, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax (84-8) 38220963, Website www.ocb.com.vl1

OCBNg~nHangPhudng£l6ng £>iflu I~ Ngan hang TMCP Phll'O'ng £>ong £>H£>C£>

1. Ngoai cac han ch~ khac dOivoi cong ty d~i chunq theo quy dinh cua phap lu~t co lienquan, OCB chi duoc mua lai cO phan cua COdong n~u sau khi thanh toan h~t sO cOphan dU'Q'cmua I~i rna van bao dam cac ty Ie an toan trong hoat dQngngan hang, gia tr]thuc cua vOn dieu Ie khong giam th~p hon rmrc vOn phap dinh: trU'cmghop mua I~i cOphan dan d~n viec giam vOndieu Ie cua OCB thl phai duoc NHNN chap thuan trucebang van ban.

2. COphieu xac nhan quyen sa h(l'u cOph~n da dU'Q'cmua lal phai dU'Q'ctieu huy ngay saukhi cO ph~n tU'O'ngLrng da duoc thanh toan dU. Chu tich HQi dOng Ouan tr] va TOngGiam dOc phai lien d&i chiu trach nhiem ve thiet h~i do khong tieu huy ho~c ch~m tieuhuy cOphi~u gay ra dOiv&i OCB.

Di~u 22. Phiit hanh triii phi6u

OCB co quyen phat hanh trai phi~u, trai phi~u chuy~n dOiva cac lo~i trai phi~u khac theoquy dinh cua phap lu~t va £lieu Ie OCB.

ChU'O'ngVI

cO' cAu TO CHlrC QUAN LY

Di~u 23. CO'cAu t6 ch(l'c quan Iy

1. CO'c~u to chLrcm~ng 1U'&iho~t dQngcua OCB:

a) OCB dU'Q'cma chi nhanh, van phong d~i dien, phong giao dich, may giao dich tl,l'dQng, dO'nvi Sl,l'nghiep va cac dO'nvi tn,J'cthuQc khac tr€mcO'sa tuan thu cac quydinh cua phap lu~t, hU'&ngdan cua NHNN va cac cO'Nha nU'&cco tham quyen;

b) OCB co quyen d~u tU'vOn,gop vOnthanh I~p, mua cOph~n, lien doanh lien k~t d~thanh I~p cac cong ty con, cong ty tn,J'cthuQc,dO'nvi trl,l'CthuQctren cO'sa tuan thucac quy dinh cua Lu~t Doanh nghiep, Lu~t Cac to chLrCtin dl,mg,cac quy dinh phaplu~t khac co lien quan.

2. Viec quy~t dinh thanh I~p, tham gia gop vOn, rut vOn hay ch~m dLl'tho~t dQngcua cacdO'nvi dU'Q'cquy dinh t~i khoan 1 cua £lieu nay thuQctham quyen cua £l~i hQidOngcOdong, HQidOngQuan trj ho~c cac cO'quan quan Iy khac cua OCB tren cO'sa tuan thuquy dinh cua £lieu Ie nay va cac quy dinh khac cua phap lu~t co lien quan.

3. CO'du to chLrcquan Iy cua OCB bao gOm:

a) £l~i hQidOngCOdong;

b) HQidOngQuan trj;

c) Ban Ki~m soat;

d) TOngGiam dOcva BQmay giup viec.

4. HQidOngQuan trj phai quy djnh Cl,Jth~ cO'c~u, ch(rc nang, nhiem Vl,JcLlabQmay quan Iy,dieu hanh phu hQ'pv&i quy djnh cua phap lu~t va quy mo ho~t dQngkinh doanh cua oeBtrong tll'ng thai kyo

15

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

OOCBNganH~ngPhlldng£lOng £li~u I~ Ngan hang TMCP PhLYO'ng£long £lH£lC£l

5. HOid6ng Ouan tri, Ban Ki~m soat phai xay dl,mg co ch~ uy quyen, phan cong trong noibOHOid6ng Ouan tri, Ban Ki~m scat, T6ng Giarn d6c va bo may giup viec phu hop v&icac quy dinh khac cua phap lu~itd~ bao dam vi$c quan tri, di~u hanh ngan hang dU'Q'cantoan, hieu qua va thong su6t.

ChU'O'ngVII

co DONG vA D~I HOIDONG co DONG

Di6u 24. se dang ky ce dong va xac I,p danh saeh c6 dong

1. OeB phai I~p va luu giCrs6 dang ky cs dong tli khi dU'Q'ccap Gi~y chunq nhan dang kydoanh nghi$p. ss dang ky cs dong dU'Q'cI~p b~ng van ban va tap dCrlieu di$n tLi'.

2. so dang ky e6 dong c6 cac noi dung chu y~u sau day:

a) Ten, dja chi tru sa chinh cua oeB;

b) T6ng s6 c6 phan dU'Q'cquy~n chao ban, IOc;lic6 phan dU'Q'cquy~n chao ban va s6 c6phan dU'Q'cquy~n chao ban cua tling IOc;li;

c) T6ng s6 c6 phan da ban cua tling IOc;liva gia trj v6n c6 phan da g6p;

d) Ho, ten, dja chi thU'cmgtru, qu6c tjch, s6 Gi~y chLrngminh nhan dan, Ho chi~u ho~cchLrngthl,J'cca nhan hQ'pphap khac d6i v&i COdong la ca nhan; ten, dja chi thU'angtru, qu6c tjch, s6 quy~t djnh thanh I~p ho~c s6 dang ky doanh nghi$p d6i v&i e6dong la t6 chLrc;

e) s6 1U'Q'ngc6 phan tling IOc;licua m6i e6 dong, ngay dang ky c6 phan.

3. s6 dang ky e6 dong dU'Q'clU'ugiCrtc;litn,l sa chinh cua OeB ho~c Trung tam dang ky, lU'uky, bu trli va thanh toan chLrngkhoan. e6 dong c6 quy~n ki~m tra, tra CLrUho~c trich h,.rc,sao chep noi dung lien quan d~n chinh e6 dong trong s6 dang ky COdong trong gia lamviec cua oeB ho~cTrung tam dang ky, lU'uky, bu trli va thanh toan chLrngkhoan.

4. Xac I~p danh sach e6 dong:

a) OeB quy djnh CI,.Ith~ v~ thai di~m xac I~p danh sach cac e6 dong dU'Q'chU'angcacquy~n cua e6 dong va phai bao dam e6 dong c6 du thai gian d~ dang ky nhCrngthay d6i v~ ban than va s6 c6 phan ma minh sa hCruv&i oeB trU'&c thai di~m n6itren;

b) eac giao djch chuy~n nhU'Q'ngc6 phan phat sinh trong khoang thai gian tli sau ngaych6t danh sach e6 dong d~n ngay quy~n cua e6 dong dU'Q'cthl,J'chi$n thi ngU'aichuy~n nhU'Q'ngla ngU'aidU'Q'chU'angcac quy~n cua e6 dong.

Di6u 25. Quy6n ella c6 dong

1. COdong phOthong c6 cac quy~n sau day:

a) Tham dl,J'va phat bi~u y ki~n trong cac cuoc hop f)c;lihoi d6ng COdong va thl,J'Chi$nquy~n bi~u quy~t trl,J'cti~p ho~c thong qua dc;lidi$n dU'Q'cuy quy~n; m6i c6 phan ph6thong c6 mot phi~u bi~u quy~t;

b) f)U'Q'cnh~n c6 tLrCtheo nghj quy~t cua f)c;lihOid6ng e6 dong;

16----_ .._--_._--------_ _ .._ __ _-- ..••.

HQisa chinh: 41 - 45 Le DLI~n,Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website www.ocb.com.vn

Ngan Hang Phll<Jng D6ng f)i~u I~ Ngan Mng TMCP PhU'O'ngf)ong f)Hf)Cf)

C) f)U'c,YCU'Utien mua cOphan m&i chao ban tU'O'ngLrngv&i ty Ie cOph~n phOthong cuatung COdong trong aCB;

d) f)U'c,Ycchuyen nhU'c,YngcOphan cho COdong khac cua aCB hoac to chuc, ca nhankhac, ban lal cOphan cho aCB theo quy dinh cua phap luciltva f)i~u Ie nay;

e) Xem xet, tra CLrUva trich luc thong tin trong danh sach COdong c6 quy~n bi~u quyetva yeu c~u sLfadOithong tin khong chinh xac:

f) Xem xet, tra CLrU,trich luc hoac sao chup f)i~u Ie cua aCB, sObien ban hop f)l;Ii h¢id6ng COdong va cac nghi quy~t cua Dai h¢i d6ng COdong;

g) f)U'c,Ycnhan mot phan tal san con Il;IitU'O'ngLrngv&i s6 cOphan sa hCrutai aCB khiaCB giai th~ hoac pha san sau khi aCB da thanh toan cho cac chu nc va cac COdong loai khac theo quy dinh cua phap lucilt;

h) f)U'c,Ycuy quy~n bang van ban cho ngU'ai khac thl,J'chien cac quy~n, nghia Vl,Jcuaminh; ngU'aidU'c,Ycuy quy~n khong dU'Q'cLrngcLfv&i tU'cach cua chinh minh;

i) f)U'c,YcLrngcLf, d~ cLf ngU'aivao H¢i d6ng Quan tri, Ban Ki~m soat theo ty Ie nhU'sau:

COdong, nh6m COdong sa hCrutu 10% d~n dU'&i20% tOngs6 cOph~n c6quy~n bi~u quy~t dU'c,Ycd~ cLft6i da 1 LrngcLfvien;







COdong, nh6m COdong sa hCrutu 80% d~n dU'&i90% tOngs6 cOph~n c6quy~n bi~u quy~t dU'c,Ycd~ cLft6i da 8 LrngcLfvien.

Danh sach Lrng cLf vien phai dU'c,YcCOdong ho~c nh6m COdong gLfi t&i H¢i d6ngQuan tri theo dung thai hl;lndo H¢i d6ng Quan tri thong bao.

j) Cac quy~n khac theo quy dinh cua phap lucilt(n~u c6).

2. COdong ho~c nh6m COdong sa hCrutren 10% tOngs6 cOph~n phOthong trong thai hlilnlien t\,Jcit nhat 6 thang c6 them cac quy~n sau day:

a) Xem xet va trich ll,JcsObien ban va cac nghi quy~t cua H¢i d6ng Quan trj, bao caotai chinh giCranam va hang nam theo mau cua he th6ng k~ toan Viet Nam va cacbao cao cua Ban Ki~m soat;

17

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Hoi so' chinh: 41 - 45 Le Duan, Q.1, Tp HeM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn ~ z.___.

~~

gOeBNgan Hang PhUOng£l6ng Dillu I~NganMng TMCPPhuongDong DHDCD

b) Yeu c~u trieu tap hop f)~i hOi d6ng CO dong trong trU'ang hop quy dinh tai khoan 3f)i~u nay;

c) Yeu cau Ban Ki~m soat ki~m tra bing van d~ Cl,Jth~ lien quan d~n quan Iy, di~uhanh hoat dong cua DCB khi xet thay c~n thi~t. Yeu cau phai b~ng van ban; phai cohe, ten, dia chi thU'ang tru, qucc tich, s6 Giay ChlJ'ngminh nhan dan, Ho chieu hoacchlrng thuc ca nhan hop phap khac d6i v&i CO dong la ca nhan; ten, dia chi thU'angtru, quec tich, s6 quyet dinh thanh I~p hoac s6 dang ky doanh nghi$p dOi v&i COdong la to chuc: s6 1U'Q'ngcO phan va thai di~m dang ky cO phan cua tlJ'ng COdong,tOng s6 cO ph~n cua ca nhorn CO dong va ty 1$sa hCru trong tOng s6 cO ph~n cuaDCB; van d~ c~n ki~m tra, ml,JCdich ki~m tra;

d) Cac quy~n khac theo quy dinh cua phap lu~t (n~u co).

3. CO dong ho~c nhom CO dong quy dinh t~i khoan 2 f)i~u nay co quy~n yeu du tri$u t~phop f)~i hoi d6ng COdong trong cac trU'ang hO'psau day:

a) HOi d6ng Quan tri vi ph~m nghiem trong quy~n cua CO dong, nghia Vl,Jcua ngU'aiquan Iy ho~c ra quy~t dinh VU'Q'tqua th~m quy~n dU'O'cgiao;

b) Nhi$m ky cua Hoi d6ng Quan tri da VU'Q'tqua 06 thang rna Hoi d6ng Quan tri m&i LtchU'a dU'O'cb~u thay th~.

Yeu c~u tri$u t~p hop Hoi d6ng CO dong phai dU'Q'cI~p b~ng van ban va phai co ho,ten, dia chi thU'ang tru, s6 Giay ChlJ'ng minh nhan dan, Ho chi~u ho~c ChlJ'ng thl,J'ccanhan hO'p phap khac d6i v&i COdong la ca nhan; ten, dia chi thU'ang tru, qu6c tich, s6quy~t dinh thanh I~p ho~c s6 dang ky doanh nghi$p d6i v&i CO dong la to chlrc; s6 cOph~n va thai di~m dang ky cO ph~n cua tLrng CO dong, tOng s6 cO ph~n cua ca nhomCO dong va ty 1$sa hCru trong tOng s6 cO ph~n cua DCB, can Clr va Iy do yeu c~utri$u t~p hop f)~i hoi d6ng CO dong. Kem theo yeu c~u phai co cac tai li$u, chlrng Clrv~ cac vi ph~m cua HOi d6ng Quan tri, mlrc dO vi ph~m ho~c v~ quy~t dinh vU'O'tquath~m quy~n.

4. COdong sa hCrucO ph~n U'udai cO tlrC co cac quy~n sau day:

a) Nh~n cOtlrC v&i mlrc theo quy dinh t~i f)i~u 1$nay;

b) f)U'O'c nh~n I~i mot ph~n tai san con I~i tU'O'ng lrng v&i s6 cO ph~n gop v6n vao DCB,sau khi DCB da thanh toan h~t cac khoan nO' trong trU'ang hO'p DCB giai th~ ho~cpha san;

c) Cac quy~n khac nhU' CO dong phO thong, trLr quy~n bi~u quy~t, dl,J'hOp f)~i hOi d6ngCOdong, d~ CLYngU'ai vao HOi d6ng Quan tri va Ban Ki~m soat.

5. CO dong la to chlrc co quy~n CLY1 ho~c mot s6 ngU'ai d~i di$n theo uy quy~n thl,J'chi$ncac quy~n CO dong cua minh theo quy dinh cua phap lu~t; trU'ang hO'p co nhi~u hO'n 1ngU'ai d~i di$n theo uy quy~n dU'O'cCLYthi phai xac dinh Cl,Jth~ s6 cO ph~n va s6 phi~ub~u cua moi ngU'ai d~i di$n. Vi$c CLY,cham dlrt ho~c thay dOi ngU'ai d~i di$n theo uyquy~n phai dU'O'cthong bao b~ng van ban d~n DCB trong thai h~n sam nhat. Thong baophai co cac noi dung chu y~u sau day:

a) Ten, dia chi thU'ang tru, qu6c tich, s6 va ngay quy~t dinh thanh I~p ho~c dang kydoanh nghi$p cua CO dong;

18

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OCBNgan Hang PhU<lngDong Bieu Ie Ngfm hang TMCP PhuO'ngBOng BHBCB

b) So IU'O'nge6 phan, loat e6 phan va ngay dang ky c6 dong tal eCB;

c) Ho, ten, dia chi thU'cmgtru, quoe tich, so Giay ehlmg minh nhan dan, Ho chieu ho~eehlmg thuc ca nhan hop phap khac cua ngU'cYid~i dien theo uy quyen:

d) So e6 phan dU'O'euy quyen d~i dien;

e) Thoi han dai dien theo uy quyen:

f) Ho, ten, ehCrky cua ngU'cYidal dien theo uy quyen va ngU'cYid~i dien theo phap lu~tcua cs dong.

£)iltu 26. Nghia v~ cua COdong phO thong oce1. c6 dong cua eCB phai thuc hien cac nghia vu sau:

a) Cung cap dia chi ehinh xac khi dang ky mua e6 phan;

b) Thanh toan du so e6 phan cam ket mua trong thcYihan do DCB quy dinh; chiu trachnhiern v~ cac khoan no va nghia Vl,ltai san khae eua DCB trong ph~m vi so von dag6p vao aCB;

e) Khong dU'O'erut von e6 phan da g6p ra kh6i aCB dU'ai moi hinh thlfe d~n den vieegiam von di~u Ie eua DCB, trCrtrU'cYnghO'pdU'O'eDCB ho~e ngU'cYikhae mua I~i cophan theo quy dinh t~i f)i~u Ie nay va phap lu~t. TrU'cYnghO'pe6 Co dong rut motphan ho~e toan bo von e6 phan da g6p trai vai quy djnh t~i khoan nay thi thanh vienHoi dOngQuan tri va ngU'cYid~i dien theo phap lu~t eua DCB phai eung lien dai ehjutraeh nhiem v~ cae khoan nO'va nghia Vl,ltai san khae eua DCB trong ph~m vi gia trico phan da bi rut;

d) Chiu traeh nhiem trU'ae phap lu~t v~ tinh hO'pphap eua nguOnvon mua e6 phan t~iDCB; '\

e) Tuan thu f)i~u Ie va Quy ehe quan Iy noi bOeua DCB; ~,

"JIm'f) Chap hanh nghi quyet, quyet djnh eua f)~i hoi dOngc6 dong, Hoi dOngQuan tri; .i} /{~('~~g) Thl,l'ehi~n eae nghia v~ khae theo quy dinh eua phap lu~t vii ElitlUI~ nily. -I il.~ \

h) Co dong pho thong phai ehju traeh nhiem ea nhan khi nhan danh DCB dU'aimoi hinh '~\"-thlfe d~ thl)'e hien mot trong cae hanh vi sau day: ",~

Vi ph~m phap lu~t;

Tien hanh kinh doanh va cae giao dieh khae d~ tU' IO'iho~e phl,leVl,lIO'iieh eua toehlfe, ea nhan khae;

Thanh toan cae khoan nO'ehU'aden h~n trU'ae nguy cO'tai ehinh e6 th~ xay radoi vai DCB.

2. Co dong nh~n uy thae dau tU'eho to ehlfe, ea nhan khae phai eung cap thong tin v~ ehusa hO>uthl)'e 51)' eua so co phan ma minh nh~n uy thae dau tU'; trong trU'cYnghO'pDCBphat hien cae Co dong d6 khong eung e~p thong tin xae thl)'e v~ ehu sa hCruthl)'e 51)' caeco phan, DCB e6 quy~n dinh chi quy~n Co dong eua cae Co dong nay.

£)iltu 27. £)~i hQi d6ng COdong

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HOiso' chinh 41 - 45 Le Duan, Q,1, Tp,HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn L-~~

aoeBNgAnH~ngPh<IOng DOng £)i~u Ie Ngan hang TMCP PhuO'ng£)6ng £)H£)C£)

1. f)i;ii hOi d6ng CO dong g6m t~t ca CO dong c6 quyen bi~u quyet, la co quan quyet dinhcao nh~t cua OCB. Dal hOi d6ng CO dong heat dong qua cuec hop thU'cmg nien, cuochop b~t thU'cmg va I~y 'I ki~n COdong b~ng van ban.

2. f)i;ii hoi d6ng CO dong phai hop thU'cmg nien trong thai han 04 thanq, k~ tLl' ngay k~t thucnam tai chinh hoac mot thai han khac n~u dU'Q'cco quan quan 1'1Nha nuoc c6 thamquyen chap thuan.

3. f)i;ii hoi d6ng CO dong c6 cac nhiern VI,J, quy~n han sau:

a) Thong qua dinh hU'ang phat tri~n cua DCB;

b) SUradOi, bO sung f)i~u Ie cua DCB;

c) Phe chuan quy dinh v~ to chuc va heat dong cua HOi d6ng Quan tri, Ban Ki~m scat:

d) Quy~t dinh s6 1U'Q'ngthanh vien HOi d6ng Ouan tri, Ban Ki~m soat tLl'ng nhiern ky;b~u, mi~n nhiem, bai nhi$m; b~u bO sung, thay th~ thanh vien HOi d6ng Quan tri,thanh vien Ban Ki~m soat phu hQ'p vai cac tieu chu~n, di~u ki$n theo quy dinh cLlaphap lu~t va f)i~u 1$cLla DCB;

e) Quy~t dinh mLrc thu lao, thU'eYngva cac lQ'i ich khac d6i vai thanh vien Hoi d6ng Quan \..ttri, thanh vien Ban Ki~m soat va ngan sach hOi;it dong cLla HOi d6ng Quan tri, BanKi~m soat;

f) Xem xet va xUr1'1theo th~m quy~n vi phi;im cLla Hoi d6ng Quan tri, Ban Ki~m soat gaythiet hi;ii cho OCB va COdong cLla DCB;

g) Quy~t dinh cO'c~u to chLrc, bo may quan 1'1di~u hanh cLla OCB;

h) Thong qua phU'O'ngan thay dOi mLrc v6n di~u Ie; thong qua phU'O'ng an chao ban cOph~n, bao g6m 10i;iicO ph~n va s6 1U'Q'ngcO ph~n mai se chao ban;

i) Thong qua viec mua li;ii cO ph~n da ban;

j) Thong qua phU'O'ngan phat hanh trai phi~u chuy~n dOi;

k) Thong qua bao cao tai chinh h~ng nam; phU'O'ngan phan ph6i lQ'i nhu~n sau khi dahoan thanh nghia VI,J thu~ va cac nghia VI,J tai chinh khac cLla DCB;

I) Thong qua bao cao cLla HOi d6ng Quan tri, Ban Ki~m soat v~ vi$c thl,J'c hi$n nhi$mVI,J, quy~n hi;in dU'Q'cgiao;

m) Quy~t dinh thanh I~p cong ty con;

n) Thong qua phU'O'ng an g6p v6n, mua cO ph~n cLla doanh nghi$p, to chLrC tin dl,mgkhac c6 gia tri tLl'20% treYlen so vai v6n di~u 1$cLla DCB ghi trong bao cao tai chinhda dU'Q'cki~m toan g~n nh~t;

0) Quy~t dinh d~u tU', mua, ban tai san cLla DCB co gia tri tLl' 20% tra len so vai v6ndi~u 1$cLla OCB ghi trong bao cao tai chinh da dU'Q'cki~m toan g~n nh~t;

p) Thong qua cac hQ'p d6ng c6 gia tri tren 20% v6n di~u Ie cLla DCB ghi trong bao caotai chinh da dU'Q'cki~m toan g~n nh~t giCra OCB vai thanh vien H¢i d6ng Quan tri,thanh vien Ban Ki~m soat, TOng Giam d6c, CO dong Ian, ngU'ai co lien quan cLlangU'ai quan 1'1,thanh vien Ban Ki~m soat, CO dong Ian cLla OCB; cong ty con, congty lien k~t cLla DCB;

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OCBNganHangPhlldng f)6ng £lieu I~ Ngan Mng TMCP PhU'O'ng£long £lH£lC£l

q) Quy~t dinh viec ehia, tach, hop nhat, sap nhap, chuyen dOihinh thuc phap Iy, giai th~hoac yeu eau Tea an ma thu tuc pha san OCB;

r) Quy~t dinh giai phap khac phuc bi~n d¢ng lon v~ tai ehinh cua OCB;

s) Quy~t dinh hoac uy quyen eho H¢i dOngQuan trj quy~t djnh Iva chon m¢t to clurcki~m toan d¢e I~p du di~u kien theo quy djnh cua NHNN d~ ki~m toan hoat d¢ng cuaOCB trong nam tai ehinh ti~p theo truoc khi k~t thuc narn tal ehinh.

4. COdong khong dU'Q'etham gia be phi~u trong cac trU'cmghop sau day:

a) Cac hop dOngquy dinh tai di~m p, khoan 3, f)i~u nay khi COdong d6 hoac ngU'oi e6lien quan toi COdong d6 la m¢t ben cua hop dOng;

b) Viec mua cOphan cua COdong d6 hoac eua ngU'oie6 lien quan t&i COdong d6.

5. Tat ea cae nghi quy~t va cae van d~ da dU'Q'edU'avao ehU'O'ngtrinh hop phai dU'Q'edU'ara thao lu~n va bi~u quy~t tf;li f)f;li h¢i dOngCOdong.

£)i~u28. Tham quy~n tri~u t,p hQp£),i hQid6ng CO dong

1. H¢i dOngQuan trj phai trieu t~p eu¢e hOpthU'ong nien f)f;li h¢i dOng COdong theo quy~ dinh tf;li f)i~u 27 f)i~u Ie nay va trieu t~p hop bat thU'ong f)f;li h¢i dOngCOdong trong cae

trU'ong hQ'psau day:

a) H¢i dOngQuan tri xet thay can thi~t vi lQ'iieh eua OCB;

b) s6 thanh vien H¢i dOngQuan tri con If;liit hO'n05 thanh vien ho~e Ban ki~m soat conIf;liit hO'n03 thanh vien;

c) Theo yeu eau eua COdong ho~e nh6m COdong quy dinh tf;li khoan 2, f)i~u 25, f)i~uIe nay;

d) Theo yeu eau eua Ban Ki~m soat;

e) Theo yeu eau eua NHNN.

2. H¢i dOngQuan trj phai trieu t~p hOpf)f;li h¢i dOngCOdong trong thoi hf;ln60 ngay, k~ tungay s6 thanh vien H¢i dOngQuan trj con If;linhU'quy dinh tf;li di~m b ho~e nh~n dU'Q'eyeu du quy dinh tf;lidi~m e, d va di~m e, khoan 1 f)i~u nay.

TrU'ong hQ'pH¢i dOngQuan trj khong trieu t~p hOpf)f;li h¢i dOngCOdong nhU'quy dinhthi Chu tieh H¢i dOngQuan tri va cae thanh vien H¢i dOngQuan tri phai ehiu traeh nhiemtrU'&ephap lu~t va phai bOithU'ong thiet hf;liphat sinh d6i v&i OCB.

3. TrU'ong hQ'pH¢i dOngQuan tri khong trieu t~p hOpf)f;li h¢i dOngCOdong theo quy dinhtf;li khoan 2, f)i~u nay thi trong thoi hf;ln30 ngay ti~p theo, Ban Ki~m soat thay th~ H¢idOngQuan tri trieu t~p hOpf)f;li h¢i dOngCOdong theo quy dinh eua f)i~u Ie nay.

TrU'ong hQ'pBan Ki~m soat khong trieu t~p hOpf)f;li h¢i dOngCOdong nhU'quy dinh thiTrU'ang Ban Ki~m soat phai ehju traeh nhiem trU'&ephap lu~t va phai bOithU'ong thiethf;liphat sinh d6i v&i OCB.

4. TrU'ong hQ'pBan Ki~m soat khong trieu tcl'iphop £)c;iih¢i dOngCOdong theo quy dinh tc;iikhoan 3, f)i~u nay thi COdong ho~e nh6m COdong quy dinh tf;li khoan 2, f)i~u 25, f)i~uIe nay e6 quy~n thay th~ H¢i dOngQuan trj, Ban Ki~m soat trieu t~p hOpf)f;li h¢i dOngCOdong theo quy dinh eua f)i~u Ie nay.

21

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ooceNgan Hang PhUllng 06n9 £>il!u Ie Ngan hang TMCP PhU'O'ng £>ong £>H£>C£>

Trong trU'ang hop nay, COdong hoac nh6m COdong trieu tap hop £)~i hOidong COdongc6 th~ d~ nghj co quan dang ky kinh doanh giam sat vi~c trieu tap va tien hanh hop neuxet th~y can thiet.

5. NgU'ai trieu tap phai I~p danh sach COdong c6 quyen dl,f hop £)~i hOi dong COdong,cung cap thong tin va giai quyet khieu nal lien quan d€lndanh sach COdong, I~p chuonqtrlnh va noi dung cuec hop, chuan b] tal Ii~u, xac dinh thai gian va dia di~m hop, gCrithong bao mai hop d€lntLl'ngCOdong c6 quyen dl,f hop theo quy dinh tai £)i~u I~ nay.

6. Chi phi cho vi~c trieu tap va ti€ln hanh hop £)~i hoi dong COdong theo quy dinh tal cackhoan 2, 3 va 4 cua £)i~unay S9 dU'Q'caCB hoan lai.

£)i~u 29. Danh sach CO dong c6 quy~n d., hep £)~i hQi dAng CO dong

1. Danh sach cOdong c6 quyen dl,f hOp£)~i hOidong cOdong dU'Q'cI~p dl,fa tren sOdangky cOdong cua aCB. Danh sach cOdong c6 quy~n dl,f hOp£)~i hOidong cOdong dU'Q'cI~p khong scYmhO'n60 ngay trU'cYcngay gCrigi~y mai hOp£)~i hoi dong cOdong.

2. Danh sach cO dong c6 quy~n dl,f hOp£)~i hOi dong cO dong phai c6 ho, ten, dia chithU'ang tru, qu6c tich, s6 The can CU'cYCcong dan, Gi~y chLrngminh nhan dan, Ho chi€luho~c chLrng thl,fc ca nhan hQ'pphap khac cua cOdong la ca nhan; ten, ma s6 doanh \...tnghi~p ho~c s6 quy€lt dinh thanh I~p, dia chi tn,Jsa chinh cua cO dong la to chLrc; s61U'Q'ngcOphan tLl'nglo~i, s6 va ngay dang ky cOdong cua tLl'ngcOdong.

3. COdong c6 quy~n ki~m tra, tra CLrU,trich h,JCva sao danh sach c6 dong c6 quy~n dl,fhOp£)~i hOi dong cO dong; yeu cau slra dOi nhCrngthong tin sai I~ch ho~c bO sungnhCrngthong tin can thi€lt v~ mlnh trong danh sach cO dong c6 quy~n dl,f hOp£)~i hOidong cOdong. NgU'aiquan Iy OCB phai cung c~p kip thai thong tin s6 dang ky cOdong,slra dOi,bOsung thong tin sai I~ch theo yeu cau cua cOdong; dong thai chiu trach nhi~mboi thU'ang thi~t h~i phat sinh do khong cung c~p ho~c cung c~p khong kip thai, khongchinh xac thong tin sOdang ky cOdong theo yeu cau. TrInh tl,f, thu tl,lCyeu cau cung c~pthong tin trong sOdang ky cOdong thl,fc hi~n theo quy dinh n¢i b¢ cua aCB.

£)i~u 30. ChU'O'ng trinh va nQi dung hQp £)~i hQi dAng CO dong

1. NgU'aitri~u t~p hOp£)~ihoi dong COdong phai I~p danh sach COdong c6 quy~n dl,f hOpva bi~u quy€lt; chu~n bi chU'O'ngtrInh, noi dung, tai li~u cuoc hOpva dl,f thao nghi quy€ltd6i vcYitLl'ngv~n d~ trong chU'O'ngtrlnh hop; xac dinh thai gian, dia di~m hop va glri '-.tthong bao mai hOpd€lncac COdong c6 quy~n dl,f hOp.

2. c6 dong ho~c nh6m COdong quy dinh t~i khoan 2, £)i~u 25, £)i~u I~ nay c6 quy~n ki€lnnghi v~n d~ dU'avao chU'O'ngtrlnh hop £)~i hoi dong c6 dong. Ki€lnnghi phai bang vanban va dU'Q'Cglri d€lnaCB ch~m nh~t 03 ngay lam vi~c trU'cYcngay khai m~c. Ki€lnnghiphai ghi r6 ten COdong, s6 1U'Q'ngtLl'ng lo~i cOphan cua COdong, s6 va ngay dang kyCOdong t~i aCB, v~n d~ ki€lnnghj dU'avao chU'O'ngtrlnh hOp.

3. NgU'ai tri$u t~p hop £)CilihOidong c6 dong chTc6 quy~n tLl' ch6i ki~n nghi quy dinh tCilikhoan 2, £)i~unay n€luc6 mot trong cac trU'ang hQ'psau day:

a) Ki€lnnghi dU'Q'cglri d€lnkhong dung thai h~n ho~c khong du, khong dung n¢i dung;

b) V~n d~ ki€lnnghi khong thuoc th~m quy~n quy€ltdinh cua £)~i hOidong COdong;

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.-_ ...._- . ---- ..---.------.--- ..-.-.-"-.------..---~-.•--~-------------.--,---.--~.-----.----.. "-.------.----. -._-_._-----_-.__ .---,~ ..... --.--- ••.~-"-."~-~-~-~--.-.---,-",--------- • _. __ ,, __ .,__ .__ , "_~ .•• _M'__ ... _. __ •• .__ " .,_

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OCBNgan Hang PhLldng DOng £)i~u Ie Ngan hang TMCP PhU'O'ng£)ong £)H£)C£)

c) Van d~ ki~n nghj d6i hoi phai c6 thai gian chuan b] hoac can c6 co sa giai quyet rna£>c;lihoi dOngC6 dong khong th~ dap Lrngngay tGliphien hop,

4. NgU'ai trieu tap hop Dal hOidOng C6 dong phai chap nhcilnva dU'a ki~n nghi quy djnhtal khoan 2 £>i~unay vao dl,Pki~n chU'O'ngtrinh va noi dung cuoc hop, trCrtrU'ang hopquy djnh tGlikhoan 3, £>i~unay; ki~n nghj dU'Q'cchinh thuc b6 sung vao chU'O'ngtrinhva noi dung cuoc hop n~u dU'Q'c£>GlihOidOngC6 dong chap thuan.

£>i6u31. McYihop £)~i hQi dOng COdong

1. NgU'ai trieu tap hop Dai hOidOngc6 dong phai glfi thong bao mai hop d~n tat ca cac c6dong trong Danh sach c6 dong c6 quyen dl,l' hop cham nhat 10 ngay trU'oc ngay khaimc;lc.Thong bao mai hOpphai c6 ten, dja chi tn,l sa chinh, ma s6 doanh nghi$p; ten, djachi thU'ang tru cua c6 dong, thai gian, dja di~m hop va nhCfngyeu cau khac d6i voingU'aidl,l'hop.

2. Thong bao dU'Q'cglfi bang phU'O'ngthLrCbao dam d~n dU'Q'cdja chi lien Ic;lCcua c6 dong;dOngthai dang tren trang thong tin di$n tlf cua cong ty va dang bao hang ngay cua trungU'O'ngho~c dja phU'O'ng,khi xet thay can thi~t theo quy dinh cua £>i~u1$DCB.

" 3. Thong bao mai hOpphai dU'Q'cglfi kem theo cac tai li$u sau day:

a) ChU'O'ngtrinh hOp,cac tai li$u Slf dl,mgtrong cuoc hOpva dl,l'thao nghi quy~t d6i voitCrngvan d~ trong chU'O'ngtrinh hop;

b) Phi~u bi~u quy~t;

c) Mau chi djnh dc;lidi$n theo uy quy~n dl,l'hop.

4. Vi$c glfi tai li$u hop theo thong bao mai hQ'pquy djnh tGlikhoan 3 £>i~unay c6 th~ thayth~ bang dang tai len trang thong tin di$n tlf cua DCB. TrU'ang hQ'pnay, thong bao maihOpphai ghi ra nO'i,cach thLrc tai tai li$u va DCB phai glfi tai li$u hop cho c6 dong n~uc6 dong yeu cau.

£)i6u 32. Quy6n dll hQp£)~i h9i dOng COdong

1. C6 dong c6 th~ trl,l'c ti~p tham dl,l' hOp,uy quy~n bang van ban cho mot ngU'ai khac dl,l'hop ho~c thong qua mot trong cac hinh thLrcquy djnh tGlikhoan 2 £>i~unay. TrU'ang hQ'pcOdong la t6 chLrcchU'ac6 ngU'ai dGlidi$n theo uy quy~n quy dinh tc;likhoan 5 £>i~u25£>i~u1$nay thi uy quy~n cho ngU'ai khac dl,l'hop £>Glihoi dOngc6 dong.

Vi$c uy quy~n cho ngU'ai dGlidi$n dl,l'hOp£>GlihOidOngc6 dong phai I~p thanh van bantheo mau do DCB phat hanh. NgU'oi dU'Q'cuy quy~n dl,l' hop £>Glihoi dOngc6 dong phaixuat trinh van ban uy quy~n khi dang ky dl,l'hop trU'oc khi vao ph6ng hop.

-J

2. COdong dU'Q'ccoi la tham dl,l' va bi~u quy~t tc;licuoc hop £>Glihoi dOng c6 dong trongtrU'ang hQ'psau day:

a) Tham dl,l'va bi~u quy~t trl,l'cti~p tc;licuoc hop;

b) Oy quy~n cho mot ngU'oikhac tham dl,l'va bi~u quy~t tGlicuoc hop;

c) Tham dl,l' va bi~u quy~t thong qua hOi nghi trl,l'c tuy~n, be phi~u di$n tlf ho~c hinhthLrcdi$n tlf khac;

d) Glfi phi~u bi~u quy~t d~n cuoc hop thong qua glfi thU',fax, thU'di$n tlf.

23

Hoi 56' chinh: 41 - 45 Le Duan, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn. ~

ooeBNgAn Hang PhUOngD6ng £li{lu I~ Ngan Mng TMCP Phll'O'ng£long £lH£lC£l

Di~u 33. Di~u ki~n ti~n hanh hep D~i hqi dAngco dong

1. Cuoc hop D~i hOidOng COdong duoc ti~n hanh khi co 56 COdong dl,l' hop dai dien itnhat 51% tOng56 cOphan co quyen bit§uquyet.

2. TrU'ang hop cuoc hop Ian th(J'nhat khong du di~u ki$n ti~n hanh theo quy dinh tai khoan1 Di~u nay thl dU'Q'ctrieu t~p hop Ian th(J'hai trong thai han ba mvoi nqay, kt§tCrngaydl,l'dinh hop Ian th(J'nhat. Cuoc hop cua D~i hoi dOngCOdong trieu tap Ian th(J'hai dU'Q'Cti~n hanh khi co 56 cOdong dl,l'hop dai di$n it nhat 33% tOng56 cOphan co quyen bit§uquy~t.

3. TrU'ang hop cuec hop D~i hOidOngCOdong Ian th(J'hai khong dU'Q'ctien hanh do khongco du 56 d~i bit§udn thi~t, cuoc hop D~i hoi dOngCOdong Ian th(J'ba co tht§dU'Q'Ctri$ut~p trong v6ng 20 ngay kt§tLrngay dl,l'dinh ti~n hanh cuoc hop D~i hoi d6ng COdong Ianth(J'hai, va trong trU'ang hQ'pnay cuoc hop D~i hoi d6ng COdong dU'Q'cti~n hanh khongphI,!thuoc vao 56 1U'Q'ngCOdong hay d~i di$n uy quy~n tham dl,l'va dU'Q'Ccoi la hQ'p1$va co quy~n quy~t dinh tat ca cac van d~ ma cuoc hop D~i hoi dOng COdong Ian th(J'nhat co tht§phe chuan.

4. Chi co D~i hoi dOngCOdong co quy~n thay dOichU'O'ngtrinh hOpda dU'Q'cglri kem theothong bao mai hOptheo quy dinh t~i Di~u 31, Di~u 1$nay.

Di~u 34. Th~ thlPCti~n hanh hQpD~i hqi dAngco dong

1. TrU'ac ngay khai m~c cuoc hOpcho d~n ngay to ch(J'chOpD~i hOid6ng COdong, OCBthl,l'chien thu tl,!Cdang ky COdong va thl,l'Chien viec dang ky cho d~n khi cac COdongco quy~n dl,l'hop co m~t dang ky h~t.

2. COdong d~n dl,l' cuoc hOpD~i hOidOngCOdong muon co quy~n dang ky ngay va 5audo co quy~n tham gia va bit§uquy~t ngay t~i cu¢c hop D~i hoi d6ng COdong. Chu toakhong co trach nhiem dLrngcu¢c hOpdt§cho COdong d~n muon dang ky va hi$u Il,I'ccuacac dQ'tbi~u quy~t da ti~n hanh trU'ac khi COdong d~n muon tham dl,l' 5e khong bi anhhU'ong.

3. Cuoc hOpD~i hOidOngCOdong 5e do Chu tich HOidOngQuan tri chu to~, trU'ang hQ'pChu tich HOidOngQuan tri vang m~t thi Pho Chu tich HOidOngQuan tri chu to~. TrU'cYnghQ'pkhong ai trong 56 hOco th~ chu tri cuoc hOp,thanh vien H¢i dOngQuan tri co ch(J'cVI,!cao nhat co m~t 5e di~u khi~n d~D~i hOid6ng COdong bau ra Chu toa cua cuoc hop. ~.Chu toa khong nhat thi~t phai la thanh vien HOid6ng Quan trioTrU'ang hQ'pbau Chu toa,ten Chu toa dU'Q'cd~ Clrva 56 phi~u bau cho Chu toa phai dU'Q'ccong b6.

4. Chu to~ co th~ d~ nghi mot 56 ngU'aicLIngtham gia Doan Chu tich d~ dOngchu to~ cuochOp.

5. Chu toa bau ra d~ Clr mot ho~c mot 56 thU'ky d~ I~p bien ban cuoc hop.

6. D~i hoi d6ng COdong chi dinh Ban ki~m phi~u theo d~ nghi cua chu to~ cuoc hop. Nt§uD~i hOid6ng COdong khong chi djnh thi Chu toa se chi dinh Ban kit§mphi~u. s6 th.lmhvien cua Ban kit§mphi~u khong qua 03 ngU'ai.

7. ChU'O'ngtrinh va noi dung hOpphai dU'Q'cD~i hOid6ng COdong thong qua ngay trongphien khai m~c.

24

HQisa chinh 41 - 45 Le DU~In,Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website www.ocb.com.vn

OCBNgan Hang Phlldng £lOng £li~u 1$Ngan hang TMCP Phuong £long £lH£lC£l

8. Quy~t dinh cua Chu tea v~ trlnh b,l', thu tuc ho~c cac SI,I'kien phat sinh ngoai chuonqtrlnh cua cuoc hop Dal hOi dOng COdong sa mang tinh phan quy~t cao nhM

9. Chu toa cuoc hop £)~i hoi dOng COdong c6 th~ hoan hop £)~i hOi dOng CO dong, ngay catrong trU'ang hop da c6 du s6 d~i bi~u can thi~t, d~n mot thai di~m khac va tai mot diadi~m do chu toa quy~t dlnh rna khong can lay y ki~n cua £)~i hoi dOng CO dong, n~unhan thfly r~ng:

a) Cac thanh vien tham dl,l' khong th~ c6 chO ngOi thuan tien (1 dia di~m to chirc cucchop;

b) Hanh vi cua nhCfng ngU'ai c6 mat lam mat trat tl,l' hoac c6 kha nang lam mat tr~t tl,l'cua cucc hop ho~c;

c) Sl,I' trl hoan la can thi~t d~ cac cong viec cLla cuoc hop dU'Q'cti~n hanh mot cach hQ'pIe.

Ngoai ra, Chu to~ cuoc hop c6 th~ hoan cuoc hop khi c6 Sl,l' nhat tri ho~c yeu cau cLlaf)~i hoi dOng CO dong da c6 du s6 1U'Q'ngd~i bi~u dl,l' hOp can thi~t.

Thai h~n hoan khong qua 03 ngay, k~ tCrngay dl,l' dinh khai m~c cuoc hop. Cuoc hop I~ise chi xem xet cac cong viec Ie ra da dU'Q'Cgiai quy~t hQ'p phap t~i cuoc hop bj trl hoantrU'&c d6.

10. TrU'ang hQ'p chu toa hoan ho~c t~m dCrng cuoc hop £)~i hoi dOng CO dong trai v&i quydjnh t~i khoan 9, £)i~u nay, £)~i hoi dOng CO dong bau mot ngU'ai khac trong s6 nhCrngthanh vien tham dl,l' d~ thay th~ ChLl toa di~u hanh cuoc hop cho d~n luc k~t thuc va hieuIl,I'ccac bi~u quy~t t~i cuoc hop d6 khong bi anh hU'(1ng.

11. Chu to~ cua cuoc hop ho~c ThU' ky cuoc hop c6 th~ ti~n hanh cac ho~t dong ma hO thaycan thi~t d~ di~u khi~n cuoc hOp f)~i hOi dOng CO dong mot cach hQ'p Iy va c6 tr~t tl,l'ho~c d~ cuoc hop phan anh dU'Q'cmong mu6n cua da s6 tham dl,l'.

12. Hoi dOng Quan trj c6 th~ yeu cau cac CO dong ho~c d~i dien dU'Q'c uy quy~n tham dl,l'cuoc hOp £)~i hOi dOng CO dong chju Sl,l' ki~m tra ho~c cac bien phap an ninh ma HOidOng Quan trj cho la thich hQ'p. TrU'ang hQ'p c6 CO dong ho~c d~i dien dU'Q'cuy quy~nkhong chju tu~m thu nhCfng quy djnh v~ ki~m tra ho~c cac bien phap an ninh n6i tren, HOidOng Quan trj sau khi xem xet mot cach c~n trong c6 th~ tCrch6i ho~c trt,Jcxuflt CO dongho~c d~i dien n6i tren tham gia cuoc hOp.

13. HOi dOng Quan tri, sau khi da xem xet mot cach c~n trong, c6 th~ ti~n hanh cac bienphap dU'Q'cHoi dOng Quan trj cho la thich hQ'pd~:

a) £)i~u chinh s6 ngU'ai c6 m~t t~i dja di~m chinh hOp £)~i hOi dOng COdong;

b) Sao dam an toan cho moi ngU'ai c6 m~t t~i dja di~m d6;

c) T~o di~u kien cho CO dong tham dl,l' (ho~c ti~p tl,Jctham dl,l') cuoc hOp.

HOi dOng Quan tri c6 toan quy~n thay dOi nhCfng bien phap neu tren va ap dl,lng tflt cacac bien phap n~u H¢i dOng Quan trj thfly can thi~t. Cac bien phap ap dl,lng c6 th~ la capgifly vao cLra ho~c SLrdl,lng nhCfng hlnh thlic Il,I'achon khac.

14. Trong trU'ang hQ'p t~i cuoc hOp f)~i hOi dOng CO dong c6 ap dl,lng cac bien phap n6i trem,Hoi dOng Quan trj khi xac djnh dja di~m cuoc hOp c6 th~:

25-.--.~---, ..- -,----.,_.----- ..- "--'-'-- ..~-- -.---.- ..--..--- __ . _. ,._. · .r_.__. . .

• - -_._._ ••-.- .. -"-.----- ... -"---.-.- __ •••__ • ..... _~ '__ '_'V__ '_~'_"_'_""_'_'_ • • •.• ,

H<)iso' chinh 41 - 45 Le Du~n, Q 1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Websitewww.ocb.com.vn'V

~

ooceNgiin Hang Phlldng fX>ng £)i~u I~ Ngan hang TMCP Phll'O'ng£)ong £)H8C£)

a) Thong bao rc\ng cucc hop S9 dU'Q'ctilln hanh tai dia di~m ghi trong thong bao va Chutoa cucc hop S9 c6 mat tai d6 (f)ia di~m chinh cua cuoc hop);

b) B6 trl, to chirc d~ nhCrng CO dong hoac d~i di~m dU'Q'cuy quy~n khong dl,l' hop dU'Q'ctheo f)i~u khoan nay hoac nhCrng ngU'ai mu6n tham gia a dia di~m khac vcYif)iadi~m chinh cua cuec hop c6 th~ dOng thai tham dl,l' cuoc hop;

c) Thong bao v~ viec to chirc cucc hop khong can neu chi tillt nhCrng bien phap to chirctheo f)i~u khoan nay.

DiAu 35. Thong qua quyit dinh cua D,i hQi dOng C6 dong

1. f)~i hOi dOng CO dong thong qua cac quyet dinh thuoc tham quyen b~ng hinh thuc bi~uquyllt tal cuoc hop hoac I~y y killn bc\ng van ban.

2. Khi tilln hanh dang ky CO dong, OCB S9 c~p cho tCrng CO dong hoiiic d~i dien dU'Q'cuyquy~n c6 quy~n bi~u quyllt mot The bi~u quyllt, tren d6 c6 ghi s6 phillu bi~u quyllt vacac yllu t6 khac nllu Ban to ch(J'c cuoc hOp f)~i hOi dOng CO dong xet th~y can d~ COdong hoiiic d~i dien dU'Q'cuy quy~n SLYdl,mg bi~u quyllt t~i cuoc hOp. Khi tilln hanh bi~uquyllt t~i cuoc hOp, Chu to~ quyllt dinh th(J' tl,l' dllm s6 the tan thanh, s6 the khong tanthanh va s6 phillu khong c6 y killn. TOng s6 phillu tan thanh, khong tan thanh va khong \....c6 y killn d6i v&i tCrngv~n d~ S9 dU'Q'cChu toa thong bao trU'cYckhi bll m~c cuoc hOp.

3. Quyllt dinh cua f)~i hOi dOng CO dong dU'Q'cthong qua t~i cuoc hOp khi bao dam cacdi~u kien sau day:

a) TrCr trU'ang hQ'p quy dinh t~i di~m b, khoan nay, quyllt dinh cua f)~i hoi dOng COdong dU'Q'cthong qua t~i cuoc hOp khi dU'Q'cs6 CO dong d~i dien tren 51% tOng s6phillu bi~u quyllt cua t~t ca CO dong dl,l' hOp ch~p thu~n;

b) D6i vcYiquyllt dinh v~ cac v~n d~ quy dinh t~i di~m b khoan 1 f)i~u 17 va cac di~m b,h, 0 va q khoan 3, f)i~u 27, f)i~u Ie nay thi phai dU'Q'cs6 CO dong d~i dien tren 65%tOng s6 phillu bi~u quyllt cua t~t ca CO dong dl,l' hOp ch~p thu~n;

c) f)6i vcYicac v~n d~ quy dinh t~i di~m a, d, f va q khoan 3, f)i~u 27, phai dU'Q'cthongqua bc\ng hinh th(J'c bi~u quyllt t~i cuoc hOp f)~i hOi dOng CO dong.

4. TrU'ang hQ'p CO dong dl,l' hOp la ngU'ai c6 lien quan khong c6 quy~n bi~u quy~t, nghiquyllt cua f)~i hoi dOng CO dong v~ v~n d~ d6 dU'Q'cthong qua khi c6 it nh~t 51% hoiiic \._,.65% tOng s6 phillu dU'Q'cquy~n bi~u quyllt tU'O'ng(J'ngtheo quy dinh t~i cac di~m a va b,khoan 3 f)i~u nay.

5. Viec bi~u quyllt bau thanh vien Hoi dOng Quan tri va thanh vien Ban Ki~m soat phai thl,l'Chien theo phU'O'ngth(J'c bau dOn phillu, theo d6 m6i CO dong c6 tOng s6 phillu bi~u quyllttU'O'ng(J'ngv&i tOng s6 cO phan sa hCrunhan vcYis6 thanh vien dU'Q'cbau cua Hoi dOngQuan tri hoiiic Ban Ki~m soat va CO dong c6 quy~n dOn hllt tOng 56 phillu bau cua minhcho mot hoiiic mot 56 (J'ngCLYvien.

NgU'ai trung CLYthanh vien HOi dOng Quan tri hoiiic thanh vien Ban Ki~m soat dU'Q'cxacdinh theo s6 phillu bau tinh tCrcao xu6ng th~p, b~t dau tCr (J'ngCLYvien c6 s6 phillu baucao nh~t cho dlln khi du 56 thanh vien quy dinh t~i f)i~u Ie nay. TrU'ang hQ'p c6 tCr2 (J'ngCLfvien tra len d~t cLing s6 phillu bau nhU' nhau cho thanh vien cu6i cLing cua HOi dOngQuan tri hoiiic Ban Ki~m soat thi f)~i hOi dOng CO dong 59 bi~u quyllt b~ng The bi~uquyllt d~ Il,I'achon ngU'ai c6 th(J' tl,l' U'Utien nhU' sau: C6 tham nien lau hO'n la thanh vi€m

26~..-~" ~-~--_" ._.-. - --.~ _. .~-.-.-- .---~.-. -~..-.-".....-.-.-....-.-'<--.,-~,,--..-...--.--.-..-.------'---- ..--.---.---------..~.--..---...-~.--..---.--.--_._---",'.-

HOi sa chinh: 41 - 45 Le Duan, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax (84-8) 38220963, Website www.ocb.com.vn

gOeBNganH~ngPhLldng£l6ng £>i~u I~ Ngan hang TMCP PhU'O'ng£>6ng £>H£>C£>

HDQT, von sa hCru cao hon, co tuOi cao hon (tinh theo ngay thang narn sinh); hoacquy~t dinh ti~n hanh b~u l;;Iitrong so cac ling CLrvien co so phieu b~u ngang nhau.

6. Cac quy~t dinh dU'Q'cthong qua tai cuoc hop D;;Ii hOi dOng CO dong v&i so CO dong trueti~p va uy quyen tham dl,l' d;;li dien 100% tOng so cO ph~n co quy~n bi~u quyet la hopphap va co hieu Il,I'c ngay ca khi trinh tl,l' va thLi tuc trleu tap, noi dung chuonq trinh hopva th~ thirc ti~n hanh hop khong dU'Q'cthuc hien dung nhu quy dinh,

7. Quy~t dinh cua D;;Ii hOi dOng CO dong phai duoc thong bao d~n CO dong co quyen dl,l'hop D;;Ii hOi dOng CO dong trong thai han 15 ngay, k~ tLl' ngay quy~t dlnh dU'Q'cthongqua.

£)i~u36. Tham quy~n va th6 thlrC lAy Y ki6n C6 dong b~ng van ban d6 thong quaquy6t djnh ella £)\li hQidang C6 dong

1. HOi dOng Quan trj co quy~n I~y '1 ki~n CO dong b~ng van ban d~ thong qua quy~t djnhcLia D;;Ii hOi dOng CO dong b~t cli luc nao n~u xet th~y c~n thi~t vi lQ'i ich cLia OCB, trLl'cac trU'ang hQ'pquy djnh t;;li di~m a, d, f va q khoan 3, Di~u 27, Di~u Ie nay.

2. Hoi dOng Quan tri phai chuan bj phi~u I~y '1 ki~n, dl,l' thao quy~t djnh cLia D;;Ii hOi dOngCO dong va cac tai lieu giai trinh dl,l' thao quy~t djnh. Phi~u I~y '1 ki~n kem theo dl,l' thaoquy~t djnh va tai lieu giai trinh phai dU'Q'CgLri b~ng phU'O'ngthlic bao dam d~n dU'Q'cdjachi thU'ang tru cLia tLl'ng COdong;

3. Phi~u I~y '1ki~n phai co cac noi dung chLi y~u sau day:

a) Ten, dja chi trl,l sa chinh, so va ngay c~p Gi~y chling nh~n dang k'1 doanh nghiep,nO'idang k'1 kinh doanh cLia OCB;

b) Ml,Ic dich I~y '1ki~n;

c) Ho, ten, dja chi thU'ang tru, quoc tjch, so Gi~y chling minh nhan dan, Ho chi~u ho~cchling thl,l'c ca nhan hQ'p phap khac cLia CO dong la ca nhan; ten, dja chi thU'ang tru,quoc tjch, so quy~t djnh thanh I~p ho~c so dang k'1 doanh nghiep cLia CO dong ho~cd;;li dien theo uy quy~n cLia CO dong la to chlic; so 1U'Q'ngcO ph~n cLia tLl'ng IO;;livaso phi~u bi~u quy~t cLia CO dong;

d) V~n d~ c~n I~y '1ki~n d~ thong qua quy~t djnh;

e) PhU'O'ngan bi~u quy~t bao gOm tan thanh, khong tan thanh va khong co '1ki~n;

f) Thai h;;ln phai gLri v~ OCB phi~u I~y '1ki~n da dU'Q'ctra lai;

g) Ho, ten, chCrk'1 cLia NgU'ai d;;li dien theo phap lu~t cLia OCB.

4. Phi~u I~y '1 ki~n da dU'Q'ctra lai phai co chCr k'1 cLia CO dong la ca nhan, cLia ngU'cYid;;lidien theo uy quy~n ho~c ngU'ai d;;li dien theo phap lu~t cLia COdong la to chlic.

Phi~u I~y '1 ki~n gLri v~ OCB phai dU'Q'cdl,l'ng trong phong bi dan kin va khong ai dU'Q'cquy~n ma trU'&c khi ki~m phi~u. Cac phi~u I~y '1 ki~n gLri v~ OCB sau thai h;;ln da xacdjnh t;;li noi dung phi~u I~y '1ki~n ho~c da bi ma d~u khong hQ'p Ie.

5. Chu tieh Hoi dOng Quan trj ki~m phi~u ho~e ehi djnh 1 hay mot so thanh vien Hoi dOngQuan trj ki~m phi~u va I~p bien ban ki~m phi~u dU'&i Sl,l' chling ki~n ella d;;li dien BanKi~m soat ho~c eua CO dong khong n~m gill' chlic Vl,l quan 1'1OCB. Bien ban ki~m phi~uphai co cac noi dung chLi y~u sau day:

- . _. -. '..-..•~•..~---,....·'_'·'~" ~_W'_" __ "_"'._._._,, ._._ ••• __ ._. __ .'_._._ •.•__ •••.•• _. __ ._. • __ ._~ •••••• • • •__

_ ._-.--_._---- ..._ ...._-----_ ...__ .....•..__ .....__ ._.-.•...--.---------'------------.-----~----.---"--.-------_ .._--_,-_.,._-_

HQi56' chinh 41 - 45 Le DU~ln. 0.1, Tp.HCM - Tel (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.coll1.vn

I.~"

27

aoeBNgan Hang PhUdngDOng £)ieu Ie Ngan hang TMCP PhU'O'ng£)ong £)H£)C£)

a) Ten, dia chi tru sa chinh, so va ngay cap Gi~y ch(rng nhan dang ky doanh nghi~p,noi dang ky kinh doanh;

b) Ml,Jcdich va cac v~n d~ c~n I~y y ki~n d~ thong qua quy~t dinh;

c) So cs dong v&i t6ng so phi~u bi~u quyet da tham gia bi~u quyet, trong do phan bietso phi~u bi~u quy~t hop Ie va so bi~u quyet khong hoop Ie, kern theo phu luc danhsach cs dong tham gia bi~u quyet:

d) T6ng so phieu tan thanh, khong tan thanh va khong co y ki~n doi v&i tung van d~;

e) Cac quyet dlnh da dU'Q'cthong qua;

f) Ho, ten, chCrky cua Chu tjch H¢i d6ng Ouan tr] va cua ngU'ai giam sat ki~m phieu,

cac thanh vien H¢i d6ng Quan tri tham gia ki~m phi~u va ngU'ai giam sat ki~m phi~uphai lien d&i chiu trach nhi~m v~ tinh trung thl,J'c,chinh xac cua bien ban ki~m phi~u; liend&i chiu trach nhiem v~ cac thiet h~i phat sinh tu cac quy~t dinh dU'Q'c thong qua doki~m phi~u khong trung thl,l'c, khong chinh xac.

6. Bien ban k~t qua ki~m phi~u phai dU'Q'cgLri d~n cac c6 dong hoc;icthong bao tren trang , .thong tin dien tLr (website) cua OCB trong thai h~n 15 ngay k~ tu ngay k~t thuc ki~m ,."phi~u.

7. T~t ca cac nghi quy~t, quy~t dinh dU'ooc£)~i h¢i d6ng c6 dong thong qua bang th~ thCrcI~y y ki~n c6 dong bang van ban phai dU'oocgLri d~n NHNN trong thai h~n 15 ngay, k~ tungay k~t thuc ki~m phi~u.

8. Phi~u I~y y ki~n da dU'ooctra lai, bien ban ki~m phi~u, toan van nghi quy~t da dU'Q'cthong qua va tai li~u co lien quan gLri kern theo phi~u I~y y ki~n d~u phai dU'Q'clU'u giCrt~i trl,Jsa chinh cua OCB;

9. Quy~t djnh dU'Q'cthong qua theo hinh thCrc I~y y ki~n c6 dong bang van ban dU'Q'cthongqua n~u dU'Q'cso c6 dong d~i dien theo ty Ie tU'O'ngCrngquy dinh t~i Khoan 3, khoan 4£)i~u 35 £)i~u Ie nay va co gia tri nhU' quy~t dinh dU'oocthong qua t~i cu¢c hOp £)~i h¢id6ng c6 dong.

Di~u 37. Bien ban hQpD,i h9i dang C6 dong

1. Cu¢c hOp £)~i h¢i d6ng c6 dong phai dU'Q'cghi bien ban va co th~ ghi am hoc;icghi va lU'u '-'giCrdU'&i hinh thCrc dien tLr khac. Bien ban phai I~p bang ti~ng Viet, co th~ I~p them bangti~ng nU'&c ngoai va co cac n¢i dung chu y~u sau day:

a) Ten, dia chi trl,Jsa chinh, ma so doanh nghi~p;

b) Thai gian va dia di~m hop £)~i h¢i d6ng c6 dong;

c) ChU'O'ngtrinh va n¢i dung cu¢c hOp;

d) Ho, ten chu toa va thU' ky;

e) Tom t~t dien bi~n cu¢c hOp va cac y ki~n phat bi~u t~i £)~i h¢i d6ng c6 dong v~ tungv~n d~ trong n¢i dung chU'O'ngtrinh hOp;

f) So c6 dong va t6ng so phi~u bi~u quy~t cua cac c6 dong dl,l' hop, phl,Jll,Jcdanh sachdang ky c6 dong, d~i dien c6 dong dl,l' hOp v&i so c6 ph~n va so phi~u b~u tU'O'ngCrng;

28~.~-..---~-...-..----- - _"_' - - -- -----------,---------------.---.---~---.-- ..------- .....--"---~.-,,.-..--.---~.'--,,-~--~----~--~----.-.---.---..-..---.--.•.---.,,--.-- ..,---~-- ..-..-- ..,,-.-,..--_

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OCBNgan Hang PhllOng D6ng £>i{!u I~ Ngan hang TMCP PhU'O'ng £>Ong £>H£>C£>

g) TOng 56 phieu billu quyet d6i v&i tCmg v~n d~ billu quyet, trong d6 ghi r5 phuonqthuc billu quyllt, tOng 56 phillu hop h~,khOng hop Ie, tan thanh, khOng tan thanh vakhOng c6 'I killn; ty Ie tuonq Lrng tren tOng 56 phillu billu quyllt cua cO dOng dl,J'hop:

h) Cac v~n d~ da dU'Q'cthOng qua va ty Ie phillu billu quyllt thOng qua tU'O'ngLrng;

i) ChCrky cua chu tea va thu kyo

2. Bien ban dU'Q'c I~p bang tillng Viet va tillng nuoc ngoai d~u c6 hieu Il,J'Cphap 1'1nhunhau. TrU'cmg hop c6 5l,J'khac nhau v~ noi dung bien ban tillng Viet va tillng nuoc ngoaithl noi dung trong bien ban tillng Viet c6 hieu ll,J'cap dl,lng.

3. Bien ban hop £)~i hoi dOng cO dOng phai lam xong va thOng qua trU'&c khi kllt thuc cuochOp.

4. ChLi toa va thU' ky cuoc hop phai lien d&i chiu trach nhiem v~ tinh trung thl,J'c,chinh xaccLia noi dung bien ban.

5. Bien ban hop £)~i hoi dOng cO dOng phai dU'Q'cgCridlln t~t ca cO dOng trong thai h~n 15ngay, kll tLf ngay kllt thuc cuoc hop; viec gCri bien ban killm phillu c6 thll thay thll bang

" vi$c dang tai len trang thOng tin dien tCrcLia OCB.

6. Bien ban hop £)~i hoi dOng cO dOng, phl,l Il,Ic danh 5ach cO dOng dang ky dl,J'hop, nghiquyllt da dU'Q'cthOng qua va tai lieu c6 lien quan gCri kem theo thOng bao mai hOp phaidU'Q'clU'u giCrt~i trl,l sa chinh cLia OCB.

Di6u 38. Hi~u I'le nghi quy~t, quy~t dinh ella D,i hQidAng co dong

1. Cac nghi quyllt cLia £)~i hOi dOng cO dOng c6 hieu ll,J'ckll tLf ngay dU'Q'cthOng qua ho~ctCl'thai dillm hieu ll,J'cghi t~i nghi quyllt d6.

2. Cac nghi quyllt cLia £)~i hoi dOng cO dOng dU'Q'cthOng qua bang 100% tOng 56 cO ph~nc6 quy~n billu quyllt la hQ'p phap va c6 hieu ll,J'cngay ca khi trlnh tl,J'va thLi tl,lCthOng quanghi quyllt d6 khOng dU'Q'cthl,J'chi$n dung nhU' quy dinh.

3. Trong veng 15 ngay, kll tLf ngay bll m~c cuoc hOp ho~c tLf ngay kllt thuc killm phillu d6iv&i trU'ang hQ'p I~y 'I killn bang van ban, t~t ca cac nghi quyllt, quyllt dinh dU'Q'c£)~i hoidOng CO dOng thOng qua phai dU'Q'cgCridlln NHNN chi nhanh tinh, thanh ph6 nO'i OCBd~t trl,l sa chinh.

4. TrU'ang hQ'p c6 cO dOng, nh6m cO dOng yeu c~u Tea an ho~c Trong tai hLlY be nghiquyllt cLia £)~i hoi dOng cO dOng theo quy dinh t~i 39 £)i~u Ie nay, thl cac nghi quyllt d6v~n c6 hi$u ll,J'cthi hanh cho dlln khi Tea an, Trong tai c6 quyllt dinh khac, trCl'trU'anghQ'pap dl,lng bien phap khan c~p t~m thai theo quyllt dinh cLia cO'quan c6 tham quy~n.

Di6u 39. Yeu eau huy b6 eae nghi quy~t, quy~t dinh ella D,i hQidAng co dong

Trong thai h~n 90 ngay, kll tLf ngay nh~n dU'Q'cbien ban hop £)~i hoi dOng cO dOng ho~c bienban kllt qua killm phillu I~y 'I killn £)~i hoi dOng cO dOng, cO dOng, nh6m cO dOng quy dinh t~ikhoan 2 £)i~u 25 £)i~u Ie nay c6 quy~n yeu c~u Tea an ho~c Trong tai xem xet, hLlYbe nghiquyllt ho~c mot ph~n noi dung nghi quyllt cLia £)~i hOi dOng cO dOng trong cac trU'ang hQ'p5au day:

29

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/~

OCBNg~n Hang Phll<lng£l6ng f)i~u Ie Ngan hang TMCP PhU'O'ngf)ong f)Hf)Cf)

1. Trinh tl,l' va thu tuc trieu t~p hop va ra quyet dinh cua Dai hoi d6ng cll dong khong thuchi~n dung theo quy dinh cua Lu~t Doanh nghi~p va £)i~u I~ DCB, trLPtrU'ang hop quydinh tai khoan 2 £)i~u38 £)i~u I~ nay;

2. NOidung nghi quy~t vi pharn phap lu~t hoac £)i~u I~DCB.

ChlJ'O'ngVIII

QUY D!NH CHUNG V~ HQI DONG QUAN TR!,

BAN KI~M SOAT vA TONG GIAM DOC

Di~u 40. Nhi~m VI:I va quy~n han chung

1. HOid6ng Ouan tri 113co quan quan tri DCB, co toan quyen nhan danh DCB d~ quyetdinh, thuc hien cac quyen va nghia VI,! cua DCB, tnr nhLmg v~n d~ thuoc th~m quyencua £)~i hoi d6ng cll dong.

2. Ban Ki~m soat 113co quan giam sat viec tuan thu cac quy dinh cua phap lu~t va £)i~u I~cua DCB trong vi$c quan tri, di~u hanh DCB; chiu trach nhiem truoc £)~i hoi d6ng cll L.dong trong vi~c thl,l'chi~n nhi$m VI,!, quy~n h~n dU'Q'cgiao.

3. Tllng Giam d6c 113ngU'ai di~u hanh cao nh~t cua DCB, chiu trach nhi~m trU'&cHOid6ngQuan tri va trU'&c phap lu~t v~ vi$c thl,l'c hi~n quy~n va nhi$m VI,! phu hQ'pv&i quy dinhcua phap lu~t va £)i~u I~ cua DCB.

Di~u 41. Thu tl:lC bau, b6 nhi~m cac ch(l'c danh thanh vien HQi dang Quan trj, thanhvien Ban Ki~m scat, T6ng Giam d6c

1. TrU'&ckhi ti~n hanh hop £)~i hoi d6ng cll dong, HOid6ng Quan tri DCB phai thong baocho cac cll dong co quy~n dl,l'hOp£)~ihOid6ng cll dong v~ s6 1U'Q'ngthanh vien dl,l'ki~ndU'Q'cb~u, bll sung vao HOid6ng Quan tri, Ban ki~m soat; trong do dl,l' ki~n s6 1U'Q'ngthanh vien HOid6ng Quan tri doc I~p; d6ng thai thong bao thai h~n gLl'idanh sach Li'ngCLl'vien, cac di~u ki~n, tieu chu~n phai dap Li'ngd6i v&i cac chLi'cdanh dU'Q'cb~u d~ caccll dong d~ CLl'ngU'aigi(J'cac chLi'cdanh nay theo quy dinh cua phap lu~t.

2. Tren cO's& danh sach d~ CLl'cua cac cll dong d6i v&i cac chLi'cdanh nay, Hoi d6ngQuan tri th~m dinh di~u ki~n, tieu chu~n; I~p Danh sach Li'ngCLl'vien d6i v&i cac chLi'c \"danh dl,l' ki~n b~u va gLl'iNHNN. TrU'ang hQ'pcac cll dong khong d~ CLl'du s6 1U'Q'ng,Li'ngCLl'vien d6i v&i thanh vien HOid6ng Quan tri (bao g6m ca thanh vien HOid6ng Quantri doc I~p), thanh vien Ban ki~m soat ho~c cac Li'ngCLl'vien khong bao dam du di~uki~n, tieu chu~n theo quy dinh, Hoi d6ng Quan tri se d~ CLl'Li'ngCLl'vien bll sung, thay th~d6i v&i cac chLi'cdanh nay.

3. £)6i v&i cac Li'ngCLl'vien khong bao dam di~u ki~n theo quy dinh, Hoi d6ng Quan trithong bao cho Li'ngCLl'vien do va cll dong ho~c nhom cll dong d~ CLl'cua Li'ngCLl'viennay biet ro Iy do.

4. £)~i hoi d6ng cll dong quy~t dinh s6 1U'Q'ngthanh vien HOid6ng Quan tri, thanh vien Banki~m soat dU'Q'cb~u va ti~n hanh b~u nh(J'ngngU'aico ten trong Danh sach Li'ngCLl'vienda dU'Q'cNHNN ch~p thu~n t~i khoan 2, £)i~u nay. DCB co th~ I~p danh sach d~ CLl'vati~n hanh b~u rieng thanh vien doc I~p cua Hoi d6ng Quan trioTrong trU'ang hQ'pnay,

30

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OCBNgan Hang Phlldng £lOng f)i~u I~ Ngan hEmgTMCP PhlYO'ngf)ong f)Hf)Cf)

vi$c b~u thanh viem d¢c I~p cua H¢i dOng Ouan tr] dU'Q'c ti~n hanh nhu vi$c b~u cacthanh vien H¢i dOng Ouan tr] khac.

5. Thanh vien H¢i dOng Ouan trl, thanh vien Ban Ki~m soat b~t d~u thuc hien nhiern Vl,Jk~tli khi £)~i h¢i dOng CO dong b~u cac chuc danh nay va ti~p quan cong viec; phai chiutrach nhiern ca nhan d6i vQ>inhiern Vl,Jcua minh trong thai gian dU'O'ngnhiem.

6. Trong thai han 10 ngay lam viec, k~ tli ngay Dai h¢i dOng CO dong b~u cac thanh vienH¢i dOng Quan tri va thanh vien Ban Ki~m scat, OCB phai c6 van ban thong bao choNHNN danh sach nhC'YngngU'ai dU'Q'cb~u vao cac chuc danh neu tren.

7. H¢i dOng Quan tri bO nhi~m m¢t trong s6 cac thanh vien cua minh lam TOng Giam d6cho~c thue TOng Giam d6c. NgU'ai dl,l' ki~n dU'Q'cbO nhi$m lam TOng Giam d6c phai dU'Q'cNHNN ch~p thu~n b~ng van ban trU'Q>ckhi bO nhi$m. H¢i dOng Quan tri phai c6 van banthong bao cho NHNN ngU'ai dU'Q'cbO nhi$m lam TOng Giam d6c trong thai h~n 10 ngaylam vi$c, k~ tli ngay bOnhi~m.

Di6u 42. NhCPng ngU'cYi khong dU'Q'c tham gia quan trj, kiim soat va khong dU'Q'c giCPchCPcdanh Tang Giam dOc, Ph6 TOng Giam dOc va chCPcdanh tU'O'ng dU'O'ng

1. NhC'YngngU'ai sau day khong dU'Q'cla thanh vien H¢i dOng Quan tri, thanh vien Ban Ki~msoat, TOng Giam d6c, Ph6 TOng Giam d6c va ch(J'c danh tU'O'ngdU'O'ng:

a) NgU'ai chU'a thanh nien; ngU'ai bi h~n ch~ ho~c bj m~t nang Il,I'chanh vi dan Sl,l';

b) NgU'ai dang bi truy c(J'u trach nhi~m hinh Sl,l',dang ch~p hanh ban an, quy~t dinh vehinh Sl,l'cua Toa an;

c) NgU'ai da bi k~t an ve cac t¢i tli t¢i ph~m nghiem trong tra len (t¢i ph~m rna m(J'c caonh~t cua khung hinh ph~t d6i VQ>it¢i ~y la tren 3 nam tu);

d) NgU'ai da bi k~t an ve t¢i xam ph~m sa hC'Yuma chU'a dU'Q'cx6a an tich;

e) Can b¢, cong ch(J'c, ngU'ai quan Iy tli c~p phong tra len trong cac doanh nghi$p maNha nU'Q>cn~m giC'Y50% v6n dieu 1$tra len, trli ngU'ai dU'Q'cCLl'lam d~i di$n quan Iyph~n v6n g6p cua Nha nU'Q>cti;li OCB;

f) Si quan, hi;l si quan, quan nhan chuyen nghi$p, cong nhan qu6c phong trong cac cO'quan, dO'n vi thu¢c Quan d¢i nhan dan Vi$t Nam; si quan, hi;l si quan chuyen nghi$ptrong cac cO'quan, dO'n vi thu¢c Cong an nhan dan Vi$t Nam, trli ngU'ai dU'Q'cCLl'lamdi;li di~n quan Iy ph~n v6n g6p cua Nha nU'Q>ct~i OCB;

g) NgU'ai da tling la chu doanh nghi$p tU' nhan, thanh vien hQ'p danh cua cong ty hQ'pdanh, TOng giam d6c hOi;lCGiam d6c, thanh vien H¢i dOng Quan trj, HQi dOng thanhvien, Ban ki~m soat cua doanh nghi$p, Chu nhi~m va cac thanh vien Ban quan trjhQ'p tac xa ti;li thai di~m doanh nghi$p, hQ'p tac xa bi tuyen b6 pha san, trli trU'anghQ'p doanh nghi~p, hQ'ptac xa bi tuyen b6 pha san vi Iy do b~t kha khang;

h) NgU'ai di;li di$n theo phap lu~t cua doanh nghi$p t~i thai di~m doanh nghi~p bj dinhchi ho~t d¢ng, bj bUQcgiai th~ do vi ph~m phap lu~t nghiem trong, trli trU'ang hQ'p ladt;li di~n theo de nghi cua cO'quan nha nU'Q>cc6 tham quyen nh~m ch~n chinh, cungc6 doanh nghi$p d6;

i) NgU'ai da tling bi dinh chi ch(J'c danh Chu tich H¢i dOng Quan tri, thanh vien H¢i dOngQuan tri, Chu tich HQi dOng thanh vien, thanh vien H¢i dOng thanh vien, TrU'cYngBan

31.....,..- .._,,-_ .~.... "-"'~-"-"----.---.---' ...----.----..- ",---.'_,_,_ -...•-.--------- ..----.--.----~----..---.-..----.--._._--_._ ..._"._._,._.-.-.._- '_ --_ •..._,..... -_ .------.--~~.---~--,-_,_--._. --....-...----..--.--~---

Hoi s6 chinh 41 - 45 Le Du~n. Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963. Website www.ocb.com.vnf\._[v~

ooeBNgan Hang PhLldngDOng £>i~uI~ Ngan Mng TMCP Phuong £>6ng £>H£>C£>

ki~m scat, thanh vien Ban ki~m soat, TOng giam dOc hoac Giarn dOc cua to clurc tindl,mg theo quy dinh tal f)i~u 37 Lu~t Cac to chirc tin dl,mg hoac b] co quan c6 thamquyen xac dlnh ngU'ai d6 c6 sai pharn d~n d~n viec to chuc tin dunq bi thu h6i Gi~yphep thanh I~p va hoat dong;

j) NgU'ai c6 lien quan cua thanh vien Hoi d6ng Quan trio TOng Giarn dOc khong dU'Q'clathanh vien Ban Ki~m soat cua OCB;

k) NgU'ai c6 lien quan cua Chu tich Hoi d6ng Quan trl khong dU'Q'c la TOng Giarn dOccua OCB.

I) Cac trU'ang hop khac theo quy dinh cua phap lu~t (n~u c6).

2. Cha, me, VQ',ch6ng, con va anh, chi, em cua thanh vien HOi d6ng Ouan trl, TOng GiarndOc va VQ',ch6ng cua nhCrng ngU'ai nay khong dU'oocla K~ toan trU'ang ho~c ngU'ai phl,ltrach tai chinh cua OCB.

£)i~u 43. Nhfrng trU'ang hQ'pkhong cling dam nhi~m ch(l'c vl;I

1. Thanh vien Hoi d6ng Quan tri cua OCB:

a) Khong dU'oocd6ng thai la thanh vien Ban Ki~m soat cua OCB;

b) Khong dU'oocd6ng thai la ngU'ai quan Iy cua t6 chLrCtin dl,lng khac, trt» trU'ang hQ'pt6chLrCnay la cong ty con cua OCB ho~c la thanh vien Ban Ki~m soat cua t6 chLrc tindl,lng d6

2. Chu tich HOi d6ng Quan tri cua OCB khong dU'oocd6ng thai la NgU'ai di~u hanh cuaeCB va cua t6 chLrc tin dl,lng khac.

3. Thanh vien Ban Ki~m soat:

a) Khong dU'oocd6ng thai la thanh vien Hoi d6ng Quan tri, ngU'ai di~u hanh, nhan viencua eCB ho~c cong ty con cua eCB ho~c nhan vien cua doanh nghi$p ma thanhvien HOi d6ng Quan tri, T6ng Giam dOc cua eCB la thanh vien HOi d6ng Quan triongU'ai di~u hanh ho~c la c6 dong Ian cua doanh nghi$p d6;

b) Khong dU'oocd6ng thai la thanh vien Hoi d6ng Quan tri, thanh vien Hoi d6ng thanhvien, ngU'ai di~u hanh cua doanh nghi$p ma thanh vien Ban ki~m soat cua doanh ..nghi$p d6 dang la thanh vien HOi d6ng Quan trio ngU'ai di~u hanh t~i eCB; '-I

c) TrU'ang Ban Ki~m soat khong dU'oocd6ng thai la thanh vien Ban Ki~m soat, ngU'aiquan Iy cua t6 chLrc tin dl,lng khac.

4. TOng Giam dOc, Ph6 T6ng Giam dOc va cac chLrc danh tU'O'ngdU'O'ngkhong dU'oocd6ngthai dam nhi$m mot trong cac chLrc Vl,lsau day:

a) Thanh vien Hoi d6ng Quan tri, thanh vien Hoi d6ng thanh vien, thanh vien Ban ki~msoat cua to chLrc tin dl,lng khac, trt» trU'ang hOOpd6 la cong ty con cua eCB;

b) T6ng Giam dOc ho~c Giam dOc, Ph6 T6ng Giam dOc ho~c Ph6 Giam dOc cua doanhnghi$p khac.

£)i~u 44. lieu chuAn va di6u ki~n dA dU'Q'cbAu, b6 nhi~m

1. Thanh vien Hoi d6ng Quan tri phai c6 du cac tieu chu~n va di~u ki$n sau day:

a) Khong thuoc dOi tU'Q'ngquy dinh t~i khoan 1, f)i~u 42, f)i~u 1$nay;32

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OCBNgan Hang Phlldng I)ong £)i~u I~ Ngan hang TMCP Phuonq £)Ong £)H£)C£)

b) C6 dao d(fc ngh~ nghi(!p;

C) La ca nhan sa ht)u hoac ngU'ai dU'oocuy quy~n d~i dien sa ht)u it nhat 5% v6n di~uI(! cua OCB, tn)' trU'ang hoopla thanh vien doc I~p cua H¢i dOngQuan trj hoac c6b~ng d~i hoc tra len v~ mot trong cac nganh kinh t~, quan trl kinh doanh, lu~t ho~cc6 it nhfit 03 narn la ngU'ai quan Iy cua to chuc tin dl,lng hoac doanh nghi(!p hoatdong trong nganh bao hi~m, ch(fng khoan, k~ toan, ki~m toan hoac c6 it nhfit 05narn lam viec tnrc ti~p tal cac b¢ phan nghi(!p vu trong linh Vl,l'Cngftn hang, tai chinh,ki~m toan hoac k~ toan;

d) f)6i v&i thanh vien dOc I~p cua H¢i dOngQuan tri, ngoai nht)ng tieu chu~n neu t~icac di~m a, b va c khoan nay, phai bao dam yeu c~u v~ tieu chu~n va tinh dOc I~ptheo quy djnh t~i f)i~u 45, f)i~u I(! nay.

2. Thanh vien Ban Ki~m soat phai c6 du cac tieu chu~n va di~u ki(!n sau day:

a) Khong thu¢c d6i tU'oongquy djnh t~i khoan 1, f)i~u 42, f)i~u I(! nay;

b) C6 d~o d(fc ngh~ nghi$p;

c) C6 b~ng d~i hoc tra len v~ mot trong cac nganh kinh t~, quan trj kinh doanh, lu~t, k~toan, ki~m toan; c6 it nhat 03 nam lam vi(!c trl,l'c ti~p trong linh Vl,l'Cngan hang, taichinh, k~ toan ho~c ki~m toan;

d) Khong phai la ngU'ai c6 lien quan cua ngU'aiquan Iy OCB;

e) Thanh vien Ban Ki~m soat chuyen trach phai CU'tru t~i Vi(!t Nam trong thai giandU'O'ngnhi$m.

3. TOngGiam d6c phai c6 du cac tieu chu~n va di~u ki(!n sau day:

a) Khong thuoc d6i tU'oongquy dinh t~i khoan 1, f)i~u 42, f)i~u I(! nay;

b) C6 d~o d(fc ngh~ nghi(!p;

c) C6 b~ng d~i hoc tra len v~ mot trong cac nganh kinh t~, quan trj kinh doanh, lu~t;

d) C6 it nhat 05 nam lam ngU'aidi~u hanh cua to ch(fc tin dl,lng ho~c c6 it nhfit 05 namlam TOngGiam d6c ho~c Giam d6c, Ph6 TOngGiam d6c ho~c Ph6 Giam d6c doanhnghi(!p c6 v6n chu sa ht)u t6i thi~u b~ng m(fc v6n phap dinh d6i v&i ngan hangthU'O'ngm~i cOph~n theo quy dinh cua phap lu~t ho~c c6 it nhat 10 nam lam vi$ctrl,l'cti~p trong linh Vl,l'Ctai chinh, ngan hang, k~ toan ho~c ki~m toan;

e) CU'tru t~i Vi(!t Nam trong thai gian dU'O'ngnhi(!m.

4. Ph6 TOng Giam d6c, K~ toan trU'ang, Giam d6c Sa Giao djch, Giam d6c Chi nhanh,Giam d6c cong ty con va cac ch(fc danh tU'O'ngdU'O'ngphai c6 du cac tieu chu~n va di~uki$n sau day:

a) Khong thuoc d6i tU'oongquy dinh dU'&iday:

- NgU'ai chU'athanh nien, ngU'ai bj h~n ch~ ho~c bj mfit nang Il,I'chanh vi dan Sl,l';

- NgU'Cridang bi truy cCrutrach nhi~m hinh Sl,l',dang chllp hanh ban an, quy~t dinhv~ hinh Sl,l'cua Tea an;

- NgU'Crida bj k~t an v~ toi tli toi ph~m nghiem trong tr& len (t¢i ph~m ma m(fc caonhfit cua khung hinh ph~t d6i v&i toi ay la tren 3 nam tu);

33- .~ -..•.-....-..'.-..------.-'-----~.---------.--------,.--"-"--~--.--.------- •.-.--,-.---- ..---- ..- - -._-.--.--.~.-----.'-.~..-"-."-.-.--------.-.-..-------."------------_-------.--------------------_ .._--._---_._'''--'--.- .._

HOiso' chinh 41 - 45 Le Duan, Q 1, Tp.HCM - Tel (84-8) 38220961 - Fax: (84-8) 38220963, Website www.ocb.com.vn l--

~

oocaNgAn Hang PhUdngD6ng £>i~uI~ Ngan hang TMCP PhU'O'ng£>ong £>H£>C£>

- NgU'ai da bi k~t an v~ toi xam pham seyhCrurna chua dU'O'cxoa an tich:

- Can bo, cong chuc, ngU'ai quan Iy tCrcap ph6ng treYlen trong cac doanh nghi$pma Nha nuoc n~m tCr50% vOn di~u 1$treYlen, trCr ngU'ai duoc CLl'lam de;!idienquan Iy ph~n vOn gop cua Nha nuoc tai to chuc tin dunq:

- 89 quan, ha s9 quan, quan nhan chuyen nghi$p, cong nhan quoc ph6ng trongcac co quan, don vi thuec Quan doi nhan dan Vi$t Nam; s9 quan, ha s9 quanchuyen nghi$p trong cac co quan, don vi thuec Cong an nhan dan Vi$t Nam, trCrngU'ai dU'O'cCLl'lam de;!idi$n quan Iy ph~n vOn gop cua Nha nuoc tal to chirc tindl,lng;

- Cha, me, VO',ch6ng, con va anh, chi, em cua thanh vien HOi d6ng Quan tri, TOngGiam dOc va VO',ch6ng cua nhCrng ngU'ai nay.

b) £)Oivai ch(rc danh Pho TOng Giam dOc thi phai la ngU'ai khong thuoc dOi tU'O'ngquydinh te;!ikhoan 1, £)i~u 42 £)i~u Ie nay.

c) Co b~ng de;!ihoc treYlen v~ mot trong cac nganh kinh t~, quan tri kinh doanh, lu~tho~c linh Vl,l'Cchuyen mon ma minh se dam nhi$m; ho~c co b~ng de;!ihoc treYlen \,.;ngoai cac nganh, linh Vl,l'Cneu tren va co it nhat 03 nam lam viec trl,l'c ti~p trong linh .Vl,l'Cngan hang, tai chinh ho~c linh Vl,l'Cchuyen mon ma minh se dam nhi$m;

d) CU' tru te;!iVi$t Nam trong thai gian dU'O'ngnhiem.

Di~u 45. TieuchuAn,di~u ki~nv~ tinh dQcI~pcua thimh vien dQcI~pcua HQidangQuantrj

1. flap (rng cac di~u kien quy dinh te;!ikhoan 1, £)i~u 44 cua £)i~u Ie nay va phai bao damcac yeu du v~ tieu chuan va tinh doc I~p theo khoan 2, 3, 4, 5, 6 cua £)i~u nay.

2. Khong phai la ngU'ai dang lam viec cho OCB ho~c cong ty con cua OCB ho~c da lamviec cho OCB ho~c cong ty con cua OCB trong 03 nam li~n k~ trU'ac do.

3. Khong phai la ngU'ai hU'eYngIU'O'ng,thu lao thU'ang xuyen cua OCB ngoai nhCrng khoanphl,l c~p cua thanh vien HOi d6ng Quan tri dU'O'chU'eYngtheo quy dinh.

4. Khong phai la ngU'ai co VO',ch6ng, cha, me, con, anh, chi, em va VCl,ch6ng cua nhCrngngU'ai nay la CO dong Ian cua OCB, ngU'ai quan Iy ho~c thanh vien Ban Ki~m soat cua '-'OCB ho~c cong ty con cua OCB.

5. Khong trl,l'c ti~p, gian ti~p seyhCruho~c de;!idi$n seyhCru tCr 1% vOn di~u 1$ho~c vOn cOph~n co quy~n bi~u quy~t treYlen cua OCB; khong cung ngU'ai co lien quan seyhCrutCr5% vOn di~u Ie ho~c vOn cO ph~n co quy~n bi~u quy~t treYlen cua OCB.

6. Khong phai la ngU'ai quan Iy, thanh vien Ban Ki~m soat cua OCB te;!ib~t ky thai di~mnao trong 05 nam li~n k~ trU'ac do.

Di~u 46. DU'O'ngnhien m~t tU'cach

1. Cac trU'ang hO'p sau day dU'O'ngnhien m~t tU' cach thanh vien Hoi d6ng Quan tri, thanhvien Ban Ki~m soat, TOng Giam dOc OCB:

a) M~t nang Il,I'chanh vi dan Sl,l', ch~t;

b) Vi phe;!mquy dinh te;!i£)i~u 42 cua £)i~u 1$ nay v~ nhCrng trU'ang hO'p khong dU'O'cdam nhiem ch(rc Vl,l;

34

'"'~,..•'.".'.". _..,-_._.-._ •..._-_._-_._-_.

HQisa chinh: 41 - 45 Le Duan, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax (84-8) 38220963, Websitewww.ocb.com.vl1

-:lOCBNgan Hang Phlltlng OOng £>i~u 1$Ngan hang TMCP PhuO'ng £>ong £>H£>C£>

c) La ngU'ai d~i dien phan vOngop cua mot to chLYCla COdong cua OCB khi to chLYCdo bi cham dlYttu each phap nhan;

d) Khong con la ngU'aid~i dien phfln vOngop theo uy quyen cua COdong la to chtrc;

e) Bi true xuat kh6i lanh thOnuoc Cong hoa xa hOichu nghia Viet Nam;

f) Khi OCB bl thu hOiGiay phep:

g) Khi hO'PdOngthue TOngGiam dOch~t hieu hlC.

2. HOi dOng Ouan tri phai co van ban bao cao kern tai lieu chLYngminh v~ viec cac dOitU'O'ngdU'O'ngnhien mat tu each theo quy dinh tal khoan 1 f)i~u nay glri NHNN trong thaihan as ngay lam viec, k~ tLl' ngay xac dinh dU'O'cdOi tU'O'ngtren dU'O'ngnhien mat tueach va chiu trach nhiem v~ tinh chfnh xac, trung thuc cua bao cao nay; thl,l'c hien cacthu tl,lCbau, bOnhiem chLYCdanh bj khuy~t theo quy dinh cua phap lu~t.

3. Sau khi dU'O'ngnhien mat tU' cach, thanh vien Hoi dOngQuan tri, thanh vien Ban Ki~msoat, TOngGiam dOc phai chiu trach nhiem v~ cac quy~t dinh cua minh trong thai giandU'O'ngnhiem.

4. Trong thai h~n 15 ngay lam viec k~ tLl'ngay Chu tich Hoi dOngQuan tri bj dU'O'ngnhienmat tU' cach theo quy dinh t~i khoan 1, f)i~u nay, cac thanh vien Hoi dOngQuan trj cotrach nhiem to chLYChOpHOidOngQuan trj d~ bau mot thanh vien lam Chu tich Hoi dOngQuan trio

5. Trang thai h~n 15 ngay lam viec k~ tLl'ngay TrU'ang Ban Ki~m soat bi dU'O'ngnhien mattU' cach theo quy dinh t~i khoan 1, f)i~u nay, cac thanh vien Ban Ki~m soat co trachnhiem to chLYChOpBan Ki~m soat d~ bau mot thanh vien lam TrU'ang Ban Ki~m soat.

fli6u 47. Mi6nnhi~m,bai nhi~m

1. Chu tich va thanh vien Hoi dOng Quan tri, TrU'ang ban va thanh vien Ban Ki~m soat,TOng Giam dOc cua OCB bj xem xet bai nhiem, mien nhiem khi thuoc mot trong cactrU'ang hO'Psau:

a) Bi h~n ch~ nang Il,I'chanh vi dan Sl,l';

b) Co dO'nxin tLl'chLYC(trong do neu r5 Iy do xin tLl'chLYc)glri Hoi dOngQuan tri, BanKi~m soat;

c) Khong tham gia cac ho~t dong cua HOidOngQuan tri, Ban Ki~m soat trong 06 thanglien tl,lC,trLl'trU'ang hO'Pbat kha khang;

d) Khong bao dam tieu chu~n, di~u kien quy dinh t~i f)i~u 44, f)i~u Ie nay;

e) Thanh vien dOcI~p cua Hoi dOngQuan trj khong bao dam yeu cau v~ tfnh doc I~p;

f) Cac trU'ang hO'Pkhac do phap lu~t quy djnh (n~u co).

2. Sau khi bi mien nhiem, bai nhiem, Chu tjch, thanh vien Hoi dOngQuan trj; TrU'ang Ban,thanh vien Ban Ki~m soat; TOngGiam dOcphai chju trach nhiem v~ cac quy~t dinh cuaminh trong thai gian dU'O'ngnhiem.

3. Trong thai h';1n10 ngay lam viec, k~ tLl' ngay thong qua quy~t dinh mien nhiem, bainhiem dOivcYicae dOitU'O'ngtheo quy djnh t~i khoan 1, f)i~u nay, Hoi dOngQuan tri phaico van ban kem tai lieu lien quan bao cao NHNN.

35

-_...~~..~..-..-.------~-.•.-..-.-,-.,~-.-.---.----.-~--,..~-"-"-.,.--- ----.-.,,-.------------~"-_HOisO-chinh 41 - 45 Le DU2!n, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax (84-8) 38220963, Website:www.ocb.colTI.vn v

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oocaNgan Hang PhllOngfl6ng £)i~u Ie Ngan hang TMCP PhU'O'ng£)ong £)H£)C£)

4. Trang thai han tOida 60 ngay k~ tli ngay nhan don xin tli chuc cua Chu tich Hoi d6ngOuan tri, Hoi d6ng Ouan tri phai to chuc hop d~ xem xet quy~t dinh va ti~n hanh cac thub,ICmien nhiem va b~u ChLitjch Hoi d6ng Quan tri thay th~.

5. Trong thai han 60 ngay k~ tli ngay nh~n don xin tli chirc cua TrU'QongBan Ki~m scat,Ban Ki~m soat phai to chuc hop d~ xem xet, quy~t dinh va ti~n hanh cac thLi tuc miennhiem va b~u TrU'QongBan Ki~m soat thay th~.

6. f)Oi v&i cac trU'ang hop mien nhiem, bai nhiern thanh vien Hoi d6ng Ouan tri, thanh vienBan Ki~m soat thea quy dlnh tai khoan 1 f)it§u nay, Hoi d6ng Ouan tr] co th~ to ChlfChopf)~i hoi d6ng COdong bat thU'ang ho~c trinh cuoc hop f)~i hoi d6ng COdong g~n nhatquy~t djnh.

Trli trU'ang hOOpdU'O'ngnhien mat tU' cach theo f)it§u 46 cLia f)it§u Ie nay, khi chU'a coquy~t dinh mien nhiem, bai nhiem cLiaf)~i hoi d6ng COdong, cac thanh vien HOid6ngQuan tri, thanh vien Ban Ki~m soat bi dt§nghi mien nhiem, bai nhiem v~n co dLi trachnhiem, quyt§nva nghia Vl,Jthea f)it§u Ie nay va quy dinh cLiaPhap lu~t.

£)i~u48. Thay th~ TOngGiam dOctrong tnJ'ang hQ'pkhan c~p

1. Trang thai h~n 01 ngay lam viec k~ tli ngay TOng Giam dOc bi xac dinh dU'O'ngnhienmat tU' cach theo quy dinh t~i khoan 1, f)i~u 46, f)i~u Ie nay va quy dinh cLiaphap lu~t,ho~c bj mien nhiem, bai nhiem khi chU'aco ngU'ai thay th~, Hoi d6ng Quan tri phai coquy~t dinh Cll' ngay mot Pho TOng Giam dOcdit§uhanh ho~t dong ngan hang d~ baadam aCB ho~t dong On dinh, lien tl,JCva co van ban bao cao NHNN (qua CO'quanThanh tra, Giam sat va NHNN chi nhanh TP H6 Chi Minh). NgU'ai dU'oocCll' dit§uhanhaCB phai chiu trach nhiem ca nhan dOi v&i nhiem Vl,JdU'oocgiao trong thai gian damnh~n nhiem Vl,Jnay.

2. Trang thai h~n 60 ngay k~ tli ngay TOngGiam dOcbi dU'O'ngnhien mat tU'cach, bi miennhiem, bai nhiem t~i khoan 1 f)i~u nay, Hoi d6ng Quan trj phai ti~n hanh cac thLi tl,lCbOnhiem TOngGiam dOcm&i thea quy dinh.

£)i~u49. £)inhchi, t~m dinh chi

1. TrU'ang hOOpaCB bi d~t vao tinh tr~ng ki~m soat d~c biet, ChLitich va cac thanh vien Hoid6ng Quan tri, TrU'Qongban va cac thanh vien Ban Ki~m soat, ngU'ai dit§uhanh cLiaaCBco th~ bi Ban Ki~m soat d~c biet do NHNN thanh I~p dinh chi, t~m dinh chi viec thl,l'cthiquyt§n,nghia Vl,J.

2. ChLitich va cac thanh vien Hoi d6ng Quan tri, TrU'Qongban va cac thanh vien Ban Ki~msoat, ngU'ai dit§u hanh cLia aCB co th~ bj NHNN dinh chi, t~m dinh chi viec thl,l'c thiquyt§n,nghia Vl,lnhiem Vl,l,quy~n h~n khi vi ph~m quy dinh t~i f)it§u 43 cLiaf)it§u Ie nay,quy dinh cLia phap lu~t co lien quan trong qua trinh thl,l'Chien quyt§n, nghia Vl,JdU'oocgiao; yeu c~u cO'quan co tham quy~n cLiaaCB mien nhiem, b~u, bOnhiem ngU'ai thayth~ ho~c chi djnh ngU'ai thay th~ n~u xet thay c~n thi~t.

3. NgU'ai bi dinh chi, t~m dinh chi viec thl,l'c thi nhiem Vl,J,quyt§n h~n thea quy djnh t~ikhoan 1, khoan 2, f)it§u nay phai co trach nhiem tham gia Xll' Iy cac t6n t~i va sai ph~mco lien quan d~n trach nhiem ca nhan khi co yeu c~u cLiaNHNN, Hoi d6ng Quan tri, BanKi~m soat cLiaaCB ho~c Ban Ki~m soat d~c biet.

36

HOisa chinh: 41 - 45 Le Du~n, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963. Websitewww.ocb.com.vll

OCBNgan Hang Phlldng Dong Di~u li;jNgi!mhang TMCP PhU'O'ngDong DHDCD

Di~u 50. Thu lao, ti~n IU'O'ngva lQ'i ich khac cho NgU'ai quan Iy, NgU'ai di~u hanh,thanh vien Ban Ki~msoat,

1. Thu lao, ti€!nIU'O'ngva lQ'iieh khac eho NgU'aiquan Iy, NgU'aidi€!uhanh, thanh vien BanKiE§msoat do £)c;lihOidOngcs dong xem xet, quy~t dinh tren co sa k~t qua va hi$u quakinh doanh trong narn tai ehinh phu hop v&i quy dinh cua Phap luat.

2. T6ng rrurc thu lao cua HOidOngQuan tr] do £)c;lihOidOng ce dong quyet dinh tai cuochop thU'ang nien.

3. £)c;lihOidOngcs dong quyet dinh t6ng m(fe thu lao va ngan sach hoat dong hang narncua Ban kiE§msoat.

4. Ti€!nIU'O'ngcua T6ng giam dOcdo HOidOngOuan tri quy~t dinh.

5. Tien IU'O'ngcua NgU'ai quan Iy, NgU'ai di€!uhanh khae do HOidOngQuan tri quy~t dinhho~e phan e~p quy~t dinh.

Di~u 51. Cong khai cac lQ'iich lien quan

1. Thanh vien Hoi dOng Quan tri, thanh vien Ban KiE§msoat, T6ng Giam dOc, Ph6 T6ngGiam dOcva cae eh(fe danh tU'O'ngdU'O'ngeua OeB phai eong khai v&i oeB cae thongtin sau day:

a) Ten, dja chi trl) sa ehinh, nganh, ngh€!kinh doanh, 50 va ngay e~p Gi~y eh(fng nh~ndang ky doanh nghi$p, nO'idang ky kinh doanh eua doanh nghi$p, t6 eh(fe kinh t~ma minh va ngU'ai e6 lien quan d(fng ten sa hCruph~n vOn g6p, e6 ph~n ho~e uyquy€!n,uy thae eho ea nhan, t6 eh(fe khae d(fng ten t(l' 5% vOndi€!u1$tra len;

b) Ten, dia chi trl) sa ehinh, nganh, ngh€!kinh doanh, 50 va ngay e~p Gi~y eh(fng nh~ndang ky doanh nghi$p, nO'idang ky kinh doanh eua doanh nghi$p ma minh va ngU'aie6 lien quan dang la thanh vien HOidOngQuan tri, thanh vien HOidOngthanh vien,thanh vien Ban kiE§msoat, T6ng Giam dOcho~eGiam dOc.

2. Vi$e eong khai thong tin quy dinh tc;likhoan 1 £)i€!unay va vi$e thay d6i thong tin lienquan phai dU'Q'ethl,l'e hi$n bang van ban trong thai hc;ln07 ngay lam vi$e, kE§t(l' ngayphat sinh ho~e e6 thay d6i thong tin.

3. Vi$e eong khai thong tin quy dinh tc;likhoan 1 £)i€!unay phai dU'Q'ethong bao dinh kyhang nam eho £)c;lihoi dOng e6 dong va dU'Q'eniem y~t, lU'ugiCrtc;litrl) sa ehinh euaoeB. e6 dong, dc;lidi$n theo uy quy€!neua e6 dong, thanh vien HOidOngQuan trj, BanKiE§msoat, T6ng Giam dOce6 quy€!nxem xet noi dung ke khai b~t e(f lue nao n~u xetth~y e~n thi~t.

4. Thanh vien Hoi dOng Quan tri, T6ng Giam dOc nhan danh ea nhan ho~e nhan danhngU'ai khae dE§thl,l'e hi$n eong vi$e dU'&i moi hinh th(fe trong phc;lmvi eong vi$e kinhdoanh eua OeB d€!uphai giai trinh ban eh~t, noi dung eua eong vi$e d6 trU'&eHOidOngQuan tri, Ban KiE§msoat va chi dU'Q'ethl,l'ehi$n khi dU'Q'eda 50 thanh vien con Ic;lieua HOidOngQuan tri eh~p thu~n; n~u thl,l'ehi$n ma khong khai bao ho~e khong dU'Q'eSl,l'eh~pthu~n eua HOidOngQuan tri thi t~t ea thu nh~p e6 dU'Q'et(l' hOc;ltdong d6 thuoe v€!oeB.

Di~u 52. Quy~n,nghia vI;.!cua NgU'aiquan Iy, NgU'aidi~u hanh aCB

1. Thl,l'ehi$n cae quy€!nva nhi$m VI) dU'Q'egiao theo dung quy dinh eua phap lu~t, £)i€!u1$oeB, nghi quy~t, quy~t dinh eua £)c;lih¢i dOnge6 dong.

".

37

H¢I so' cllinh 41 - 45 Le Du~n, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn .

~/

gOeBNgan Hang PhllClngfl6ng f)i~u Ie Ngan hang TMCP PhlJ'O'ngf)ong f)Hf)Cf)

2. Thuc hien cac quyen va nhiem vu dU'oocgiao mot each trung thuc, can tronq, vi Iooilchcua DCB va co dong.

3. Trung thanh v&i Iooilch cua DCB; khong SLr dl,lng thong tin, bl quyet, co hOikinh doanhcua DCB, lam dl,lngdia vi, chirc vu va tai san cua DCB d~ thu Iooica nhan hoac d~ phucvu Ioi lch cua t6 chuc, ca nhan khac lam tOnhal t&i Iooilch cua DCB va COdong.

4. Bao dam luu trCrhOso cua DCB d~ cung cap dU'ooccac 56 li$u phuc vu cho hoat dongquan Iy, di~u hanh, ki~m soat mol hoat dong DCB, hoat dong thanh tra, giam sat, ki~mtra cua NHNN.

5. Am hi~u v~ cac 10GiirLliro trong heat dong cua DCB.

6. Thong bao kip thai, d~y dLl,chlnh xac cho DCB v~ quy~n Iooicua minh tai to chuc khac,giao dich v&i to ch(J'c,ca nhan khac co th~ gay xung dot v&i Iooiich cLlaDCB va chi dU'ooctham gia vao giao dich do khi dU'Q'cHoi dOngQuan tri chap thu~n.

7. Khong dU'ooctc;lodi~u ki$n d~ ban than ho~c ngU'ai co lien quan cLlaminh vay v6n, 5Lrdl,lng cac dich Vl,lngan hang cLlaDCB v&i nhCrngdi~u ki$n U'udai, thu~n IooihO'nso v&iquy dinh chung cLlaDCB. \.;

8. Khong dU'ooctang IU'O'ng,thu lao ho~c yeu du tra thU'cYngkhi DCB bi 10.

9. Cac nghia Vl,lkhac do theo quy dinh cLlaphap lu~t (n~u co).

£)i~u53. Tranh xung d9t quy~n 19'i

1. Vi$c cap cac khoan vay, bao lanh, ho~c tin dl,lng khac cho cac thanh vien HOi d6ngQuan tri, TOngGiam d6c, can bo quan Iy, di~u hanh va nhCrngngU'ai lien quan cLlaho vaphap nhan ma nhCrngngU'ai nay co Iooiich tai chinh phai tuan theo quy dinh cLlaphaplu~t.

2. Cac hQ'pdOng cLlaDCB v&i thanh vien HOidOng Quan tri, thanh vien Ban Ki~m soat,TOng Giam d6c, COdong I&n, ngU'ai co lien quan cLla NgU'ai quan Iy, thanh vien BanKi~m soat, COdong I&n; cong ty con, cong ty lien k~t cLlaDCB chi dU'oocky k~t, n~u baodam thl,.l'chi$n dung theo quy dinh sau day:

a) £)6i v&i hQ'pdOngco gia tri I&n hO'n20% V6n di~u 1$cLlaDCB ghi trong bao cao taichinh da dU'Q'cki~m toan g~n nhat thi phai dU'ooc£)GiihOidOng COdong thong quatrU'&ckhi kyoTrong trU'ang hQ'pnay, cac COdong co lien quan khong co quy~n bi~uquy~t;

b) £)6i v&i hQ'pdOnggiao dich co gia tri bang ho~c nho hO'n20% V6n di~u 1$CLlaDCBghi trong bao cao tai chinh da dU'oocki~m toan g~n nhat thi phai dU'Q'cHoi d6ngQuan tri thong qua ho~c phan cap, uy quy~n thong qua trU'&c khi kyoTrong trU'anghQ'pnay, thanh vien co lien quan khong co quy~n bi~u quy~t.

3. TrU'anghoophQ'pdOngdU'Q'cky k~t ho~c thl,.l'chi$n ma chU'adU'ooc£)GiihOidOngc6 dongho~c HOidOngQuan tri thong qua theo quy dinh tGiikhoan 2 £)i~u nay thi hQ'pdOngdo vahi$u va dU'oocXli' Iy theo quy djnh cLla phap lu~t. NhCrngngU'ai gay thi$t hGiicho DCBphai co trach nhi$m bOithU'ang thi$t hc;liphat sinh, hoan tra cho DCB cac khoan IooithudU'ooctLPvi$c thl,.l'chi$n hQ'pdOngdo.

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OCBNgan Hang Phlldng flOng £)i~u I~ Ngan hang TMCP PhU'O'ng£)Ong £)H£)C£)

4. Thanh vien Hoi dOng Quan tri, T6ng Giam d6c va nhCrng ngU'CYiquan Iy khac khongduoc mua hoac ban hoac giao djch theo bat ClYhlnh thuc nao khac cac c6 phieu cuaOCB hay cua cac Cong ty con vao thol di~m he co dU'Q'cnhCrng thong tin chao ch~n segay anh hU'Qrngd~n gia cua nhCrng c6 phi~u nay trong khi cac cs dong khac khong cothong tin do.

Di~u 54. Trach nhi~m va bOi thU'i>'ng

Thanh vien Hoi dOng Ouan tri, T6ng Giarn d6c va can bo quan Iy vi pharn nghia Vl,Jhanhdong mot each trung thuc, khong hoan thanh nghia Vl,Jcua mlnh v&i SI,J' c~n tronq, m~ncan va nang Il,J'cchuyen man se phai chiu trach nhi$m va bOi thU'cyngcho nhCrng thiet haldo hanh vi vi pharn cua mlnh gay ra.

ChU'O'ng IX

HOI DONG QUAN TRI

Di~u 55. HQi dOng Quan tri va cO' cau H9i dOng Quan tri

1. HOi dOng Quan tri la cO'quan quan trj cua OCB, co toan quy~n nhan danh OCB d~ quy~tdinh, thl,J'c hi$n cac quy~n va nghia Vl,Jcua OCB, tni nhCrng van d~ thuoc th~m quy~ncua f)~i hoi dOng c6 dong.

2. HOi dOng Quan trj phai co khong it hO'n 05 thanh vien va khong qua 11 thanh vien, trongdo co it nhat 01 thanh vien doc I~p. Hoi dOng Quan tri phai co it nhat 1/2 (mot ph~n hai)t6ng 56 thanh vien la thanh vien doc I~p va thanh vien khong phai la NgU'CYidi~u hanhOCB.

3. Ca nhan va ngU'CYico lien quan cua ca nhan do ho~c nhCrng ngU'CYidiili di$n v6n gop cuamot c6 dong la t6 chlYCva ngU'CYico lien quan cua nhCrng ngU'CYinay dU'Q'ctham gia HoidOng Quan tri, nhU'ng khong dU'Q'cVU'Q'tqua 1/3 (mot ph~n ba) tOng 56 thanh vien HOi

4. ~::~u::;ri~:"I:~~B~i~n HOid6ng Quan Iri khOngdu hai ph&nba 16ng 56 Ihanh Vie~~'wcua nhi$m ky ho~c khong du 56 thanh vien t6i thi~u la 05 thanh vien thl trong thCYih~n 6P:ngay, k~ tlJr ngay khong du 56 1U'Q'ngthanh vien, OCB phai b6 sung du 56 1U'Q'ngthan"vien Hoi dOng Quan trio '/,

5. Nhi$m ky cua HOi dOng Quan tri la 05 nam. Nhi$m ky cua thanh vien HOi dOng Quan tritheo nhi$m ky cua HOi dOng Quan trioThanh vien Hoi dOng Quan trj co th~ dU'Q'cb~u liiliv&i 56 nhi$m ky khong h~n ch~. Nhi$m ky cua thanh vien HOi dOng Quan tri dU'Q'cb6sung ho~c thay th~ la thCYih~n con liili cua nhi$m ky HOi dOng Quan trio HOi dOng Quan tricua nhi$m ky vlJra k~t thuc ti~p tl,lC hOiilt dong cho d~n khi HOi dOng Quan tri cua nhi$mky m&i ti~p quan cong vi$c.

6. HOi dOng Quan tri co quy~n b~u, mi~n nhi$m, bai nhi$m Chu tjch HOi dOng Quan trio Chutich HOi dOng Quan tri co th~ la thanh vien doc I~p.

7. Chu tich HOi dOng Quan tri phai la ngU'CYico qu6c tjch Vi$t Nam va CU'tru tiili Vi$t Namtrong thCYigian dU'O'ngnhi$m.

8. Vi$c b~u, mi~n nhi$m, bai nhi$m va dU'O'ngnhien mat tU' cach cua Chu tich va cac thanhvien Hoi dOng Quan tri phai dU'Q'cthl,J'chi$n theo quy dinh cua phap lu~t va f)i~u 1$nay,

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ooeBNgan Hang Phlldng £>6ng £>i~u I~ Ngan hang TMCP PhU'O'ng£>ong £>H£>C£>

9. Sau khi cO phieu OCB da niem y~t, viec bO nhiem cac thanh vien HOi dOng Ouan tr] phaiduoc thong bao theo cac quy dinh cua phap lu~t v~ chlmg khoan va thi trU'ang chungkhoan,

10. HOi dOng Ouan tri sCr dl,mg con dau cua OCB dll thuc hien nhiern vu, quyen han cuaminh.

11. Giup viec cho HOi dOng Quan trl c6 Van phong Hoi dOng Ouan trio Chuc nang, nhiern vucua Van phong Hoi dOng Ouan tri do HOi dOng Quan trj quy dinb.

12. HOi dOng Quan tr] phai thanh I~p cac Uy ban dll giup HOi dOng Quan tri thuc hien nhiemvu, quy~n han cua minh, trong d6 phai c6 Uy ban Quan Iy Rui ro va Uy ban Nhan su.HOi dOng Ouan trj quy djnh nhiem Vl,l, quy~n hi;in cua hai Uy ban nay theo hU'cYngd~ncua NHNN.

Diiu 56. Nhi~mVI;I va quyin h~n ella HQid6ng Quan trj

1. Chju trach nhiem trU'ac £)i;ii hOi dOng CO dong trong viec thl,l'c hien nhiem Vl,l, quy~n hi;indU'oocgiao.

2. Trinh £)i;ii hOi dOng CO dong quy~t djnh, thong qua cac van d~ thuoc th~m quy~n cua £)i;ii \..;hoi dOng COdong.

3. Quy~t dinh viec thanh I~p chi nhanh, van phong di;ii dien, dO'n vi Sl,l'nghiep.

4. BO nhiem, mi~n nhiem, bai nhiem, ky lu~t, dinh chi va quy~t djnh muc IU'O'ng, Iooiichkhac d6i vai cac chuc danh TOng Giam d6c, Ph6 TOng Giam d6c, K~ toan trU'ang, ThU'ky HOi dOng Quan trj, cac chuc danh thuoc bo ph~n killm toan noi bo va NgU'ai quan Iy,NgU'ai di~u hanh khac theo quy djnh noi bO cua OCB.

5. Thong qua ho~c phan cap uy quy~n viec thong qua phU'O'ng an g6p v6n, mua cO ph~ncua doanh nghiep, to chuc tin dl,lng khac c6 gia trj dU'ai 20% v6n di{lu Ie cua OCB ghitrong bao cao tai chinh da dU'Q'ckillm toan g~n nhat.

6. cCr ngU'ai di;ii dien v6n g6p cua OCB ti;ii doanh nghiep, to chuc tin dl,lng khac.

7. Quy~t djnh ho~c phan cap uy quy~n viec quy~t djnh d~u tU', giao djch mua, ban tai sancua OCB tLf 10% tra len so vai v6n di~u Ie cua OCB ghi trong bao cao tai chinh da dU'oockillm toan g~n nhat, trLf cac khoan d~u tU', giao djch mua, ban tai san cua OCB quy djnh \.,ti;ii dillm 0 khoan 3 £)i~u 27, £)i{lu Ie nay.

8. Quy~t djnh cac khoan cap tin dl,lng theo quy djnh ti;ii khoan 7 £)i~u 128 cua Lu~t Cac tochuc tin dl,lng, trLf cac giao djch thuoc th~m quy~n quy~t dinh cua £)i;ii hOi dOng COdongquy djnh ti;ii £)i~u Ie nay.

9. Thong qua ho~c phan cap uy quy~n viec thong qua cac hOOpdOng cua OCB vai cong tycon, cong ty lien k~t cua OCB; cac hoopdOng cua OCB vai thanh vien HOi dOng Quan tri,thanh vien Ban Ki~m soat, TOng Giam d6c, CO dong lan, ngU'ai c6 lien quan cua hQ c6gia tri b~ng ho~c nho hO'n20% vOn di{lu Ie cua OCB ghi trong bao cao tai chinh da dU'OOckillm toan g~n nhat. Trong trU'ang hQ'p nay, thanh vien c6 lien quan khong c6 quy{ln billuquy~t.

10. Killm tra, giam sat, chi di;iOTOng Giam d6c thl,l'c hien nhiem Vl,l dU'Q'cphan cong; danhgia h~ng nam v~ hieu qua lam viec cua TOng Giam d6c.

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11. Ban hanh cac quy ch~ noi bo lien quan d~n to chuc, quan tri va hoat dong cua OCB phuhop vcYicac quy dinh cua t.uat cac to chuc tin dl,mg va phap lu~t co lien quan, tnJ nhCYngvan d~ thuoc tham quyen cua Ban Ki~m scat hoac cua £)~i hOi dOng COdong.

12. Quy~t dinh chinh sach quan Iy rlli ro va giam sat vi$c thuc thi cac bien phap ph6ng ngLrarlli ro cua OCB.

13. Xem xet, phe duyet bao cao thU'ang nien.

14. Ll,I'a chon to chtrc dinh gia chuyen nghi$p d~ dinh gia tai san gop vOn khong phai la tienVi$t Nam, nqoal t$ tl,l' do chuyen dOi, vang theo quy dinh cua phap lu~t.

15. £)~ nghi ThOng dOc NHNN chap thuan cac v~n d~ theo quy dinh cua phap lu~t.

16. Quy~t dinh chao ban cO phc\n mcYitrong ph~m vi sO cO phc\n dU'Q'cquy~n chao ban.

17. Quy~t dinh gia chao ban cO phc\n va trai phi~u chuylm dOi clla OCB.

18. Quy~t dinh mua I~i cO phc\n clla OCB.

19. Ki~n nghi phU'O'ng an phfm phOi lQ'i nhu~n, mlJ'c cO tlJ'CdU'Q'ctra; quy~t dinh thai h~n vathll b,ICtra cO tlJ'Cho~c Xll' Iy 10phat sinh trong qua trinh kinh doanh.

20. Ll,I'a chon theo llY quy~n clla £)~i hOi dOng CO dong mot to chlJ'c ki~m toan doc I~p dlldi~u ki$n theo quy dinh clla NHNN d~ ki~m toan cac ho~t dong clla OCB trong nam taichinh ti~p theo trU'cYckhi k~t thuc nam tai chinh.

21. Chuan bi noi dung, tai li$u lien quan d~ trinh £)~i hoi dOng CO dong quy~t dinh cac v~nd~ thuoc tham quy~n clla £)~i hOi dOng CO dong, trLr nhCYngnoi dung thuoc nhiem Vl,J,quy~n h~n clla Ban Ki~m soat.

22. Duy$t chU'O'ng trinh, k~ ho~ch ho~t dong clla HOi dOng Quan tri; chU'O'ngtrinh, noi dung,tai lieu phl,JcVI,J hop £)~i hoi dOng COdong; tri$u t~p hOp £)~i hOi dOng COdong ho~c I~y yki~n CO dong b~ng van ban d~ thong qua nghi quy~t, quy~t dinh clla £)~i hOi dOng COdong.

23. TO chlJ'c tri~n khai, ki~m tra, giam sat vi$c thl,l'c hi$n nghi quy~t, quy~t dinh clla £)~i hoidOng COdong va Hoi dOng Quan trio

24. Thong bao kip thai cho NHNN thong tin anh hU'ang tieu Cl,l'Cd~n tU' cach thanh vien HOidOng Quan tri, Ban Ki~m soat, TOng Giam dOc.

25. £)~ Cll' ngU'ai lJ'ng Cll' vao HOi dOng Quan trj, Ban Ki~m soat trong trU'ang hQ'p cOdong d~Cll' khong dll sO 1U'Q'ngthanh vien.

26. Thl,l'c hi$n cac nhi$m Vl,J, quy~n h~n khac theo uy quy~n clla £)~i hOi dOng CO dong vaquy dinh clla phap lu~t (n~u co).

£)i~u57. Quy~n, nghia vl;Ieua Chu tieh HQid6ng Quan tri

1. L~p chU'O'ngtrinh, k~ ho~ch ho~t dong clla HOi dOng Quan trio

2. Chuan bi chU'O'ngtrinh, noi dung, tai li$u phl,JcVI,J cuoc hOp; tri$u t~p va chll to~ cuoc hopHoi dOng Quan trio

3. TO chlJ'c viec thong qua quy~t dinh clla HOi dOng Quan trio

4. Giam sat qua trinh to chlJ'Cthl,l'c hi$n cac quy~t dinh clla Hoi dOng Quan trio

41

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~/

oocaNg~nH~ngPh""ng !lOng £)i~u h~Ngan Mng TMCP Phuonq £)ong £)H£)C£)

5. Chu toa cuec hop £)~i hOidOngCOdong.

6. Sao dam cac thanh vien Hoi dOng Quan tri nh~n dU'Q'cthong tin d~y du, khach quan,chfnh xac va c6 du thcYigian thao luan cac v~n d~ rna Hoi dOngOuan tri pha! xem xet.

7. Phan cong nhiem Vl,J cho cac thanh vien HOidOngQuan trioNoi dung phan cong nhiernVl,J Cl,J th~ thanh vien phai dU'Q'cth~ hien dU'cYid~ng van ban va c6 chCrky cua Chu tichHoi dOngQuan trio

8. Giam sat cac thanh vien Hoi dOngQuan tri trong viec thuc hi~n cac cong viec duoc phancong va cac quy~n, nghia Vl,J chung.

9. Danh gia hieu qua lam vi~c cua tll'ng thanh vien, cac Uy ban cua HOidOngQuan tri t6ithi~u m6i nam 01 I~nva bao cao £)~i hoi dOngCOdong v~ k~t qua danh gia nay.

10. TrU'cYnghQ'pChu tich Hoi dOngQuan tri vang m~t thi uy quy~n bang van ban cho motthanh vien khac d~ thl,J'chien cac quy~n va nghia Vl,J cua Chu tich Hoi dOngQuan trioTrU'cYnghQ'pkhong c6 ngU'cYidU'Q'cuy quy~n ho~c Chu tich HOidOngQuan tri khong lamvi~c dU'Q'cthi cac thanh vien con I~i b~u mot ngU'cYitrong s6 cac thanh vien t~m thcYigiCrchLi'cChu tich HOidOngQuan tri theo nguyen tac da s6 qua ban. L,.

11. Cac quy~n va nghia Vl,J khac theo quy dinh cua phap lu~t va £)i~u Ie OCS.

£)i~u 58. Quy~n, nghia VI;I eua thanh vie!n HQidOng Quan tri

1. Thl,J'chien quy~n, nghia Vl,J cua thanh vien HOidOngQuan tri theo dung quy ch~ noi bOcua HOidOngQuan tri va Sl,J'phan cong cua Chu tich Hoi dOngQuan tri mot cach trungthl,J'cvi lQ'ifch cua OCS va COdong.

2. Xem xet bao cao tai chfnh do ki~m toan vien dOc I~p chu~n bi, c6 y ki~n ho~c yeu c~uNgU'cYidi~u hanh OCS, ki~m toan vien doc I~pva ki~m toan vien noi bo giai trinh cac v~nd~ c6 lien quan d~n bao cao.

3. £)~nghi Chu tich Hoi dOngQuan tri trieu t~p cuoc hOpHOidOngQuan tri b~t thU'cYng.

4. Tham dl,J'cac cuoc hOpHOidOngQuan tri, thao lu~n va bi~u quy~t v~ cac v~n d~ thuocnhiem Vl,J, quy~n h~n cua Hoi dOngQuan tri theo quy dinh cua phap lu~t va £)i~u I~OCS,tru trU'cYnghQ'pkhong dU'Q'cbi~u quy~t vi v~n d~ xung dot lQ'ifch vcYithanh vien d6. Chiutrach nhiem ca nhan trU'cYcphap lu~t, trU'cYc£)~i hoi dOng COdong va trU'cYcHOidOng \..,.,Quan tri v~ quy~t dinh cua minh.

5. Tri~n khai thl,J'chi~n cac nghi quy~t, quy~t dinh cua £)~i hOidOngCOdong va HOidOngQuan trio

6. C6 trach nhiem giai trinh tmcYc£)~i hOidOngCOdong, HOidOng Quan tri v~ vi~c thl,J'chi~n nhi~m Vl,J dU'Q'cgiao khi c6 yeu c~u.

7. Cac quy~n, nghia Vl,J khac theo quy dinh cua phap lu~t (n~u c6).

£)i~u 59. HQpHQi dOng Quan tri

1. TrU'cYnghQ'pHOi dOng Quan tri b~u Chu tich thi cuoc hOp d~u tien cua nhi~m ky H(>idOngQuan tri d~ b~u Chu tich va ra cac quy~t dinh khac thuoc th~m quy~n phai dU'Q'cti~n hanh trong thcYih~n 07 ngay lam viec, k~ tu ngay k~t thuc b~u CLr Hoi dOngQuan trinhiem ky d6. Cuoc hOpnay do thanh vien c6 s6 phi~u b~u cao nh~t trieu t~p. TmcYnghQ'pc6 nhi~u hO'n1 thanh vien c6 s6 phi~u b~u cao nh~t va ngang nhau thi cac thanh

42

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OCBNgan Hang PhLldng!lOng £lieu I~ Ngan Mng TMCP PhU'O'ng£long £lH£lC£l

vien da bau theo nguyen tac da sO mot ngU'ai trong sO ho tri~u t~p hop HOi dOng Ouantrio

2. HOi dOng Quan tri co thll hop dinh ky hoac bat thU'ang. Hoi dOng Quan tri co thll hop taltn) seychlnh cua DCB hoac eytrong va ngoai nuoc,

3. Cuoc hop dinh ky cua Hoi dOng Ouan trl do Chu tich trieu t~p bat Clf khi nao n~u xet thaycan thi~t, nhU'ng m6i quy phai hop it nhat 1 Ian.

4. Chu tich Hoi dOng Quan tri phai trieu t~p hop HOi dOng Ouan tr] khi co mot trong cactrU'ang hop sau day:

a) Co d~ nghi cua Ban Killm soat hoac cua TrU'eYngBan Killm scat;

b) Co d~ nghi cua TOng Giam dOc hoac it nhat 05 NgU'ai quan Iy khac:

c) Co d~ nghi cua it nhat 2 thanh vien HOi dOng Quan trio

£)~ nghi phai dU'Q'c I~p thanh van ban, trong do neu ro ml,JCdrch, van d~ can thao lu~nva quy~t dinh thuoc th~m quy~n cua Hoi dOng Quan trio

5. Chu tich ho~c thanh vien HOi dOng Quan tri dU'Q'cChu tich uy quy~n phai tri~u t~p hOpHOi dOng Quan tri trong thai h~n 15 ngay, kll tlf ngay nh~n dU'Q'cmot trong cac d~ nghitheo quy dinh t~i khoan 4, £)i~u nay. TrU'ang hQ'p Chu tich ho~c ngU'ai dU'Q'cuy quy~nkhong tri~u t~p hop Hoi dOng Quan tri theo d~ nghi thi phai chiu trach nhi~m v~ nhCrngthi~t h~i xay ra dOi vcYiaCB, trlf trU'ang hQ'p khong tri~u t~p hop dU'Q'cvi Iy do bat khakhang; trong trU'ang hQ'p nay, ngU'ai d~ nghi hop Hoi dOng Quan tri co quy~n tri~u t~phOp HOi dOng Quan tri, cac thanh vien HOi dOng Quan tri dl,J'hOp be phi~u bau chu toacuoc hop.

6. Hoi dOng Quan tri co quy~n ban hanh quy ch~ noi bO cua HOi dOng Quan tri v~ cactrU'ang hQ'p hop kh~n cap, thai h~n thong bao va hinh thlfc thong bao mai hop HOi dOngQuan tri trong trU'ang hQ'p can hop kh~n cap.

7. Chu tich Hoi dOng Quan tri ho~c ngU'ai tri~u t~p hOp HOi dOng Quan tri phai gLri thongbao mai hOp ch~m nhat 03 ngay lam vi~c trU'cYcngay hop, trlf trU'ang hQ'p hop kh~n cap.Thong bao mai hOp phai xac dinh CI,Jthll thai gian va dia dillm hop, chU'O'ng trinh, cacvan d~ thao lu~n va quy~t dinh. Kem theo thong bao mai hOp phai co tai li~u SLrdl,Jngt~icuoc hOp va phi~u billu quy~t cua thanh vien.

Thong bao mai hOp dU'Q'cgLri bang bU'u dien, fax, thU' di~n tLr ho~c phU'O'ng ti~n khac,nhU'ng phai bao dam d~n dU'Q'cdia chi cua tlfng thanh vien Hoi dOng Quan tri dU'Q'cdangky t~i DCB.

8. Chu tich Hoi dOng Quan tri ho~c ngU'ai tri~u t~p phai gLri thong bao mai hop va cac taili$u kem theo d~n cac thanh vien Ban Killm soat va TOng Giam dOc nhU' dOi vcYithanhvien HOi dOng Quan trio

Thanh vien Ban Killm soat, TOng Giam dOc khong phai la thanh vien HOi dOng Quan tri,co quy~n dl,J'cac cuoc hOp cua HOi dOng Quan tri; co quy~n thao lu~n nhU'ng khongdU'Q'cbi~u quy~t.

9. Cuoc hOp HOi dOng Quan tri dU'Q'cti~n hanh khi co tlf 3/4 (ba phan tU') tOng sO thanhvien treYlen dl,J'hop. TrU'ang hQ'p khong trl,J'cti~p dl,J'hop, thanh vien Hoi dOng Quan trico quy~n uy quy~n billu quy~t cho mot thanh vien HOi dOng Quan tri khac ho~c gLri y

43_ .... -~-".- --_ ---_ ...._--_.- -._-_._---_.- ..•--_.,.._.,,------ ----------- ...._--_ ...._---------_._----_._----_ ..__ ._ .....-.. -__ ."_ ---'-_ ..__ .._---_ ....__ .._-_ ..,.

HQi56 chinh 41 - 45 Le Du~n, Q.1, Tp.HCM,. Tel (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn t-

~/

ooeBNgan Hang Phllllng £lOng Di~u I~ Ngan hang TMCP Phll'O'ngDong DHDCf)

ki~n bi~u quyet bang van ban. TrU'ong hop bi~u quy~t bang van ban, phieu bi~u quyetphai dl,l'ngtrong phong bi kin va phai dU'Q'Cchuyen d~n chu tea cuoc hop Hoi d6ng Ouantr] cham nhat 01 gio truoc gio khai mac, Phi~u bi~u quy~t chi duoc m& truce su' chLi'ngki~n cua tat ca nhCrngthanh viem true ti~p dl,l' hop. Quy~t dinh cua Hoi d6ng Ouan tridU'Q'cthong qua n~u dU'Q'cda 56 thanh vien dl,l' hop chap thuan; trU'ong hop 56 phieungang nhau thi quy~t dinh cu6i cung thu¢c v~ phla c6 y ki~n cua Chu tich Hoi d6ngOuan trio

10. TrU'ong hop cuec hop dU'Q'ctrieu t~p theo quy dinh khoan 9, f)i~u nay khong dLl 56thanh vien dl,l' hop theo quy dinh thi dU'Q'ctrieu tap Ian thLi'2 trong thoi han 15 nqay, k~tLYngay dl,l'dinh hop Ian thLi'nhat. Trong trU'ong hQ'pnay, cu¢c hop dU'Q'cti~n hanh n~uc6 hO'nmot nLra56 thanh vien H¢i d6ng Quan tri dl,l'hOp.

11. Thanh vien Hoi d6ng Quan tri dU'Q'cuy quy~n cho ngU'oi khac khong phai la thanh vienHoi d6ng Quan tri dl,l' hop n~u dU'Q'cda 56 thanh vien Hoi d6ng Quan tri chap thu~n.Trong trU'ong hQ'pnay, ngU'oi dU'Q'cuy quy~n dl,l' hop chi c6 quy~n dl,l'hop va khong c6quy~n bi~u quy~t.

12. Bi~u quy~t: \..,

a) TrLYquy dinh t~i di~m b khoan nay, m6i thanh vien H¢i d6ng Quan tri trl,l'cti~p c6 m~tv&i tU'cach ca nhan t~i cu¢c hop H¢i d6ng Quan tri se c6 mot phi~u bi~u quy~t;

b) Thanh vien H¢i d6ng Quan tri khong dU'Q'cbi~u quy~t v~ cac hQ'pd6ng, cac giaodich ho~c d~ xuat ma thanh vien d6 ho~c ngU'oi lien quan t&i thanh vien d6 c6 lQ'iichva lQ'iich d6 mau thu~n ho~c c6 th~ mau thu~n v&i lQ'iich cLlaOCB;

c) Theo quy dinh t~i di~m d, khoan nay, khi c6 van d~ phat sinh trong mot cuoc hOpcLlaH¢i d6ng Quan tri lien quan d~n mLi'cd¢ lQ'iich cLlathanh vien H¢i d6ng Quan triho~c lien quan d~n quy~n bi~u quy~t mot thanh vien ma nhCrngvan d~ d6 khongdU'Q'cgiai quy~t bang Sl,l'tl,l' nguyen tLYbe quy~n bi~u quy~t cLlathanh vien Hoi d6ngQuan tri d6, nhCrngvan d~ phat sinh d6 se dU'Q'cchuy~n t&i ChLlto~ cuoc hop vaphan quy~t cLlaChLlto~ lien quan d~n tat ca cac thanh vien H¢i d6ng Quan tri khacse c6 gia tri la quy~t dinh cu6i cung, trLYtrU'ong hQ'ptinh chat ho~c ph~m vi lQ'iichcLlathanh vien H¢i d6ng Quan tri lien quan chU'adU'Q'ccong b6 mot cach thich dang;

d) Thanh vien Hoi d6ng Quan tri hU'&nglQ'itLY1 hQ'pd6ng dU'Q'cquy dinh t~i khoan 2 \.;f)i~u 53, f)i~u Ie nay se dU'Q'ccoi la c6 lQ'i ich trong hQ'pd6ng d6.Thanh vien Hoid6ng Quan tri trl,l'c ti~p ho~c gian ti~p dU'Q'chU'&ng lQ'itLYmot hQ'pd6ng ho~c giaodich da dU'Q'cky k~t ho~c dang dl,l' ki~n ky k~t v&i OCB va bi~t la minh c6 lQ'i ichtrong d6, se phai cong khai ban chat, noi dung cLlaquy~n lQ'id6 trong cuoc hOpmaHOid6ng Quan tri Ian dau tien xem xet van d~ ky k~t hQ'pd6ng ho~c giao dich nay.Ho~c thanh vien nay c6 th~ cong khai di~u d6 t~i cuoc hop dau tien cLlaHoi d6ngQuan tr! dU'Q'cto chLi'csau khi thanh vien nay bi~t rang minh c6 lQ'iich ho~c se c6 lQ'iich trong giao djch ho~c hQ'pd6ng lien quan.

13. Nghi quy~t, quy~t dinh cLlaH¢i d6ng Quan trj dU'Q'cthong qua n~u dU'Q'cda 56 phi~u tanthanh, bao g6m ca phi~u bi~u quy~t bang van ban va bi~u quy~t theo uy quy~n; trU'anghQ'p56 phi~u ngang nhau thi quy~t d!nh cu6i cung thuoc v~ phia c6 y ki~n cua Chu toacu¢c hop.

44

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14. Nghi quy~t, quyet dinh cua H¢i dOngOuan tri c6 hi~u h,l'cthi hanh k~ t(l' ngay dU'oocthongqua hoac t(l' ngay c6 hieu h,l'cdU'Q'cghi ro trong nghi quyet, quyet dinh d6.

15. TrU'ang hop c6 thanh vien H¢i dOngOuan tr] yeu cau khai kien hoac tnrc ti~p khai ki~nd6i vol nghi quyet, quy~t dinh da dU'oocthong qua thi nghi quyet, quy~t dinh b] khai kienv~n ti~p tuc dU'Q'cthi hanh cho d~n khi Toa an hoac Trong tai c6 quy~t dinh khac.

16. H¢i dOngQuan tr] dU'Q'cquy€mt6 chLPCcac cuec hop dU'&icac hinh thLPCkhac theo quydinh cua phap lu~t hi~n hanh voi di~u ki~n cac hinh thLPCnay phai dU'oocquy dinh Cl,lth~trong Quy ch~ t6 chLPCva hOCiltd¢ng cua Hoi dOngQuan trio

Di6u 60. Bi€m ban hQp HQidOng Quan tri

1. Cac cu¢c hOpcua H¢i dOngQuan tri phai dU'oocghi thanh bien ban va c6 th~ ghi am, ghiva lU'ugiCrdU'&ihinh thLPCdi~n tLrkhac. Bien ban phai c6 cac noi dung chu y~u sau day:

a) Ten, dia chi trl,l sa chinh, 56 va ngay c~p Gi~y chlmg nh~n dang ky doanh nghi~p,nO'idang ky kinh doanh;

b) Ml,Jcdich, chU'O'ngtrinh va noi dung hOp;

c) Thai gian, dia di~m hop;

d) Ho, ten tLrng thanh vien dl,l' hop ho~c ngU'ai dU'oocuy quy~n dl,l' hop; ho, ten cacthanh vien khong dl,l'hop va Iy do;

e) Cac v~n d~ dU'oocthao lu~n va bi~u quy~t tCilicuoc hop;

f) T6m t~t phat bi~u y ki~n cua tLrngthanh vien dl,l'hop theo trinh tl,l'di~n bi~n cua cu¢chop;

g) K~t qua bi~u quy~t trong d6 ghi ro nhCrngthanh vien tan thanh, khong tan thanh vakhong c6 y ki~n;

h) Cac quy~t dinh da dU'oocthong qua;

i) Ho, ten, chCrky cua t~t ca thanh vien ho~c dCilidi~n theo uy quy~n dl,l'hop.

2. Chu toCilva ThU' ky phai chiu trach nhi~m v~ tinh trung thl,l'c va chinh xac cua n¢i dungbien ban hop H¢i dOngQuan trio

3. TrU'ang hQ'pthanh vien trl,l'cti~p dl,l'hOpkhong ky vao bien ban thi phai ghi ro Iy do; n~ukhong ghi ro Iy do thi bi~u quy~t cua thanh vien d6 d6i v&i nhCrngnoi dung tCilicu¢c hOpcoi nhU'khong c6 gia trio

4. Bien ban cu¢c hop H¢i dOngQuan tri phai dU'oocI~p b~ng ti~ng Vi~t va c6 th~ b~ng motthLPti~ng nU'&cngoai, va hai ban nay c6 gia tri phap Iy ngang nhau. TrU'ang hoophai bienban nay c6 Sl,J'khac bi~t v~ n¢i dung thi dU'Q'cgiai thich theo bien ban dU'oocI~p b~ngti~ng Vi~t.

5. Bien ban hop H¢i dOngQuan tri va tai Ii~u SLrdl,lng trong cuoc hop phai dU'ooclU'ugiCrtCilitrl,l chinh cua DCB.

6. Chu tich Hoi dOngQuan tri c6 trach nhi~m chuy~n bien ban hop H¢i dOngQuan tri chocac thanh vien va nhCrngbien ban d6 se phai dU'oocxem nhU' nhCrngb~ng chLPngxacthl,l'cv~ cong vi~c da dU'oocti~n hanh trong cac cu¢c hop d6 tr(l' khi c6 y ki~n phan d6i v~n¢i dung bien ban trong thai hCiln10 ngay k~ tLrkhi chuy~n di.

45

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£)i~u61. ThAm quy~n va thA thCPc lay y ki~n thanh vien HQi d6ng Quan tr] bing vanban

1. Chu tich Hoi d6ng Quan tri quyet dinh viec lay y killn thanh vien Hoi d6ng Ouan tr] bangvan ban.

2. ThU'ky Hoi d6ng Ouan tr] chuan bi phillu lay y killn, cac tal lieu can thiet co lien quan dllnnoi dung xin y killn. Phillu lay y killn va tai lieu kern theo phai duoc g(ri bang phU'O'ngthuc bao dam dlln dia chi lien lac cua tLrngthanh vien Hoi d6ng Ouan trio

3. Phillu lay y killn phai co cac noi dung chu yllu sau day:

a) Ten, dia chi tru sO>chinh, s6 va ngay cap Giay phep thanh I~p va hoat dong, Giaychung nhan dang ky doanh nghiep cua OCB;

b) Ml,lcdich lay y killn;

c) HQ,ten va dia chi lien lac cua thanh vien Hoi d6ng Quan tri;

d) van d~ c~n lay y killn;

e) PhU'O'ngan bi~u quyllt, bao g6m: tan thanh, khong tan thanh va khong co y killn;

f) Thai h~n g(ri phillu lay y killn da dU'Q'ctra lai v~ OCB;

g) HQva ten, chCrky cua Chu tich Hoi d6ng Quan trio

4. Phillu lay y killn da dU'Q'ctra lai phai co chCrky cua thanh vien Hoi d6ng Quan tri va g(riv~ OCB theo quy dinh cua OCB.

5. ThU'ky Hoi d6ng Quan trj ki~m phillu va I~p bien ban ki~m phillu dU'&iSl,J'giam sat cuat6i thi~u mot thanh vien doc I~p HOid6ng Quan trioBien ban ki~m phillu phai co cac noidung chu yllu sau day:

a) Ten, dia chi trl,l sO>chinh, s6 va ngay cap Giay phep thanh I~p va ho~t dong, Gi~ychung nh~n dang ky doanh nghiep cua OCB;

b) Ml,lcdich va cac van d~ c~n lay y killn;

c) T6ng s6 phillu bi~u quyllt g(ri di, t6ng s6 phillu bi~u quyllt thu v~, s6 phillu bi~uquyllt hQ'pIe, s6 phillu bi~u quyllt khong hQ'pIe. Bien ban phai co phl,l Il,lcdanh sachthanh vien Hoi d6ng Quan tri da tham gia bi~u quyllt;

d) T6ng s6 phillu tan thanh, khong tan thanh va khong co y killn d6i v&i tLrng v~n d~dU'Q'cxin y killn;

e) HQ,ten, chCrky cua ngU'aiphl,ltrach ki~m phillu, ngU'aigiam sat.

6. ThU'ky Hoi d6ng Quan trj tham gia vao viec I~y y killn thanh vien Hoi d6ng Quan tri bangvan ban va ngU'ai giam sat ki~m phillu phai lien d&i chiu trach nhiem v~ tinh trung thl,J'c,chinh xac cua bien ban ki~m phillu; lien d&i chiu trach nhiem v~ cac thiet h~i phat sinh tLrcac quy~t dinh dU'Q'cthong qua do ki~m phi~u khong trung thl,J'c,khong chinh xac.

7. Bien ban kilt qua ki~m phi~u kern nghi quy~t, quy~t dinh cua Hoi d6ng Quim tri thongqua dl,J'atren k~t qua ki~m phi~u phai dU'Q'cg(ri d~n cac thanh vien Hoi d6ng Quan tritrong thai h~n 15 ngay, k~ tLrngay kilt thuc ki~m phillu.

46

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8. Phillu I~y y killn da dU'Q'ctra lai, bien ban ki~m phieu, toan van nghi quyet da dU'Q'cthong qua va tai li~u c6 lien quan glri kern theo phillu I~y y killri d~u phai dU'Q'clU'ugiLl'tai tru sa chinh cua OCB.

9. Quyllt dinh duoc thong qua theo hlnh thuc I~y y killn thanh vien HOidOngQuan tri bangvan ban c6 gia tri nhu quyet dinh dU'Q'cthong qua tal cuec hop HOidOngQuan trio

ChU'O'ngX

TONG GIAM DOC

Di6u 62. Tong Giam d6c va bQ may giup vi~c

1. Tong Giarn doc la ngU'ai di~u hanh cao nh~t cua OCB, chiu Sl,l'giam sat cua Hoi dOngOuan tr] va Ban Ki~m soat, chiu trach nhiern truce HOidOngOuan tri va truce phap luatv~ viec thuc hien quyen va nhiern Vl,lphu hQ'pquy dinh cua phap lu~t va f)i~u I~ nay.Nllu di~u hanh trai v&i quy dinh nay rna gay thi~t h~i cho OCB thi Tong Giam doc phaichiu trach nhi~m trU'&cphap lu~t va phai bOithU'ang thi~t h~i cho OCB.

" 2. Hoi dOngQuan tri bo nhi~m mot trong so cac thanh vien cua minh lam Tong Giam docho~c thue Tong Giam doc va phai ky mot hQ'pdOng lao dong c6 thai h~n quy dinh ranhi~m Vl,l,quy~n h~n va trach nhi~m cua Tong Giam doc phu hQ'pv&i BOlu~t Lao dong,quy dinh cua NHNN va cac quy dinh khac cua phap lu~t.

3. Nhi~m ky cua Tong Giam doc do HOi dOng Quan trj quyllt dinh nhU'ng khong qua 05nam. Tong Giam doc c6 th~ dU'Q'cbo nhi~m I~i v&i so nhi~m ky khong h~n chll.

4. Giup vi~c Tong Giam doc c6 mot so Ph6 Tong Giam doc, Kll toan trU'ang va bo maychuyen mon nghi~p Vl,l.Hoi dOngQuan trj quy djnh Cl,lth~ cO'c~u, chLrcnang, nhi~m Vl,lcua bo may giup vi~c cho Tong Giam doc.

5. Ph6 Tong Giam doc la ngU'ai giup Tong Giam doc di~u hanh mot ho~c mot 50 linh Vl,l'Cho~t dong cua OCB theo 5l,1' phan cong cua Tong Giam doc.

6. Kll toan trU'ang giup Tong Giam doc chi d~o thl,l'c hi~n cong tac kll toan, thong ke cuaOCB, c6 cac quy~n va nhi~m Vl,ltheo quy djnh cua phap lu~t.

" Di6u 63. Quy6n, nghia V\I cua Tong Giam d6c

1. To chLrcthl,l'chien cac nghi quyllt, quyllt dinh cua f)~i hOidOngCo dong, HOidOngQuantrio

2. Quyllt dinh cac v~n d~ thuoc tham quy~n lien quan dlln ho~t dong kinh doanh hang ngaycua OCB.

3. Thillt I~p, duy tri h~ thong ki~m soat noi bOho~t dong c6 hi~u qua.

4. L~p va trinh Hoi dOngQuan tri thong qua ho~c d~ bao cao c~p c6 tham quy~n thong quabao cao tai chinh. Chiu trach nhi~m v~ tinh chinh xac, trung thl,l'ccua bao cao tai chinh,bao cao th6ng ke, so li~u quyllt toan va cac thong tin tai chinh khac.

5. Ban hanh theo tham quy~n quy dinh noi bO;quy trinh, thu tl,lCtac nghiep d~ v~n hanh hethong di~u hanh kinh doanh, h~ thong thong tin bao cao.

47"-~,.- _.__ ...._.,"_- ~. ---. _.....•-...-....._.....

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6. Bao cao HOidOngQuan tri, Ban Ki~m scat, f)~i hOidOngcs dong va co quan nha nuocc6 tham quylm v~ hoat dong va k~t qua kinh doanh cua aCB.

7. Quy~t dinh ap dl,mg bien phap vuot th~m quy~n cua minh trong trU'ang hoopthien tai,dich hoa, h6a hoan, Sl,J'c6 va chiu trach nhiern v~ quyet dinh d6 va kip thai bao cao HoidOngOuan trio

8. Ki~n nghi, d~ xuat co c~u t6 chirc va heat dong cua aCB trinh HOidOngOuan tr] hoacf)~i hOidOngcs dong quyet dinh theo th~m quyen.

9. f)~ nghi HOidOngOuan trl hop b~t thU'angtheo quy dinh cua f)i~u I~ nay.

10. B6 nhiern, mi~n nhiern, bi3inhiern cac chuc danh quan Iy, di~u hanh cua OCB, tnr cacchLrcdanh thuoc th~m quy~n quy~t dinh cua f)~i hoi dOngc6 dong, HOidOngQuan trio

11. Ky k~t hOOpdOngnhan danh OCB theo quy dinh cua f)i~u I~ va quy dinh noi bOcua OCB.

12. Ki~n nghi phU'O'ngan Slr dl,mgIooinhu~n, Xli' Iy 16trong kinh doanh cua OCB.

13. Tuy~n dl,mg lao dong; quy~t dinh IU'O'ngva phI) c~p (n~u c6) cua ngU'ai lao dong theoth~m quy~n.

14. Cac quy~n va nhi~m VI) khac theo quy dinh cua phap lu~t va quy~t dinh cua Hoi dOngQuan trio

ChU'O'ng XI

BAN KIEM soAr£)i~u64. Ban Ki6m soat va cO' cAu Ban Ki6m soat

1. Ban Ki~m soat thl,J'chi~n ki~m toan noi bo, ki~m soat, danh gia vi~c ch~p hanh quy dinhcua phap lu~t, quy dinh noi bo, f)i~u I~ va nghi quy~t, quy~t dinh cua f)~i hoi dOngc6dong, HOidOngQuan trio

2. Ban Ki~m soat cua OCB c6 tLY03 d~n 05 thanh vien trong d6 phai c6 it nh~t 1/2 (motph~n hai) t6ng s6 thanh vien la thanh vien chuyen trach; thanh vien chuyen trach khongdOngthai dam nhi~m chLrcVI),cong vi~c khac t~i OCB ho~c doanh nghi~p khac.

3. Ban Ki~m soat c6 bo ph~n giup vi~c, bO ph~n ki~m toan noi bo, dU'oocSlr dl)ng cacnguOnll,J'ccua OCB, dU'oocthue chuyen gia va t6 chLrcben ngoai d~ thl,J'chi~n nhi~m VI)cua minh.

4. Nhi~m ky cua Ban Ki~m soat la 05 nam. Nhi~m ky cua thanh vien Ban Ki~m soat theonhi~m ky cua Ban Ki~m soat. Thanh vien Ban Ki~m soat c6 th~ dU'Q'cb~u I~i vai s6nhi~m ky khong h~n ch~. Nhi~m ky cua thanh vien dU'oocb6 sung ho~c thay th~ la thaih~n con I~i cua nhi~m kyoBan Ki~m soat cua nhi~m ky vLYak~t thuc ti~p tl)C ho~t dongeho d~n khi Ban Ki~m soat cua nhi~m ky mai ti~p quan cong vi~c.

5. TrU'ang hOOps6 thanh vien Ban Ki~m soat khong du 2/3 (hai ph~n ba) t6ng s6 thanh vieneua nhi~m ky ho~c khong du s6 thanh vien t6i thi~u theo quy dinh cua f)i~u I~ nay thitrong thai h~n 60 ngay, k~ tLYngay khong du s6 lU'oongthanh vien, OCB phai b6 sung dus6 1U'Q'ngthanh vien Ban Ki~m soat.

£)i~u65. Nhi~m v ....va quy~n h\in cua Ban Ki6m soat

48

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1. Giarn sat viec tuan thu cac quy dinh cua phap luat va £)i~u Ie OCB trong quan tri, di~uhanh OCB; chlu trach nhiem tnroc £)~i hoi dOngc6 dong trong vlec thuc hien nhiern Vl,J,quyen han dU'Q'cgiao.

2. Ban hanh Quy dinh noi bOcua Ban Ki~m scat; dinh ky h~ng narn xem xet lai quy dinh noibOcua Ban Ki~m scat, cac chinh sach quan trong v~ k~ toan va bao cao.

3. Thuc hien chuc nang ki~m toan noi bo; co quyen SLr dl,Jngtu van doc I~p va quyen duocti~p can, cung cap day du, chinh xac, kip thai cac thong tin, tai lieu lien quan d~n heatdong quan Iy, di~u hanh OCB d~ thuc hien nhiernVl,J,quy~n han dU'Q'cgiao.

4. Tharn djnh bao cao tai chinh 06 thang dau narn va hang nam cua OCB, bao gOmca baocao tai chinh da dU'Q'cki~m toan bai t6 chLi'cki~m toan doc I~p thl,J'chien. Bao cao £)~ihoi dOngc6 dong v~ k~t qua th~m dinh bao cao tai chinh h~ng nam, danh gia tinh hQ'pIy, hQ'pphap, trung thl,J'Cva mLi'cdo c~n trong trong cong tac k~ toan, thOng ke va I~pbao cao tai chinh. Ban Ki~m soat co th~ tham khao y ki~n cua HOidOngQuan tri trU'&ckhi trlnh bao cao va ki~n nghi len £)~i hoi dOngc6 dong.

5. Ki~m tra s6 k~ toan, cac tai lieu khac va cong viec quan Iy, di~u hanh ho~t dong cuaOCB khi xet thay can thi~t ho~c theo nghi quy~t, quy~t dinh cua £)~i hoi dOngc6 dongho~c theo yeu cau cua c6 dong I&n ho~c nhom c6 dong I&n phI) hQ'pv&i quy dinh cuaphap lu~t. Ban Ki~m soat thl,J'chien ki~m tra trong thai h~n 07 ngay lam viec, k~ tCJtngaynh~n dU'Q'cyeu cau. Trong thai h~n 15 ngay, k~ tCJtngay k~t thuc ki~m tra, Ban Ki~msoat phai bao cao, giai trlnh v~ nhCrngvan d~ dU'Q'Cyeu cau ki~m tra d~n t6 chLi'c,canhan co yeu cau.

6. Kip thai thong bao cho HOidOngQuan tri khi phat hien NgU'aiquan Iy OCB co hanh vi viph~m; yeu cau ngU'aivi ph~m cham dLrtngay hanh vi vi ph~m va co giai phap kh~c phl,Jch~u qua (n~u co).

7. L~p danh sach c6 dong sang I~p, c6 dong I&n, nhCrngngU'ai co lien quan cua thanhvien Hoi dOngQuan tri, thanh vien Ban Ki~m soat, T6ng Giam dOccua OCB, lU'ugiCrvac~p nh~t thay d6i cua danh sach nay.

8. £)~ nghi Hoi dOngQuan tri hOpbat thU'ang ho~c d~ nghi Hoi dOngQuan tri trieu t~p £)~ihOidOng c6 dong hOpbat thU'ang theo quy djnh t~i £)i~u Ie OCB va quy dinh cua phaplu~t.

9. Trieu t~p hop £)~i hoi dOng c6 dong bat thU'ang trong trU'ang hQ'pHoi dOngQuan tri coquy~t dinh vi ph~m nghiem trong quy dinh cua phap lu~t ho~c co quy~t dinh VU'Q'tquath~m quy~n dU'Q'cgiao theo quy dinh t~i £)i~u Ie nay.

10. Thl,J'chien cac nhiem Vl,Jva quy~n h~;mkhac theo quy dinh cua phap lu~t.

Di~u 66. Quy~n,nghia vir'ella TrU'o.ngBan Ki~msoat

1. T6 ch(rc tri~n khai viec thl,J'chien nhiem Vl,J,quy~n h~n cua Ban Ki~m soat quy djnh t~i£)i~u65, £)i~u Ie nay.

2. Chu~n bi chU'O'ngtrlnh cho cac cuoc hop cua Ban Ki~m soat tren cO'sa y ki~n d~ xuatcua thanh vien Ban Ki~m soat lien quan d~n nhiem Vl,J,quy~n h~n cua Ban Ki~m soat;trieu t~p va chu toa cuoc hop Ban Ki~m soat.

3. Thay m~t Ban Ki~m soat ky cac van ban thuoc th~m quy~n cua Ban Ki~m soat.

.\,

49- ,-~ '--'..~".

---..~.-..-~--"~--.-.----------.----H¢i so' chinh: 41 - 45 Le Dutm, Q 1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.colll.vn

fV15--------------------- - ---- ---------------------------------------------------

oocaNg~nH~ngPhllllngflOng £>i{lu Ie Ngan hang TMCP PhU'O'ng £>Ong £>H£>C£>

4. Thay m~t Ban Ki~m seat trieu t~p £)~i hoi dong c6 dong hop b~t thU'ang hoac dE§nghjHOi dong Quan trj hop b~t thU'ang thee quy djnh tai £)iE§u1$nay.

S. Tham dl,J'cuoc hop Hoi dong Ouan tri, phat bi~u y ki~n nhunq khong dU'Q'cbi~u quyet.

6. Yeu cau ghi I~i Y ki~n cua minh treng bien ban cuoc hop Hoi dong Ouan tr] n~u y ki~ncua minh khac vai nghj quyet, quyet dlnh cua HOi dong Ouan tri va bao cao truoc £)~ihoi dong cs dong.

7. Chu~n b] k~ hoach lam vi$c va phan cong nhiem vu cho cac thanh vien Ban Ki~m seat.

8. Bao dam cac thanh vien Ban Ki~m seat nhan dU'Q'cthong tin d~y du, khach quan, chinhxac va co du thai gian thao lu~n cac v~n dE§ma Ban Ki~m seat phai xem xet.

9. Giam sat, chi d~e vi$c thl,J'c hi$n nhi$m Vl,.ldU'O'c phan cong va quyE§n, nghia Vl,.lcLlathanh vien Ban Ki~m seat.

10. Uy quyE§nche mot thanh vien khac cua Ban Ki~m seat thl,J'c hi$n nhi$m Vl,.lcua minhtreng thai gian yang m~t.

11. Thl,J'Chi$n cac quyE§nva nghia Vl,.lkhac thee quy djnh cua phap lu~t.

DiAu 67. QuyAn, nghia vlJ eua thanh vh~nBan Ki6m soat

1. Tuan thu quy djnh cua phap lu~t, £)iE§u1$OCB va quy djnh noi bo cLla Ban Ki~m seat motcach trung thl,J'c,c~n trong vi IO'i ich cLla OCB va c6 dong.

2. B~u mot thanh vien Ban Ki~m seat lam TrU'cYngBan Ki~m seat.

3. Yeu c~u Tru'cYngBan Ki~m seat tri$u t~p hop Ban Ki~m seat b~t thU'ang.

4. Ki~m seat he~t dong kinh deanh, ki~m seat s6 sach k~ tean, tai san, bae cae tai chfnhva ki~n nghj bi$n phap khac phl,.lc.

S. £)U'O'cquyE§nyeu c~u can bo, nhan vien cLla OCB cung c~p sO Ii$u va giai trinh cac he~tdong kinh deanh d~ thl,J'chi$n nhi$m Vl,.ldU'Q'cphan cong.

6. Bae cae TrU'cYngBan Ki~m seat vE§he~t dong tai chinh b~t thU'ang va chju trach nhi$mca nhan vE§danh gia va k~t lu~n cua minh.

7. Tham dl,J'cac cuoc hop cua Ban Ki~m seat, thae lu~n va bi~u quy~t vE§cac v~n dE§thuocnhi$m Vl,.l,quyE§nh~n cua Ban Ki~m seat, trLPnhCrngv~n dE§co xung dot lQ'i ich vai thanhvien do.

8. Thl,J'chi$n cac quyE§nva nghia Vl,.lkhac thee quy dinh cua phap lu~t.

DiAu 68. QuyAn dU'Q'e eung cap thong tin eua Ban Ki6m soat

1. Thong bae mai hOp, phi~u I~y y ki~n thanh vien HOi dong quan tri va cac tai li$u kemthee phai dU'Q'cgLri d~n thanh vien Ban ki~m seat cung thai di~m va thee phU'O'ngthLrcnhU' dOi vai thanh vien HOi dong quan trio

2. Cac nghi quy~t va bien ban hop cua £)~i hoi dong c6 dong, HOi dong quan trj phai dU'O'cgLri d~n che thanh vien Ban ki~m seat cung thai di~m va thee phU'O'ng thLrc nhU' dOi vaic6 dong, thanh vien HOi dong quan trio

3. Bae cae cua Giam dOc he~c T6ng giam dOc trinh Hoi dong quan tri he~c tai li$u khac deOCB phat hanh dU'O'cgLri d~n thanh vien Ban ki~m seat cung thai di~m va thee phU'O'ngthLrc nhU' dOi vai thanh vien HOi dong quan trio

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Hoi scYchinh 41 - 45 Le Duan, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Websitewww.ocb.com.vn

OCBNgan Hang Phltdng !lOng £lit§u1$Ngan Mng TMCP PhU'O'ng£long £lH£lC£l

4. Thanh vien Ban ki~m soat co quyen tillp can cac hOso, tal lieu cua DCB luu giCrtai truscYchinh, chi nhanh va dja di~m khac; co quyen dlln cac dja di~m hamviec cua ngU'aiquan Iy va nhan vien cua DCB trong gia lam vlec.

5. Hoi dOngquan tri, thanh vien HOidOngquan trl, Giam d6c hoac T6ng giam d6c, ngU'aiquan Iy khac phai cung cap day du, chinh xac va kip thai thong tin, tai lieu v~ cong tacquan Iy, di~u hanh va hoat dong kinh doanh cua DCB theo yeu cau cua thanh vien Banki~m soat hoac Ban ki~m soat.

Di6u 69. Cac CU9C hop cua Ban kiAm soat

1. Cuoc hop thU'ang ky: Cuoc hop Ban Ki~m scat dau tien phai dU'Q'ct6 ch(rc trong yang 30ngay sau ngay cac thanh vien dU'Q'cbau. NgU'aico phillu bau cao nhat trieu t~p. TrU'anghQ'pco 02 hay nhi~u thanh vien co s6 phillu bau ngang nhau thl cac thanh vien trung Cll'th6ng nhat chon 01 ngU'ai trong s6 hOd~ trieu t~p cuoc hOpBan ki~m soat dau tien vabau TrU'cYngBan Ki~m soat. NgU'ai dU'Q'cquy~n trieu t~p cuoc hOpBan ki~m soat, dl,l'killn chU'O'ngtrinh, thai gian va dia di~m hop trU'tYcngay hop dl,l'killn it nhat 7 ngay. BanKi~m soat hOpdinh ky it nhat m6i quy 1 Ian va co th~ dU'Q'ctrieu t~p hop bat thU'ang d~kjp thai giai quyllt nhCrngcong viec dot xuat.

2. Cuoc hop bat thU'ang: Cuoc hop bat thU'ang cua Ban ki~m soat dU'Q'ctilln hanh theo d~nghj cua:

a) Chu tjch HOidOngQuan trj;

b) It nhat 2/3 s6 thanh vien HOidOngquan tri;

c) TrU'cYngBan ki~m soat;

d) it nhat 2/3 s6 thanh vien Ban ki~m soat;

e) T6ng Giam d6c;

f) Giam d6c chi nhanh NHNN TP HOChi Minh.

f)~ nghj neu t~i di~m a, b, d va e, khoan nay phai dU'Q'cI~p thanh van ban, trong do neur6 ml,lCdich, van d~ can thao lu~n va quyllt djnh thuoc tham quy~n cua Ban ki~m soat.

3. Trong thai hGin15 ngay, k~ tCYngay nh~n dU'Q'cvan ban d~ nghi hop Ban Ki~m soat batthU'ang cua mot trong cac d6i tU'Q'ngneu t~i di~m a, b, d, e va f, khoan 2 f)i~u nay,TrU'cYngBan Ki~m soat phai trieu t~p va tilln hanh hop Ban Ki~m soat bat thU'ang.TrU'ang hQ'psau hai Ian d~ nghj kll tillp rna Tru>cYngBan Ki~m soat khong trieu t~p cuochOpBan Ki~m soat, HOidOngQuan tri va cac thanh vien Ban Ki~m soat phai co ngayvan ban bao cao chi nhanh NHNN TP HOChi Minh va tilln hanh hop Ban Ki~m soat d~Xll' Iy cong viec, dOng thai quyllt djnh viec mi~n nhiem, bai nhiem ch(rc danh TrU'cYngban, bau mot thanh vien Ban Ki~m soat bao dam cac di~u kien giCrch(rc danh TrU'cYngBan ki~m soat ho~c quyllt djnh t6 ch(rc f)Gii hOi dOng c6 dong bat thU'ang d~ Xll' IynhCrngtOnt~i, vU'tYngm~c chU'ath~ giai quyllt (nllu co).

4. f)ja di~m hOp:Cac cuoc hOpBan ki~m soat dU'Q'ctilln hanh cYdja chi trl,l scYchinh cuaDCB va cac dja di~m khac do Ban ki~m soat quyllt dinh.

5. Thong bao va ChU'O'ngtrlnh hop: Cuoc hop Ban Ki~m soat dU'Q'ctilln hanh sau 5 ngayk~ tCYkhi gll'i thong bao cho cac thanh vien Ban Ki~m soat. Thong bao v~ cuoc hop cuaBan Ki~m soat phai dU'Q'cI~p b~ng tillng Viet, trong do neu r6 v~: chU'O'ngtrlnh hop, thai

51

H¢i so' chinh 41 - 45 Le Du~n, Q 1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn

GoeBNgan Hang Phll<JngflOng £>illu I~ Ngan hang TMCP PhU'O'ng £>ong £>H£>C£>

gian, dia di~m kern theo nhCl'ngtai lieu can thi~t v~ nhCl'ngvan d~ se duoc ban bac vabi~u quyet tal cuec hop Ban Ki~m soat va cac phieu b~u cho nhCl'ngthanh vien BanKi~m soat khong th~ dl,l'hop. NhCl'ngthanh vien Ban Ki~m scat nay se gLi'iphieu b~u choBan Ki~m scat truce khi hop.

6. s6 thanh vien tham dl,l'yeu cau: Cuoc hop Ban Ki~m scat duoc ti~n hanh khi co tLr3/4s6 thanh vien Ban Ki~m soat tra len true ti~p tham dl,l' hoac qua ngU'ai thay th~ la mottrong cac thanh vien Ban Ki~m scat dU'Q'cuy quyen.

TrU'ang hop trieu tap hop Ban Ki~m soat I~nd~u nhU'ngkhong du s6 thanh vien tham dl,J'theo quy dinh, NgU'ai co quyen trieu t~p cuoc hop Ban Ki~m soat phai trieu t~p ti~p cuochOpBan Ki~m soat I~n 2 trong thai h~n 15 ngay ti~p theo. Trong trU'ang hQ'pnay, cuochop dU'Q'cti~n hanh n~u co hO'nmot nLi'as6 thanh vien Ban ki~m soat dl,J'hOp.

Sau 2 I~n trieu t~p hOpBan Ki~m soat khong du s6 thanh vien tham dl,J',TrU'ang BanKi~m soat phai thong bao cho HOidOngQuan tri bi~t va d~ nghi trieu t~p hop £)~i hoidOngCOdong bat thU'ang trong thai h~n 30 ngay ti~p theo d~ cOdong xem xet tU'cachcua cac thanh vien Ban Ki~m soat.

7. Bi~u quy~t: \.,.ra) M6i thanh vien tham dl,J'cuoc hOpBan Ki~m soat se co 1 phi~u bi~u quy~t t~i cuoc

hOpBan Ki~m soat. N~u thanh vien Ban Ki~m soat khong th~ tham dl,l'cuoc hOpthico th~ uy quy~n bi~u quy~t cua minh bang van ban cho mot thanh vien Ban Ki~msoat khac (Ia d6i tU'Q'ngdU'Q'cphep tham gia bi~u quy~t) thl,J'chien bi~u quy~t thay;

b) Thanh vien Ban Ki~m soat co quy~n lQ'ilien quan t6i van d~ dU'Q'CdU'ara Ban Ki~msoat quy~t dinh se khong dU'Q'cphep tham gia bi~u quy~t d6i v6i van d~ do va khongdU'Q'ctinh vao s6 1U'Q'ngd~i bi~u yeu c~u co m~t t~i cuoc hop, dOngthai cGngkhongdU'Q'cnh~n uy quy~n cua thanh vien Ban Ki~m soat khac d~ tham gia bi~u quy~t vand~ do;

c) N~u co bat cli nghi nga nao nay sinh t~i cuoc hOplien quan d~n quy~n lQ'icua thanhvien Ban Ki~m soat ho~c lien quan d~n quy~n dU'Q'cbi~u quy~t cua thanh vien BanKi~m soat va nhCl'ngnghi nga do khong dU'Q'cthanh vien Ban Ki~m soat tl,l' nguyengiai quy~t bang cach chap thu~n tLr be quy~n bi~u quy~t, thi nghi nga do se dU'Q'cchuy~n t6i Chu toa cua cuoc hop. Phan quy~t cua Chu toa se co gia tri cu6i cung vaco tinh k~t lu~n, trLr trU'ang hQ'pkhi ban chat ho~c mlic do quy~n lQ'icua thanh vienBan Ki~m soat co lien quan do chU'adU'Q'cbi~t ro.

8. Tuyen b6 quy~n lQ'i:thanh vien Ban Ki~m soat thay co lien quan quy~n lQ'idu la trl,l'cti~phay gian ti~p t6i mot hQ'pdOng, mot thea thu~n hay mot hQ'pdOng dl,J'ki~n ho~c motthea thu~n dl,l'ki~n giao k~t v6i OCB phai khai bao ban chat quy~n lQ'ilien quan t~i cuochop Hoi dOngQuan tri va cuoc hop Ban Ki~m soat, HOidOngQuan tri se xem xet viec cogiao k~t cac hQ'pdOngho~c thea thu~n do khong theo £)i~u Ie nay va quy dinh cua Phaplu~t. N~u nhU'sau nay m6i bi~t v~ sl,J'tOn t~i quy~n lQ'id6 cLla minh hay trong bat CLrtrU'ang hQ'pnao khac, thanh vien do phai thong bao ngay t~i cuoc hOpg~n nhat cua HOidOngQuan tri va cuoc hop g~n nhat cua Ban Ki~m soat sau khi thanh vien do bi~t dU'Q'cda co quy~n lQ'ilien quan.

9. Bi~u quy~t da s6: Quy~t dinh cua Ban Ki~m soat dU'Q'cthong qua n~u dU'Q'cda s6 thanhvien Ban Ki~m soat co quy~n tham gia bi~u quy~t dl,J'hOpchap thu~n. TrU'ang hQ'ps6

52

H¢i sa chinh: 41 - 45 Le Dulm, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax (84-8) 38220963, Websitewww.ocb.com.vn

OCBNgan Hang Phll<lngDOng Dieu I~ Ngan hang TMCP PhLYO'ngDong DHf)Cf)

phieu ngang nhau thl quyet dinh cu6i cung thuoc v~ phia c6 'I kien cua TrU'ang BanKi~m soat hoac thanh vien Ban Ki~m scat dU'oocBan Ki~m scat uy quy~n Chu tea cuochop (trU'cmghop TrU'ang Ban Ki~m soat v~ng mat).

10. TrU'cmghoopTrU'ang Ban Ki~m soat lay 'I kien b~ng van ban d~ thong qua quyet dinh v~mot van d~ thl quyet dinh dU'ooccoi 103c6 gia tr] tU'O'ngdU'O'ngv&i mot quyet dlnh dU'oocthong qua bai thanh vien Ban Ki~m soat tai mot cuoc hop dU'ooctrieu tt;lp va to chucthong thU'ang, neu:

a) f)U'oocSl)' nhat tri bang van ban cua da s6 cac thanh vien Ban Ki~m scat c6 quyentham gia bi~u quyet d6i vai van d~ dU'ara xin 'I kien;

b) se lU'oongthanh vien Ban Ki~m scat tham gia bi~u quyet bang van ban phai dap lfngdU'oocdi~u kien v~ s6 lU'oongthanh vien b~t bu¢c phai c6 d~ tien hanh hop Ban Ki~msoat.

11. Bien ban: Cu¢c hop Ban Ki~m soat phai dU'oocghi day du vao Bien ban. Bien ban hopBan Kiem soat dU'oocIt;lpbang tieng Viet va phai dU'ooctat ca thanh vi€mBan Kiem soatdl)' hop ky ten va phai lien dai chiu trach nhiem v~ tinh chinh xac, trung thl)'c cua bienban. Chu toa cu¢c hop c6 trach nhiem b6 tri It;lpva glri Bien ban cu¢c hop Ban Ki~msoat cho cac thanh vien Ban Ki~m soat va Bien ban d6 se dU'ooccoi la nhCrngbangchlfng mang tinh ket lut;lnv~ cong viec tien hanh t~i cac cu¢c hop d6, trLi'trU'ang hoopc6nhCrngkhieu n~i lien quan den n¢i dung cua Bien ban d6 trong thai h~n 10 ngay ke tLi'ngay glri Bien ban.

ChU'O'ngXII

He THONG KIEM SOAT NQI BO, KIEM ToAN NOI BQ

MVC 1>-~

He THONG KIEM SoAT NOI BQ c,~\ ....-~

Di€!u70. Thi6t I~p va duy tri ho~t dQng ella hq thOng ki~m soat nQi bQ ~\4r \

1. OCB phai thiet It;lphe th6ng kiem soat n¢i b¢ giup TOngGiam d6c di~u hanh thong SU6;).~.~!'<:

an toan va dung phap lut;ltmoi ho~t dong nghiep VI,Icua OCB. ..-}..

2. He th6ng kiem soat n¢i b¢ cua OCB 103tt;lp hoopcac cO'che, chinh sach, quy trinh, quydinh n¢i b¢, cO'cau to ChlfCcua OCB dU'oocxay dl)'ng phu hQ'pvai hU'angd~n, quy dinhcua NHNN va dU'oocto ChlfCthl)'c hien nham bao dam phong ngLi'a,phat hien, xli' 1'1kipthai rui ro va d~t dU'oocyeu cau d~ ra.

3. OCB phai thU'ang xuyen kiem soat viec chap hanh phap lut;ltva cac quy dinh n¢i b¢; trl)'ctiep ki~m soat cac ho~t dong nghiep VI,Itren tat ca cac linh VI)'Ct~i tn,l sa chinh, sa giaodich, chi nhanh, van phong d~i dien, dO'nvi Sl)' nghiep va cong ty con cua OCB. OCBphai thU'ang xuyen kiem soat viec chap hanh phap lut;ltva cac quy dinh n¢i b¢ d6i vaieong ty lien ket eua OCB theo quy dinh eua phap lut;lt.

4. Khi phat hi$n nhCmgsai ph~m, vU'&ngmac trong ho~t dong kinh doanh, OCB phai kipthai ho~eh dinh va thl)'e hien bien phap kh~c phl,lc.

Di€!u 71. BQ ph~n ki~m soat nQi bQehuyen traeh

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, -,..--"-..•-..•.~--.-.-...._--.,---.---.,.,,_,---.-.--.-~.----HQIso' cilinh: 41 - 45 Le Du~n, Q 1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Websitewww.ocb.com.vn 1....----

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1. Tuy theo quy me, rrurc dO, pharn vi va di;ic thu hoat dong cua minh, HOi d6ng Ouan trixem xet, quyilt dinh thanh I~p bO phan ki~m scat noi bO chuyen trach, chlu su di~u hanhtrue tiilp cua TOng Giarn dOc. Trong mol trU'cYnghop du co hay khong co bO phan ki~msoat noi bO chuyen trach, OCB phai thiilt lap, duy tri, to chLPCthuc hien h$ thOng ki~msoat noi bOtheo cac quy dinh cua NHNN.

2. Bo phan ki~m soat noi bO chuyen trach co trach nhiem ki~m tra, giam sat viec tuan thuquy dinh cua phap lu~t va cac quy chil, quy trinh nghi$p VI,I,quy dinh noi bo cua OCB;giup TOng Giam dOc thuc hien vi$c tl,l' ki~m tra d~ tOng hQ'p, ra soat, danh gia tinh hi$uIl,I'Cva hi$U qua clla h$ thOng ki~m tra, ki~m soat noi bO nh~m phat hi$n, ngan ngLi'a vakip thai kiiln nghi xli' Iy nhCrng t6n t~i, sai ph~m trong mQi ho~t dong nghiep VI,J,hoanthien he thOng ki~m tra, ki~m soat noi bO theo quy dinh cua NHNN, bao dam OCB ho~tdong an toan, hieu qua, dung phap lu~t.

Di6u 72. Cae yeu eAu va nguyen tcie ho~t dQng eua h~ th6ng kitlm soat nQi bQ

1. Cac rui ro co nguy cO'anh hU'cyngxau diln hieu qua va ml,lCtieu ho~t dong cua aCB phaidU'Q'cnh~n d~ng, do lU'ang, danh gia thU'ang xuyen, lien tl,lCd~ kip thai phat hien, nganngLi'a va co bien phap quan Iy rui ro thich hQ'p. Khi co Sl,l' thay dOi v~ ml,lC tieu kinh Ltdoanh, san pham, dich VI,Iva ho~t dong kinh doanh m&i, aCB phai ra soat, nh~n d~ngrui ro lien quan d~ xay dl,l'ng, sLra dOi, bO sung cac quy trinh, quy dinh ki~m soat noi bOphu hQ'p.

2. Ho~t dong cua h$ thOng ki~m soat noi bO la mot ph~n khong tach rai cac ho~t dongh~ng ngay cua OCB. Ki~m soat noi bO dU'Q'cthiilt kil, cai di;it, to chLPCthl,l'c hi$n ngaytrong mQi quy trinh nghi$p VI,It~i tat ca cac dO'n vi, bo ph~n cua OCB dU'cYinhi~u hinhthLPCnhU':

a) Phan cap uy quy~n ra rang, minh b~ch; bao dam tach b~ch nhi$m VI,I,quy~n h~ncua cac ca nhan, cac bo ph~n trong OCB;

b) Quy dinh v~ h~n mLPcrui ro CI,Ith~ dOi v&i tLi'ng ca nhan, bo ph~n trong vi$c thl,l'chien giao dich;

c) Quy trinh tham dinh, chap thu~n va duy$t cho phep thl,l'c hi$n giao dich; bao dammot quy trinh nghi$p VI,Iphai co it nhat 02 can bo tham gia, mot ngU'ai thl,l'c hien giao a. .

dich va mot ngU'ai ki~m soat giao djch, khong co ca nhan nao co th~ mot minh thl,l'c '"hi$n va quyilt dinh mot quy trinh nghi$p VI,I,mot giao dich CI,Ith~, ngo~i trLi' nhCrnggiao dich trong h~n mLPCdU'Q'cOCB cho phep phu hQ'p v&i quy dinh cua phap lu~t.

3. Phan cap uy quy~n phai dU'Q'cthiilt I~p, thl,l'c hi$n hQ'p Iy, CI,Ith~, ra rang, tranh xung dotlQ'i ich; bao dam mot can bo khong dam nhiem cung mot luc nhCrng cU'O'ngvi, nhiem VI,Ico ml,lCdich, quy~n lQ'imau thuan hoi;ic ch6ng cheo v&i nhau; bao dam mQi can bo trongOCB khong co di~u ki$n d~ thao tung ho~t dong, khong minh b~ch thong tin phl,lc VI,Ichoml,lCdich ca nhan hoi;ic che giau hanh vi vi ph~m quy dinh cua phap lu~t va quy dinh noibO cua aCB.

4. Bao dam chap hanh chil do h~ch toan, kil toan theo quy dinh va phai co h$ thOng thongtin noi bO v~ tai chinh, v~ ho~t dong, v~ tinh hinh tuan thu trong aCB va tinh hinh kinhtil, thi trU'ang ben ngoai hQ'p Iy, tin c~y, kip thai nh~m phl,lCVI,Icho cong tac quan tri, di~uhanh hi$u qua.

54~ -~ ~-,.-_.-----<---------_._-----'-----,"-------_.--_._------------".-.------.- ..,-.~----

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5. H~ th6ng thong tin, cong ngh~ thong tin cua OCB phai dU'Q'cgiam sat, bao v~ hop Iy, antoan va phai c6 co ch~ quan Iy dl,l' ph6ng doc I~p nhelm xli Iy kip thai nhCrng tinh hu6ngb~t nga, bao gOm ca thien tai, chay, nO, h~ th6ng b] xarn nhap, bao dam tuan thu cacquy dinh v~ an toan, bao mat h~ th6ng cong ngh~ thong tin cua nqanh ngan hang, baodam heat dong kinh doanh thU'ang xuyen, lien tuc cua OCB.

6. Bao dam can bo, nhan vien cua OCB d~u phai hi~u dU'Q'ctam quan trQng cua hoat dongki~m scat noi bO; vai tro cua tLmg ca nhan trong qua trinh ki~m soat noi bO c6 lien quand~n chtrc nang, nhiem Vl,JdU'Q'cgiao va phal thuc hien day du, hieu qua cac quy dinh,quy trinh ki~m soat noi bo lien quan.

7. NgU'ai di~u hanh bo ph~n, dO'n vi nghi~p Vl,Jva ca nhan c6 lien quan phai thU'ang xuyenxem xet, danh gia v~ tfnh hi~u II,l'Cva hi~u qua cua h~ th6ng ki~m soat noi bO; cac tOnt~i, b~t c~p cua h~ th6ng ki~m soat noi bO phai dU'Q'cbao cao kip thai v&i c~p quan Iytrl,l'c ti~p; cac tOn tCili,b~t c~p I&n c6 th~ gay tOn th~t ho~c nguy cO' rui ro phai dU'Q'cbaocao ngay cho TOng giam d6c, HOi dOng Quan tri, Ban Ki~m soat.

8. Ca nhan, bo ph~n (y cac c~p cua OCB phai thU'ang xuyen, lien tl,JCki~m tra va tl,l' ki~mtra vi$c thl,l'c hi~n cac quy dinh, quy trinh noi bo c6 lien quan va phai chiu trach nhi~m v~k~t qua thl,l'Chi~n ho~t dong nghiep Vl,JdU'Q'cgiao trU'&c OCB va trU'&c phap lu~t.

9. Lanh dCilOdO'n vi, bo ph~n cua OCB phai bao cao v~ k~t qua tl,l' danh gia v~ he th6ngki~m soat noi bo t~i dO'n vi minh; d~ xu~t bien phap xli Iy d6i v&i nhCrng tOn t~i, b~t c~p(n~u c6) glii lanh d~o c~p quan Iy trl,l'c ti~p theo dinh ky ho~c dot xu~t, theo yeu cau cualanh dCilOc~p quan Iy trl,l'c ti~p.

MVC2

KI~MToAN NOI BO

Di~u 73. BQ ph~n kitlm t03n nQi bQ

1. OCB phai thanh I~p BO ph~n Ki~m toan noi bo chuyen trach. Ki~m toan noi bo cua OCBdU'Q'cto chLrc thanh he th6ng th6ng nh~t theo nganh dQc, trl,l'c thuoc va chiu Sl,l'chi dc;iOtrl,l'c ti~p cua Ban Ki~m soat.

2. Ki~m toan noi bo thl,l'c hien ra soat, danh gia doc I~p, khach quan d6i v&i h~ th6ng ki~msoat noi bo; danh gia doc I~p v~ tfnh thfch hQ'p va Sl,l'tuan thu quy dinh, chfnh sach noibO, thu tl,lC,quy trinh da dU'Q'cthi~t I~p trong OCB; dU'a ra ki~n nghi nhelm nang cao hieuqua cua cac he th6ng, quy trinh, quy dinh, g6p phan bao dam OCB hOCiltdong an toan,hieu qua, dung phap lu~t.

3. K~t qua ki~m toan noi bo phai dU'Q'cbao cao kip thai cho Hoi dOng Quan tri, Ban Ki~msoat va glii TOng Giam d6c OCB.

Di~u 74. MI;ICtieu va chl"Pc nang cO' ban clia kiim t03n nQi bQ

1. HOc;itdong vi Sl,l'an toan, hieu qua cua OCB.

2. Ra soat, danh gia de)c I~p, khach quan vf= mlfC de) d~y du, tinh thfch hQ'p, hieu Il,I'c vahi$u qua cua he th6ng killm soat noi bo nhelm cai ti~n, hoan thi$n he th6ng ki~m soat noibo. £>ll thl,l'c hi~n ml,JCtieu nay, dO'n vi thl,l'c hi$n killm toan noi bo dU'Q'ckhuy~n khfchthl,l'c hien ho~t dong tU' v~n, tham gia vao qua trinh xay dl,l'ng, cai ti~n va hoan thi$n he

55

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thOng ki~m soat noi bOv&i di~u ki$n khong vi pham nguyen t~c doc I~p, khach quan theoquy djnh cua Phap luat,

3. Phat hien va ngan chan hanb vi vi pharn phap lu~t; nang cao hieu qua quan Iy, di~u hanhva heat dong cua OCB.

4. Dam bao an toan bao mat thong tin va hoat dong lien tuc cua he thOng thong tin hoatdong nghi$p VI,I.

5. DU'a ra ki~n nghi nharn nang cao hieu qua cua cac he thOng, quy trlnh, quy dinh, g6pph~n bao dam OCB hoat dong an toan, hieu qua, dung phap luat,

Di6u 75. Pham vi ki6m toan nQi bQ

1. Ki~m toan tat ca cac hoat dong, cac quy trlnh nghi$p VI,I va cac don vi, bo phan cuaOCB;

2. Ki~m toan dot xuat va tu van theo yeu c~u cua Hoi dOng Ouan tri, Ban ki~m scat, T6ngGiam dOc.

Di~u76. NQi dung hoat dQng cLia ki6m toan nQi bQ

Noi dung chinh cua ho~t dong ki~m toan noi bO la danh gia tinh d~y du, hi$u h,l'Cva hieuqua cua he thOng ki~m soat noi bO.Tuy theo quy mo, m(fc dO rui ro cOng nhU' yeu c~u Cl,lth~ cua OCB, ki~m toan noi bo ra soat, danh gia nhCrng noi dung sau:

1. M(fc dO d~y du, tinh hi$u h,l'Cva hieu qua cua h$ thOng ki~m soat noi bO;

2. Viec ap dl,lng, tinh hi$u h,l'c, hi$u qua cua viec tri~n khai cac chinh sach va quy trinhquan Iy rui ro cua OCB bao gOm ca cac quy trinh dU'oocthl,l'c hien b~ng he thOng congnghe thong tin;

3. Tinh d~y du, chinh xac va an toan cua he thOng thong tin quan Iy va he thOng thong tintai chinh, bao gOm ca h$ thOng thong tin di$n tLr va dich Vl,l ngan hang dien tLr;

4. Tinh d~y du, kip thai, trung thl,l'c, hoopIy va m(fc do chinh xac cua he thOng h~ch toan k~toan va cac bao cao tai chinh theo quy dinh cua phap lu~t.

5. Tuan thu cac quy dinh cua phap lu~t, quy dinh v~ cac ty Ie bao dam an toan trong ho~tdong cua OCB, quy dinh noi bo, quy trinh, quy t~c tac nghiep, quy t~c d~o d(fc ngh~ \.;nghi$p;

6. Cac cO'ch~, chinh sach, quy trinh, quy dinh noi bO, cO'du t6 ch(fc cua OCB;

7. Cac bien phap dam bao an toan tai san. DU'a ra cac ki~n nghi nh~m nang cao hieu quacua cac he thOng, quy trinh, quy dinh, g6p ph~n bao dam OCB ho~t dong an toan, hieuqua, dung phap lu~t;

8. Danh gia tinh kinh t~ va hieu qua cua cac ho~t dong, cua viec SLrdl,lng cac nguOn Il,l'c,qua d6 xac dinh m(fc dO phu hO'PgiCra k~t qua ho~t dong d~t dU'oocva ml,lC tieu ho~tdong d~ ra;

9. Thl,l'c hien cac noi dung khac c6 lien quan d~n ch(fc nang, nhiem Vl,l cua ki~m toan noibo theo yeu c~u cua Ban ki~m soat va cua Hoi dOng quan trio

Di6u 77. Ti€m chuan d6i vai ngU'c1i lam cong tac ki6m toan nQi bQ

1. Ki~m toan vien noi bo phai c6 du cac tieu chu~n sau:

56--'---_ --,".'_,,-- -~.-.,-.--.-.---.-----------------~---------------------.---.-,----------- .•..~- .• '" ,..

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a) C6 pham ch~t trung thuc, y thCrcchap hanh phap luat:

b) C6 ki~n thuc, hi~u bi~t chung v~ phap lu~t, v~ quan trj kinh doanh va cac nghi$p vungan hang;

c) C6 bang d~i hoc treYlen cac chuyen nganh phu hop, c6 ki~n thuc d~y dLi va luondU'Q'ccap nhat v~ cac linh Vl,J'C dU'Q'cgiao thuc hien ki~m toan noi bo;

d) C6 kha nang thu thap, phan tlch, danh gia va t6ng hop thong tin;

e) C6 ki~n thuc, ky nang v~ ki~m toan noi bo;

f) C6 kinh nghiem lam viec trong linh Vl,J'C tal chfnh, ngan hang hoac lam cong tac ki~mtoan t6i thi~u la 03 narn;

g) Tuan thLiquy tac dao dCrcngh~ nghiep theo quy djnh cua phap luat;

h) Cac tieu chuan khac do Phap lu~t quy dinh.

2. £)6i vai ki~m toan vien cong nghe thong tin, ngoai cac tieu chuan neu t~i khoan 1 £)i~unay phai c6 kinh nghiem lam viec trong linh Vl,J'C cong nghe thong tin t6i thi~u la 03 nam.

3. Ngoai cac tieu chuan quy dinh t~i di~m a, b, d, e, 9 va di~m h khoan 1 £)i~u nay, TrU'eYngki~m toan noi bo va Ph6 trU'eYngki~m toan noi bo t6i thi~u phai c6 bang d~i hQcthuoccac chuyen nganh ngan hang, tai chfnh, k~ toan, ki~m toan va c6 kinh nghiem lam viectrong linh VI,I'C tai chfnh, ngan hang t6i thi~u la 05 nam.

£)iltu 78. SO nhi~m, mi~n nhi~m cac chCPcdanh cLia kiAm toan n9i b9

1. TrU'eYngki~m toan noi bo do Hoi dOngQuan trj aCB b6 nhiem, mi~n nhiem theo d~ nghicLiaTrU'eYngBan ki~m soat;

2. Ph6 trU'eYngki~m toan noi bo va cac chCrcdanh khac cLiaki~m toan noi bo do Hoi dOngQuan tri aCB b6 nhiem, mi~n nhiem theo d~ nghj cLiaTrU'eYngBan ki~m soat tren cO'seyd~ xu~t cLiaTrU'eYngki~m toan noi bo.

ChU'O'ngXIII

TAl CHiNH,K~ ToAN, sAo cAo, THONGTINvA sAo M~T£)iltu 79. Ch~ d9 tai chinh

Ch~ dOtai chfnh cLiaaCB dU'Q'cthl,l'chien theo quy dinh cLiaphap lu~t.

£)iltu 80. Nam tai chinh

Nam tai kh6a cLiaaCB bat d~u tlY ngay 01 thang 01 va k~t thuc vao ngay 31 thang 12nam dU'O'ngIjch.

£)iltu 81. H~ thOng k~ toan

1. He th6ng k~ toan aCB SLr dl,lng la He th6ng K~ toan Viet Nam ho~c he th6ng k~ toankhac dU'Q'cBo Tai chfnh ch~p thu~n.

2. aCB I~p 56 sach k~ toan bang ti~ng Viet. aCB se lU'ugiCl'hOsO'k~ toan theo lo~i hlnhcLiacac ho~t dong kinh doanh rna aCB tham gia. NhCl'nghOsO'nay phai chfnh xac, c~pnh~t, c6 h$ th6ng va phai dLid~ chCrngminh va giai trlnh cac giao djch cLiaaCB.

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3. OCB sli dl,mgdOngViet Nam lam don vi ti~n te dung trong k~ toan,

Di~u82. ase cao

1. OCB phal thuc hien ch~ dObao cao theo quy dinh cua phap lu~t v~ k~ toan, th6ng ke vabao cao hoat dong nghiep VI,J dinh ky theo quy dinh cua NHNN. HOidOngOuan tri, T6ngGiam d6c cua OCB chiu trach nhiernv~ tlnh chlnh xac, trung thuc cua cac bao cao nay.

2. OCB co trach nhiern bao cao kip thai b~ng van ban vai NHNN trong cac trU'ang hopsau:

a) Phat sinh di~n bi~n khong blnh thU'angtrong hoat dong nghiep vu co th~ anh hU'cYngnqhiern trc;mgd~n tlnh hlnh kinh doanh cua OCB;

b) Co thay d6i v~ t6 chuc, quan tri, di~u hanh, tlnh hlnh tai chinh cua c6 dong Ian vacac thay d6i khac co anh hU'cYngnghiem trc;mgd~n hOc;ltdong kinh doanh cua OCB.

3. Cong ty con, cong ty lien k~t cua OCB co trach nhiem glii bao cao tai chinh, bao caohOc;ltdong cua mlnh cho NHNN khi dU'Q'cyeu c~u.

4. Trong thai hc;ln90 ngay, k~ tLrngay k~t thuc nam tai chinh, OCB phai glii NHNN cac bao ,cao h~ng nam theo quy dinh cua phap lu~t. "'"

Di~u83. Cong khai bao cao tai chinh

1. Trong thai hc;ln120 ngay, k~ tLr ngay k~t thuc nam tai chinh, OCB phai cong khai cacbao cao tai chinh theo quy dinh cua phap lu~t.

2. OCB phai cong b6 thong tin dinh ky v~ bao cao tai chinh nam theo quy dinh cua Phaplu~t v~ ch(rng khoan.

Di~u84. Thong tin

1. OCB phai thong tin cho chu tai khoan v~ giao dich va s6 dU'tren tai khoan tc;liOCB chochu tai khoan theo thoa thu~n vai chu tai khoan.

2. OCB dU'Q'ctrao d6i thong tin vai cac t6 chlic tin dl,Jngkhac v~ hOc;ltdong cua OCB.

3. OCB co trach nhiem bao cao, cung cap cac thong tin cho NHNH thong tin lien quan d~nhOc;ltdong kinh doanh va dU'Q'CNHNN cung cap thong tin cua khach hang co quan he tindl,lngvai OCB theo quy dinh cua NHNN. '-'

4. OCB co trach nhiem cong b6 thong tin theo quy dinh phap lu~t d6i vai Cong ty dc;lichung.

Di~u85. Baom~t thong tin

1. Nhan vien, NgU'ai quan Iy, NgU'ai di~u hanh cua OCB va nhC'rngngU'ai co lien quankh6ng dU'Q'cti~t 10 bi m~t kinh doanh cua OCB.

2. OCB phai bao dam bi m~t thong tin lien quan d~n tai khoan, ti~n glii, tai san glii va cacgiao dich cua khach hang tc;liaCB.

3. OCB khong dU'Q'ccung cap thong tin lien quan d~n tai khoan, ti~n glii, tai san glii, cacgiao dich khac cua khach hang tc;liOCB cho t6 chlic, cac nhan khac, trLr trU'ang hQ'pc6yeu c~u cua cO'quan nha nU'ac co tham quy~n theo quy dinh cua phap lu~t ho~c dU'Q'cSl,l' chap thu~n cua khach hang.

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ChU'O'ngXIV

QUYEN DIEU TRA sO SACH vA HO soDi6u 86. Quy6n di6u tra 56 sach va he,so

1. COdong hoac nh6m COdong sa hCrutren 10% tOng sO cOph~mphOthong trong thaihan lien tuc it nhat 6 thang c6 quy~n true tillp hoac thong qua ngU'aidU'Q'cuy quyen, guivan ban yeu cau dU'Q'cki€!mtra trong gia lam vi~c va tai dja di€!mkinh doanh chinh cuaOCB danh sach COdong, cac bien ban cua f)c;lihoi dOng COdong va sao chup hoactrlch luc cac hOso d6. Yeu cau ki€!mtra do phla luat SU'dc;lidi~n hoac dc;lidi~n dU'Q'cuyquyen khac cua COdong phai kern theo giay uy quy~n hop I~ cua COdong rna ngU'aid6dai dien.

2. Thanh vien Hoi dOngOuan tri, thanh vien Ban Ki€!mscat, TOngGiam dOcva ngU'aiquanIy c6 quy~n ki€!mtra sOdang ky COdong cLlaOCB, danh sach COdong va nhCrngsOsach va hOsO'khac cLlaOCB vi nhCrngml,JCdich lien quan tai ch(fc VI,J cLlaminh vai di~uki~n cac thong tin nay phai dU'Q'cbao m~t.

3. OCB se phai lU'uf)i~u 1$ nay va nhCrngban sua dOibOsung f)i~u I~, Giay ch(fng nh~ndang ky doanh nghi~p, cac quy chll, cac tai li~u ch(fng minh quy~n sa hCrutai san, bienban hop f)c;lihoi dOng COdong va Hoi dOngQuan trj, cac bao cao cLla Ban ki€!msoat,bao cao tai chinh hang nam, sOsach kll toan va bat c(f giay ta nao khac theo quy dinhcLla phap lu~t tc;litrl,Jsa chinh ho~c mot nO'ikhac vai di~u ki~n 113 cac COdong va cO'quan dang ky doanh nghi~p dU'Q'cthong bao v~ dia di€!mlU'utrCrcac giay ta nay.

4. f)i~u I~ nay dU'Q'ccong bOtren website cLlaOCB. Cac COdong c6 quy~n dU'Q'cnh~n motban f)i~u I~ mien phi do OCB cap, nllu c6 yeu cau.

ChU'O'ngXV

TO CHlYCDANG, DoAN THE

NGU'CrILAO DONG vA CONG DoAN

Di6u 87. T6 chlPCDang, doan thA, ngU'o-ilao dQng va cong doan

1. Cac t6 ch(fc f)ang, doan th€!trong OCB hOc;ltdong trong khuon khOhilln phap, phat lu~tva theo f)i~u I~ to ch(fc.

2. OCB ton trong va tc;lOdi~u ki~n thu~n lQ'icho vi~c tuyen truy~n, v~n dong thanh I~p cac toch(fc f)ang, doan th€!tc;liOCB, kllt nc;lpnhCrngngU'ai lam vi~c tc;lidoanh nghi~p vao cac toch(fc nay.

3. Doanh nghi~p tc;lodi~u ki~n thu~n lQ'iv~ cO'sa v~t chat, thai gian va cac di~u ki~n canthillt khac d€!thanh vien cac to ch(fc f)ang, doan th€!lam vi~c tc;liOCB thl,J'chi~n day dLlchll do sinh hOc;lttheo f)i~u I~ va noi quy cLlato ch(fc.

4. NgU'ai lao dong va cong doan: TOngGiam dOc phai I~p kll hOc;lChd€!HOidOngQuan trithong qua cac van d~ lien quan dlln vi~c tuy€!ndl,Jng,lao dong, IU'O'ngbOng,bao hi€!mxahOi,phuc lQ'i,khen thU'ang va ky lu~t dOivai can bo quan Iy va ngU'ai lao dong cCingnhU'nhCrngm6i quan h~ cLlaOCB vai to ch(fc cong doan dU'Q'ccong nh~n theo cac chu~n

59

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~

OCBNgiin Hang Pho.ldngElOng f)i~u I~ Ngan hang TMCP PhU'O'ngf)6ng f)Hf)Cf)

rnuc, thong 1$va chinh sach quan Iy tOt nhat, nhCfng thong 1$va chinh sach quy dinh tal£)i~u 1$nay, cac quy ch~ cua oeB va quy dinh phap lu~Uhien hanh.

ChU'O'ng XVI

PHAN CHIA L9'1NHU~N

Di~u 88. Trich I~p cac quy

1. OeB c6 trach nhiem trlch I~p cac quy dl,l' phang theo quy dinh cua phap luat.

2. Hang narn, oeB SLrdl,mg IO'inhuan sau thue cua minh nhu' sau:

a) Trich I~p vao quy dl,l' trCf d~ bll sung vOn di~u 1$voi muc khong VU'Q'tqua 5% IO'inhuan sau thue. MLPCtOi da cua quy nay khong vuot qua vOn di~u 1$theo quy dlnhcua phap lu~t;

b) Trlch I~p quy dl,l' phang tai chinh v&i rmrc 10% IO'inhuan sau thue cua oeB va chiti~p tuc trlch I~p t&i khi bang 25% vOn di~u 1$;

c) Trlch I~p cac quy dau tU' phat tri~n nghi$p Vl,l, quy khen thU'cYng,quy phuc IO'iva cac \..,quy khac theo quy~t dinh cua £)<;iihoi dOng cll dong;

d) Tra cll tLPCcho cll dong;

e) LO'inhu~n d~ l<;ii.

3. Ty 1$trich I~p cac quy tren do £)<;iihOi dOng ell dong quy~t dinh theo d~ nghi HOi dOngQuan tri phu hO'p v&i quy dinh cua phap lu~t.

Di~u 89. Tra c6 tl'Pc

1. ell tLPCtra cho cll phan phll thong dU'O'cxac dinh can CLPvao sO IO'inhu~n rang da thl,l'chi$n va khoan chi tra cll tLPCdU'Q'ctrich tCr nguOn IO'i nhu~n giCf l<;iicua oeB. oeB chidU'O'ctra cll tLPCcho ell dong khi OeB da hoan thanh nghia Vl,l thu~ va cac nghia Vl,l taich[nh khac theo quy dinh cua phap lu~t; trich I~p cac quy oeB va bu d~p du 10trU'&c d6theo quy dinh cua phap lu~t va £)i~u 1$nay; ngay sau khi tra h~t sO cll tLPCda dinh, oeBv~n phai bao dam thanh toan du cac khoan nO'va nghia Vl,ltai san khac d~n h<;in.

2. Theo quy~t dinh cua £)<;iihoi dOng ell dong va theo quy dinh cua phap lu~t, cll tLPCsedU'O'ccong bO nhU'ng khong dU'O'cvU'O'tqua mLPcdo Hoi dOng Quan tri d~ xuat sau khi dadU'O'c£)<;iihOi dOng ell dong thong qua.

3. HOi d6ng Quan tri c6 th~ quy~t dinh thanh toan cll tLPCgiCfa ky n~u xet thay vi$c chi tranay phu hO'pv&i kha nang sinh lai cua OeB.

4. OeB khong tra lai suat ho~c mot khoan ti~n khac c6 tinh chat lai cho cll tLPC,trCr trU'anghO'pcll tLPCdU'O'ctra vao tai khoan ti~n gLri cua ell dong t<;iioeB.

5. HOi dOng Quan tri c6 thll de nghi £)<;iihoi dOng eo dong thong qua vi~c thanh toan toanbo ho~c mot phan cll tLPCbang nhCfng tai san Cl,l th~ (nhU' cll phi~u ho~c trai phi~u dadU'O'cthanh toan day du do cong ty khac phat han h) va Hoi dOng Quan tri la cO' quanthl,l'c thi nghi quy~t nay.

6. TrU'ang hO'p cll tLPChay nhCfng khoan ti~n khac lien quan t&i mot IO<;iicll phi~u dU'O'cchitra bang ti~n m~t, oeB se phai chi tra bang ti~n dOng Vi$t Nam va c6 thll thanh toan

60

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OCBNg~nH~ngPh<ldng!'long £>i~u I~ Ngan hang TMCP PhU'O'ng£>ong £>H£)C£)

b~ng SeChoac lenh tra ti~n gLYiqua buu dien t&i dia chi da dang ky cua COdong thuhU'angva trU'ang hoopco rui ro phat sinh (tLrdia chi da dang ky cua COdong) thl COdongdo phai chiu.

7. COtuc co duoc thanh toan bang chuyen khoan qua ngan hang khi DCB da co du chi tietv~ ngan hang cua COdong d~ co th~ chuy~n true tiep dU'oocvao tai khoan ngan hangcua COdong. Neu DCB da chuyen khoan theo dung cac thong tin chi tiet v~ ngan hangnho thong bao cua COdong thl DCB khong chlu trach nhlem v~ cac thiet hal phat sinh tLrviec chuyen khoan do.

8. TrU'ang hop co SI,J'chap thuan cua f)~i h¢i dOngCOdong, H¢i dOngQuan tr] co th~ quyetdinh va thong bao rang nhCrngngU'ai sa hCrucOphan phOthong dU'oocnhan cOtuc bangcac cOph~n phOthong thay cho cOtllC bang ti~n m~t. Cac cOph~n bOsung d~ tra cOtllCnay dU'oocghi la nhCrngcOph~n da thanh toan d~y du ti~n mua tren cO'sa gia tri cua caccOph~n tra cOtllC phai tU'O'ngdU'O'ngv&i 56 ti~n m~t tra cOtllc.

9. Can Cll Lu~t Doanh nghiep, H¢i dOngQuan tri co th~ thong qua nghi quyet quy djnh m¢tngay CI,Jth~ lam ngay khoa 50 ho~t d¢ng kinh doanh cua DCB. Can Cll theo ngay do,nhCrngngU'ai dang ky v&i tU' cach COdong ho~c ngU'ai sa hCrucac chllng khoan khacdU'oocquy~n nh~n cOtllC, lai suat, phan chia Iooinhu~n, nh~n cOphieu, nh~n thong baoho~c tai lieu khac. Ngay khoa 50 nay co th~ vao cling ngay ho~c vao thai di~m trU'&ckhicac quy~n Iooido dU'oocthl,J'chien. f)i~u nay khong anh hU'ang t&i quy~n Iooicua hai bentrong giao djch chuy~n nhU'oongcOphieu ho~c chllng khoan lien quan. COtllC tra cho cOph~n U'udai dU'oocthl,J'chien theo cac di~u kien ap dl,lng rieng cho moi lo~i cOph~n U'udai.

10. H¢i dOngQuan tri phai I~p danh sach COdong dU'oocnh~n cOtllC, xac dinh mllc cOtllCdU'ooctra d6i v&i tLrng cOph~n, thai h~n va hinh thllC tra ch~m nhat 30 ngay trU'&cmoiI~n tra cOtllc. Thong bao v~ tra cOtllC phai dU'oocgLYibang phU'O'ngthllC bao dam dendU'oocdja chi dang ky tat ca COdong ch~m nhat 15 ngay trU'&ckhi thl,J'chien tra cOtllc.Thong bao phai ghi ro ten cong ty; hQ,ten, dja chi thU'ang tru, qu6c tjch, 56 Giay chllngminh nhan dan, H¢ chieu ho~c chllng thl,l'c ca nhan hoopphap khac cua COdong la canhan; ten, dja chi thU'ang tru, qu6c tjch, 56 quyet djnh thanh I~p ho~c 56 dang ky doanhnghiep cua COdong la to chllc; 56 lU'oongcOph~n tLrng lo~i cua COdong; mllc cOtllC d6iv&i tLrng cO ph~n va tOng 56 cO tllC rna COdong do dU'oocnh~n, thai di~m va phU'O'ngthllC tra cll tllC; hQ, ten, chCrky cua Chu tich H¢i dOngQuan trj va ngU'ai d~i di~n theophap lu~t cua DCB.

11. TrU'ang hoopcll dong chuy~n nhU'Q'ngcOph~n cua minh trong thai gian giCrathai di~mket thuc I~p danh sach COdong va thai di~m tra cO tllC thi ngU'ai chuy~n nhU'oonglangU'ainh~n cOtllC tLrDCB.

12.Viec thanh toan cOtllC d6i v&i cac cOphieu niem yet t~i Sa Giao djch Chllng khoan coth~ dU'ooctien hanh thong qua cong ty chllng khoan ho~c Trung tam LU'ukyo

ChU'O'ng XVII

KI~M ToAN DOC L~P

Di~u90. Kit\m toan dQcI~p

HOis6 cllinh 41 - 45 Le Du~n, Q.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn l...--

~.

ooceNg~nH~ngPhUtlng£l6ng £lillu I~ Ng~n hang TMCP PhU'O'ng£lOng £lH£lC£l

1. Truoc khi k~t thuc narn tal chinh, OCB phal lua chon mot to chuc ki~m toan doc I~p dudi~u kien theo quy dinh cua NHNN d~ ki~m toan cac hoat dong cua minh trong narn taichinh ti~p theo.

2. Trong thai han 30 ngay, k~ tCYngay quyet dinh chon to chuc ki~m toan doc I~p, OCBphai thong bao cho NHNN v~ to chuc ki~m toan doc I~p dU'Q'cIl,J'achon.

3. OCB phai thuc hien ki~m toan doc I~p lal trong trU'cmghop bao cao ki~m toan co 'I ki~nnqoai trCYcua to chuc ki~m toan doc I~p.

4. Ki~m toan vien doc I~p duoc phep tham dl,J'cac cuec hop £)~i hOi d6ng COdong, thuthap cac thong bao va cac thong tin khac lien quan d~n bat ky cuec hop nao rna cac COdong dU'Q'cquyen nhan va dU'Q'Cphat bi~u 'I ki~n t~i £)~i hoi d6ng COdong v~ cac van d~co lien quan d~n ki~m toano

ChU'O'ngXVIII

CON oAuDitlu 91. Con dAu

1. HOid6ng Quan tri S9 quy~t dinh thong qua con dau chinh thLrc cua OCB va con d~udU'Q'ckh~c, dang ky theo quy dinh cua phap lu~t.

2. Hoi d6ng Quan tri, Ban ki~m soat, TOng Giam d6c SLr dl,mg va quan 1'1 con dau theochLrcnang, nhiem VI,I cua minh va quy dinh cua phap lu~t hien hanh.

ChU'O'ngXIX

KI~M SOAT D~C BleT, PHA sAN, GlAI TH~ THANH LVMl)C 1

KI~M SOATD~C BleT

Ditlu 92. Bao cao kho khan vA kha nang chi tra

Khi co nguy cO'mat kha nang chi tra cho khach hang cua minh, OCB phai bao cao ngay \."v&i NHNN v~ thl,J'ctr~ng tai chinh, nguyen nhan va bien phap da ap dl,lng, bien phap dl,J'ki~n ap dl,lngd~ kh~c phl,lc.

Ditlu 93. Cac trlJ'6tnghgp OCB co thAdU'Q'Cd,t vilo tinh tr~ng kiAmsoat d,c bi~t

1. Co nguy cO'mat kha nang chi tra.

2. NO'kh6ng co kha nang thu h6i co nguy cO'mat kha nang thanh toano

3. 86 16 lOyk~ cua OCB Ian han 50% gia tri thl,J'ccua V6n di~u Ie va cac quy dl,J'trCrghitrong bao cao tai chinh da dU'Q'cki~m toan g~n nhat.

4. Hai nam lien tl,lCbi x~p lo~i y~u kem theo quy dinh cua NHNN.

5. Kh6ng duy tri dU'Q'cty Ie an toan v6n t6i thi~u theo quy dinh cua phap lu~t trong thai h~nmot nam lien tl,lCho~c ty Ie an toan v6n t6i thi~u thap han 4% trong thai h~n 06 thanglien tl,lc.

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OCBNgan Hang Phlldng £l6ng £)i{lu I~ Ngan hang TMCP PhU'O'ng£)ong £)H£)C£)

DiAu 94. Trach nhitm ella HQid6ng Quan tr], Ban KiAm soat, TOng Giam dOc khi eCBtrong tinh tr~ng kiim soat d,c bitt

1. Xay dl,mg phU'O'ngan cLIngcb t6 chuc va hoat dong trinh Ban Ki~m soat d~c bi$t thongqua va t6 chuc tri~n khai thuc hi$n phU'O'ngan do.

2. Ti~p tuc quan tri, ki~m scat, di~u hanh hoat dong va bao dam an toan tai san cua nganhang theo dung quy dinh cua phap lu~t trll' trU'ang hop bl dinh chi, tarn dinh chi quyenquan tri, di~u hanh, ki~m soat ngan hang.

3. Chap hanh yeu diU cua Ban Ki~m soat d~c bi$t lien quan d~n t6 chuc, quan tri, ki~msoat, di~u hanh aCB.

4. Thuc hien yeu cau cua NHNN theo quy dinh cua phap lu~t.

DiAu 95. Khoan vay d,c bitt

1. aCB duoc vay d~c bi$t cLlaNHNN va cac t6 ch(fc tin dl,lng khac trong cac trU'ang hOOpsau day:

a) aCB lam vao tinh tr«;lngm~t kha nang chi tra, de dQaSl,J' 6n dinh cLlah$ thbng cac t6ch(fc tin dl,lng;

b) aCB co nguy cO'm~t kha nang chi tra do cac Sl,J' cb nghiem trQngkhac.

2. Khoan vay d~c bi$t dU'c,YcU'Utien hoan tra trU'Qoct~t ca cac khoan nc,Ykhac, k~ ca cackhoan nc,Yco tai san bao dam cLlaaCB ho~c dU'c,Ycchuy~n d6i thanh phan vbn gop, vbncll phan t«;liaCB quy dinh t«;lif)i~u 149 cLlaLu~t Cac t6 ch(fc tin dl,lng.

DiAu 96. Cham dLPtkiAm soat d,c bitt

1. Vi$c ki~m soat d~c bi$t dU'c,Yck~t thuc trong trU'ang hoopsau:

a) HO«;ltdong cLlaOCB tr& l«;Iibinh thU'ang;

b) Trong qua trinh ki~m soat d~c bi$t, aCB dU'c,Ycsap nh~p, hc,Ypnh~t vao mot t6 ch(fctin dl,lng khac;

c) aCB khong khoi phl,lcdU'c,Yckha nang thanh toan.

2. NHNN ban hanh quy~t dinh k~t thuc ki~m soat d~c bi$t. Quy~t dinh nay dU'c,Ycthong baocho cac cO'quan co lien quan.

,l

MVC2

PHA SAN, GIAI TH~, THANH LYDiAu 97. Pha san aCB

1. Sau khi NHNN co van ban ch~m dlYtki~m soat d~c bi$t ho~c van ban ch~m dlYtap dl,lngho~c van ban khong ap dl,lng cac bi$n phap phl,lc h6i kha nang thanh toan rna aCB v~nlam vao tinh tr«;lngpha san, thi aCB phai lam dO'nyeu cau Tea an m& thLltl,lCgiai quy~tyeu cau tuyen bb pha san theo quy dinh cLlaphap lu~t v~ pha san.

2. Vi$c pha san aCB dU'c,Ycthl,J'chi$n theo quy dinh cLlaphap lu~t v~ pha san.

Di~u 98. Cae trU'cmg hQ'pgiai thA eCB

1. Tl,J'nguy$n xin giai th~ n~u co kha nang thanh toan h~t nc,Yva dU'c,YCNHNN ch~p thu~nbang van ban.

63

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gOeBNg~nH~ngPhllClngWng £)i~u Ie Ngan hang TMCP PhU'O'ng£)ong £)H£)C£)

2. Het thai han hoat dong nhU'ngkhong xin gia han hoac xin gia han nhU'ngkhong duocNHNN chap thuan b~ng van ban.

3. Bi thu h6i Gi~y phep thanh I~pva hoat dong.

Di~u 99. Thanh Iy tai san cua aCB

1. Trong trU'ang hop ngan hang bi tuyen bOpha san, viec thanh Iy OCB duoc thuc hientheo quy dinh cua phap lu~t v~ pha san.

2. Khi giai th~ theo quy dinh tal £)i~u98, £)i~u Ie nay, OCB phai ti~n hanh thanh Iy dU'&iSl)'giam sat cua NHNN va theo trinh tu. thu t1,JCthanh Iy tai san do NHNN quy dinh.

3. MQichi phi lien quan d~n viec thanh Iy tai san do OCB thanh toan.

ChU'O'ngXX

GIAI QUY~T TRANH CHAp NOI BO

Di~u 100. Giai quyAt tranh chAp nQi bQ

1. TrU'ang hop phat sinh tranh chap hay khi~u n~i co lien quan t&i hoat dong cua OCB hayt&i quyen cua cac COdong phat sinh tLY£)i~u Ie hay tLYb~t cLf quyen hoac nghia Vl,JdoLu~t Doanh nghiep hay cac lu~t khac ho~c cac quy dinh hanh chinh quy dinh, giCra:

a) COdong v&i OCB ho~c

b) COdong v&i HOid6ng Quan trj, Ban ki~m soat ho~c TOngGiam dOchay chLfcdanhquan Iy khac theo quy dinh cua OCB;

Cac ben lien quan se cOgang giai quy~t tranh ch~p do thong qua thU'O'ng1U'Q'ngva hoagiai. Chu tich Hoi d6ng Quan tri se chu tri viec giai quy~t tranh ch~p va se yeu c~u tLYngben trinh bay cac y~u to thl)'c ti~n lien quan d~n tranh ch~p trong yang 30 ngay lam vi$ck~ tLYngay tranh ch~p phat sinh.

2. TrU'ang hQ'pkhong d~t dU'Q'cquy~t dinh hoa giai trong thai h~n 6 tu~n tLYkhi bat d~u quatrinh hoa giai, b~t cLfben nao cOngco th~ dU'atranh ch~p do ra toa an Viet Nam co th~mquy~n.

3. Cac ben se tl)' chiu chi phi cua minh co lien quan t&i thu tl,JCthU'O'ng1U'Q'ngva hoa giai.Cac chi phi cua Toa an se do Toa phan quy~t ben nao phai chiu.

Di~u 101. Quy~n kho-i ki~n d6i vai thanh vien HQidAng Quan trj, Tang Giam d6c

1. COdong, nhom cOdong sa hCruit nh~t 1% sOcOph~n phOthong lien tl,JCtrong thai h~n06 thang co quy~n tl)' minh ho~c nhan danh OCB khai kien trach nhiem dan Sl)'dOiv&ithanh vien Hoi d6ng quan tri, Giam dOcho~c TOnggiam dOctrong cac trU'ang hQ'psauday:

a) Vi ph~m nghia Vl,JngU'ai quan Iy OCB theo quy dinh t~i £)i~u 160 cua Lu~t Doanhnghiep;

b) Khong thl)'c hien dung cac quy~n va nghia Vl,JdU'Q'cgiao; khong thl)'c hi$n, thl)'c hienkhong d~y du, khong kip thai nghi quy~t cua Hoi d6ng quan tri;

c) Thl)'c hien cac quy~n va nghia Vl,Jd.U'Q'cgiao trai v&i quy dinh cua phap lu~t, £)ieu 1$DCB ho~c nghi quy~t eua f)~i hoi d6ng cOd~ng;

64. ---+--- -_-.,----~.-. ----, .. +- -- ---, .".__--_ .•_-

............._ _ __._-_•.._._._-------_.----_._-_._--_ ..-._---._-_......... ---_.

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OCBNgan Hang Phlldng flOng £>it§uI~ Ngan hang TMCP PhuO'ng £>ong £>H£>C£>

d) SLi' dl,lng thong tin, bl quyet, coohQi kinh doanh cua cong ty d~ tu loi rieng hoac phucvu cho lQ'i ich cua t6 chuc, ca nhan khac:

e) SLi' dl,lng dia vi, chuc vu va sLi' dl,lng tai san cua OCB d~ tu lQ'i rieng hoac phuc vu lQ'iich cua t6 chuc, ca nhan khac;

f) Cac trU'ang hop khac theo quy dinh cua phap lu~t va f)i~u Ie OCB.

2. Trinh ti" thu tuc kh&i kien thuc hien tU'O'ng (long theo quy dinh cua phap lu~t v~ t6 tl,lngdan SI,J'. Chi phi kh&i kien trong trU'ang hop c6 dong, nh6m c6 dong kh&i kien nhan danhOCB se tfnh vao chi phi cua OCB, trCYtrU'ang hcp thanh vien kh&i kien b] bac yeu caukh&i kien.

ChU'O'ngXXI

DI~U KHOAN THI HANH

Di~u 102. Ngon ngQl

Ngon ngCrchinh th(loc dU'Q'csLi' dl,lng trong cac cUQc hQPf)r,;IihQi dOng C6 dong, hQPHQidOng quan tri, hQp Ban ki~m soat, trong cac van ban: f)i~u Ie, quy ch~, quy~t dinh cuaNgan hang cGng nhU' trong bien ban cac cUQchQp k~ tren la ti~ng Viet.

Di~u 103. Slra dOi, bOsung Di~u I~

1. Viec sLi'a d6i, b6 sung f)i~u Ie nay phai dU'Q'cf)r,;IihQi dOng C6 dong xem xet quy~t dinh.

2. Trong trU'ang hQ'p c6 nhCrng quy dinh cLia phap lu~t c6 lien quan d~n hOr,;ltdQng cLiaOCB chU'a dU'Q'cd~ c~p trong ban f)i~u Ie nay ho~c trong trU'ang hQ'p c6 nhCrngquy dinhm&i cLia phap lu~t khac v&i nhCrng di~u khoan trong f)i~u Ie nay thi nhCrng quy dinh cLiaphap lu~t d6 dU'O'ngnhien dU'Q'cap dl,lng va di~u chinh hOr,;ltdQng cLia OCB.

Di~u 104. Di~u khoim thi hanh

1. f)i~u Ie nay c6 hieu Il,J'ck~ tCYngay dU'Q'cf)r,;IihQi dOng C6 dong OCB thong qua va dU'Q'cdang ky tr,;liNHNN Viet Nam. f)i~u Ie nay thay th~ f)i~u Ie Ngan hang TMCP PhU'O'ngf)ong 2015 da dU'Q'cNHNN Viet Nam xac nh~n dang ky ngay 20101/2016 (bao gOm tatca cac nQi dung da sLi'a d6i, b6 sung c61ien quan).

2. f)i~u Ie dU'Q'CI~p thanh 11 ban, c6 gia tri nhU' nhau, trong d6:

a) 01 ban nQPcho NHNN Viet Nam;

b) 01 ban nQPcho NHNN Viet Nam Chi nhanh Thanh ph6 HOChi Minh;

c) 09 ban lU'u trCrtGiiTrl,l s& chinh OCB.

3. Cac ban sao ho~c trich Il,Ic f)i~u Ie OCB phai c6 chCrky cLia ChLi tich HQi dOng Quan trim&i c6 gia trio

~I

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_, -.... -_.__ ._ _._ _ _ ..-._._ ,,_.. _- ..--.~.--.---..-.------------

65

HQiso' chinh 4j - 45 Le Du~n, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn

ooeBNgan Hang PhtnIng £)6ng Biilu I~ Ngan hang TMCP Phuonq Bong BHBCB

Ml)C Ll)C

f)i~u 1.

ChU'O'ngI. DINH NGHiA vA Ap DVNG DAN CHIEU 2

f)inh nghia cac thu~t ngCrtrong f)i~u 1$ 2

f)i~u 2. Ap dl,lngd~n chi~u 4

ChU'O'ngII. TEN, DIA CHI vA THai H~N HO~T DONG 4

f)i~u 3. Ten, dia chi va thai han hoat dong 4

ChU'O'ngIII. MVC TIEU, NOI DUNGvA PH~M VI HO~T DONG 5

f)i~u 4.

f)i~u 5.

f)i~u 6.

Muc tieu hoat dOng 5

NOidung hoat dOng 5

G6p ven, mua cOphan 7

f)i~u 7. Bao dam an toan trong hoat dOng 8

ChU'O'ngIV. VON DI~U Le vA VON HO~T DONG 8 '-'

f)i~u 8. V6n di~u 1$cua OCB 8

f)i~u 9. Thay dOiV6n di~u 1$ 9

f)i~u 10. V6n hoat dong cua OCB 9

J:'II'e~u 11. S' d I. t" , 91:.1 U' l,Ingvon, al san ..

f)i~u 12. Ty Ie bao dam an toan 9

ChU'O'ngV. co PHAN, co PHIEUvA TRAI PHIEU 10

f)i~u 13. Cac loai cOphan 10

f)i~u 14. Ty Ie sa hCrucOphan 11

f)i~u 15. COphieu 11

f)i~u 16.

f)i~u 17.

f)i~u 18.

ChLi'ngchi chLi'ngkhoan khac 12

Chao ban cOphan 12

Chuyen nhU'Q'ngcOphan 13

f)i~u 19. Mua lai cOphan theo yeu cau cua COdong 14

f)i~u 20. Mua I~i cOphan theo quy~t dinh cua OCB 14

f)i~u 21. f)i~u kien thanh toan va xLI'Iy cac cOphan dU'Q'cmua I~i 14

f)i~u 22. Phat hanh trai phi~u 15

ChU'O'ngVI. cO' cAu TO CHlfC QUAN LY 15

f)i~u 23. CO'c~u to chLi'cquan Iy 15

ChU'O'ngVII. cO DONG vA D~I HOIDONG cODONG 16

f)i~u 24. SOdang ky COdong va xac I~pdanh sach COdong 16

66

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OCBNgan Hang Phllllngll6ng £)i~u Ie Ngan hang TMCP PhuO'ng£)Ong £)H£)C£)

£)i~u25. Quy~n cua COdong 16

£)i~u26. Nghia vu cua COdong phOthong OCB 19

£)i~u27. £)~i h¢i dOngCOdong 19

£)i~u28. Th~m quyen trieu t~p hop £)~i h¢i dOngCOdong 21

£)i~u29. Danh sach COdong co quyen dl,l'hop £)~i h¢i dOngCOdong 22

£)i~u30. ChU'O'ngtrlnh va noi dung hop £)~ih¢i dOngCOdong 22

£)i~u31. MQ>ihop £)c;lih¢i dOngCOdong 23

£)it§u32. Quyt§ndl,l'hop £)c;lih¢i dOngCOdong 23

£)i~u33. £)i~u kien ti€lnhanh hop £)~i h¢i dOngCOdong 24

£)i~u34. Th~ thuc ti€lnhanh hopDal h¢i dOngCOdong 24

£)it§u35. Thong qua quy€ltdinh cua £)~i h¢i dOngCOdong 26

£)i~u36. Tharn quyen va th~ thuc I~y 'I ki€ln COdong b~ng van ban d~ thong quaquy€ltdinh cua £)~i h¢i dOngCOdong 27

£)it§u37. Bi€mban hop £)c;lih¢i dOngCOdong 28

£)it§u38. Hieu Il,I'cnghj quy€lt,quy€ltdjnh cua £)~i h¢i dOngCOdong 29

£)i~u39. Yeu du huy be cac nghj quy€lt,quy€ltdjnh cua £)~i h¢i dOngCOdong 29

ChlJ'O'ngVIII. QUY DINH CHUNG VE HOI DONG QUAN TR!, BAN KIEM SOAT vATONG GIAM DOC 30

£)it§u40. Nhiem Vl,lva quy~n hc;lnchung 30

£)it§u41. Thu tl,lCbflu, bOnhiem cac ch(fc danh thanh vien H¢i dOngQuan trj, thanh.• B K·J: 't TJ: G" d~ 30vlen an lem soa, ong lam oc .

£)it§u42. NhCmgngU'Q>ikhong dU'Q'ctham gia quan tri, ki~m soat va khong dU'Q'cgiCfch(fc danh TOngGiam dOc,Pho TOngGiam dOcva ch(fc danh tU'O'ngdU'O'ng 31

£)it§u43. NhCfngtrU'Q>nghQ'pkhong cung dam nhiem ch(fc Vl,l 32

£)it§u44. Tieu chu~n va di~u kien d~ dU'Q'cbau, bOnhiem 32

£)it§u45. Tieu chu~n,dit§ukien vt§tinh d¢c I~pcua thanh vien d¢c I~pcua H¢i dOngQuant~ 34

£)it§u46. £)U'O'ngnhien m~t tU'cach 34

£)it§u47. Mien nhiem, bai nhiem 35

£)it§u48. Thay th€lTOngGiam dOctrong trU'Q>nghQ'pkh~n c~p 36

£)it§u49. £)inh chi, tc;lmdinh chi 36

£)it§u50. Thu lao, tit§n IU'O'ngva lQ'i ich khac cho NgU'Q>iquan 1'1, NgU'Q>idit§uhanh,thanh vien Ban Ki~m soat. 37

£)it§u51. Cong khai cac lQ'iich lien quan 37

£)it§u52. Quy~n, nghia Vl,lcua NgU'Q>iquan 1'1, NgU'Q>idi~u hanh OCB. 37

HOiso' chinh: 41 - 45 Le Du~n, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963, Website:www.ocb.com.vn ~L.--~.

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

tl./r''.'

67

ooeBNgan Hang PhLldngWng 8i~u I~ Ngan hang TMCP PhU'O'ng80ng 8H8Cf)

f)i~u 53.

f)i~u 54.

Tranh xung d¢t quy~n lQ'i 38

Trach nhiem va bOi thU'ang 39

CHU'aNG IX. HOI DONG QUAN TRI 40

f)i~u 55. H¢i dOng Quan trj va co cau H¢i dOng Ouan trj 39

f)i~u 56. Nhiem VI,Iva quy~n han cua H¢i dOng Quan trj 39

f)i~u 57. Quy~n, nghia VI,Icua ChLi tich H¢i dOng Quan trj 41

f)i~u 58. Quy~n, nghia VI,Icua thanh vien H¢i dOng Quan tri 42

f)i~u 59. HQPH¢i dOng Ouan tri 42

f)i~u 60. Bien ban hQPH¢i dOng Quan trj 45

f)i~u 61. Tham quyen va th~ thLrC lay y ki~n thanh vien H¢i dOng Ouan trj b~ng vanban 46

CHU'aNG X. TONG GIAM DOC 47

f)i~u 62. T l G" dO . bA , ., 'A 47ong lam c va Qmay glup VIE;lC .

f)i~u 63. Quy~n, nghia VI,Icua T6ng Giam dOc 47

CHU'aNG XI. BAN KIt:M SOAT 48

f)i~u 64. Ban Ki~m soat va cO'cau Ban Ki~m soat 48

f)i~u 65. Nhiem VI,Iva quy~n hCilncLia Ban Ki~m soat 48

f)i~u 66. Quy~n, nghia VI,IcLia TrU'ang Ban Ki~m soat 49

f)i~u 67. Quy~n, nghia VI,IcLia thanh vien Ban Ki~m soat.. 50

f)i~u 68. Quy~n dU'Q'ccung cap thong tin cLia Ban Ki~m soat 50

f)i~u 69. Cac cu¢c hQp cLia Ban ki~m soat 51

CHU'aNG XII. He THONG KIt:M SOAT NOI BO, KIt:M ToAN NOI BO 53

MVC 1. He THONG KIt:M SOAT NOI BO 53

f)i~u 70. Thi~t I~p va duy tri hOCiltd¢ng cLia he thOng ki~m soat n¢i b¢ 53 \._"

f)i~u 71. B¢ ph~n ki~m soat n¢i b¢ chuyen trach 53

f)i~u 72. Cac yeu c~u va nguyen tac hOCiltd¢ng cLia he thOng ki~m soat n¢i b¢ 54

MVC 2. KIt:M ToAN NOI BO 55

f)1'e~u73. BA hA k·l t' A' bA 55QP Ciln lem oan nQI Q .

f)1'e~u74. M c t'A . h' naw c b' , k·l t a'n noA'bQA 551,1 leu va c U'C ng 0' an cua lem 0 . I .

f)i~u 75. PhCilmvi ki~m toan n¢i b¢ 56

f)i~u 76. N¢i dung hOCiltdong cLia ki~m toan n¢i b¢ 56

f)i~u 77. Tieu chuan dOi vcYingU'ai lam cong tac ki~m toan n¢i b¢ 56

f)i~u 78. B6 nhiem, mi~n nhiem cac chLrc danh cLia ki~m toan n¢i b¢ 57

CHU'aNG XIII. TAl cHiNH, Kt: ToAN, BAo cAo, THONG TIN vA BAo M~T 5768

H¢i scYchinh: 41 - 45 Le Du~n, 0.1, Tp.HCM - Tel: (84-8) 38220961 - Fax: (84-8) 38220963. Website:www.ocb.com.vn

OCBNgan Hang Phlldng DOng £)i~u Ie Ngfm hang TMCP PhU'O'ng£)Ong £)H£)C£)

£)i~u 79. Ch~ dO tai chfnh 57

£)i~u 80. Nam tai chfnh 57

£)i~u 81. H~ thOng k~ toan 57

£)i~u 82. Bao cao 58

£)i~u 83. Cong khai bao cao tai chfnh 58

£)i~u 84. Thong tin 58

£)i~u 85. Bao m~t thong tin 58

CHU'O'NG XIV. QUYt:N DIt:U TRA so SACH vA HO so 59

£)i~u 86. Quy~n di~u tra sO sach va hO so 59

CHU'O'NG XV. TO CHLYCDANG, DoAN THt:, NGU'OI LAO DONG vA CONG DoAN 59

£)i~u 87. TO chuc £)ang, doan th~, ngU'CYilao dong va cong doan 59

CHU'O'NG XVI. PHAN CHIA LO'I NHU~N .........................••...............•.......................... 60

£)i~u 88. Trfch I~p cac quy 60

£)i~u 89. Tra cO t(J'c 60

CHU'O'NG XVII. KIt:M ToAN DOC L~P 61

£)i~u 90. Ki~m toan doc I~p 61

CHU'O'NG XVIII. CON oAu .................•..•..................................................................... 62

~~~:~GX~:.nK~::·~~~;·~~~·~;~;,·~~~~~~,·~;~;·;~~;~~~~.~;::::::::.:.:.::::::~~~.-?MVC 1. KIt:M SOATD~C BleT ;~:;;

f)i~u 92. Bao cao kho khan v(, kha nang chi tra J,£)i~u 93. Cac trU'cynghQ'PDCB c6 th~ dU'Q'cd~t vao tlnh tr~ng ki~m scat d~c bi~t °62

£)i~u 94. Trach nhiem cua Hoi dOng Quan tr] Ban Ki~m soat, TOng Giam dOc khiDCB trong tlnh tranq ki~m soat d~c biet 63

£)i~u 95. Khoan vay d~c bi~t 63

£)i~u 96. Cham d(J't ki~m soat d~c bi~t 63

MVC 2. PHA sAN, GIAI THt:, THANH LY 63

£)i~u 97. Pha san DCB 63

£)i~u 98. Cac trU'cynghQ'pgiai th~ DCB 63

£)i~u 99. Thanh Iy tai san cua DCB 64

CHU'O'NG XX. GIAI QUYET TRANH CHAp NOI BO 64

£)ieu 100. Giai quy~t tranh chap noi bO 64

£)i~u 101. Quy~n kh&i ki~n dOi v6i thanh vien Hoi dOng Quan tri, TOng Giam dOc 64

CHU'O'NG XXI. DIt:U KHOAN THI HANH 6569

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occaNgan HlIng PhWng fl6ng £)i~u I~NgAn hang TMCP PhlJ'O'ng£)6ng £)H£)C£)

f)i~u 102.

f)i~u 103.Ngon ngCl' ~ 65

Slia dOi, bO sung f)i~u I~ 65

f)i~u 104. f)i~u khoan thi hanh 65

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