CONG TY co pHANCHUNG KHoAN ToAN cAu

CQNG HOA xA HQI CHU NGHiA VI~T NAM

BQcl~p - TV do - Hanh phuc

Ha N6i, ngay.tf. thdng 03 nam 2017

CONG BO THONG TIN TREN CONG THONG TIN BIEN TU CUA UY BAN CHUNGKHoAN NHA xuoc vA sa GIAO DJCH CHUNG KHoAN

Kinh gm: Uy ban Chung khoan Nha mro'cSO'Giao djch Chung khoan Ha NQiSO'Giao dich Chung khoan Tp. HBChi Minh

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

Ma chimg khoan:

Dia chi tru sa chinh: T&ng4A va t&ng 9, toa nha 85 Nguyen Hfru C~u, Quan 1, TP H6Chi Minh

Dien thoai: +84.8 54 050 333

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Nguoi thirc hien cong b6 thong tin: Nguyen Thi AM - Chu tich HDQT - Nguoi daidien thea Phap luat cua Cong ty c6 phan Chirng khoan Toan C~u

Loai thong tin cong b6:D24 gio D72 gio DBfrt thirong DTheo yeu du 0 Dinh ky

NQidung thong tin dn cdng bA:

Cong ty C6 ph&nChtrng khoan Toan C~u cong b6 thong tin vS Bao cao ty 1~an toan tai chinhtai ngay 31.12.2016 dffduQ'cki~m toano

Thong tin nay chi tiSt dff duQ'c cong b6 tren trang thong tin di~n tfr cua Cong ty vaG ngay ...thing 03 nam 2017 t~i duang dful: http://vgs.vnlcategory/quan-he-co-dong/

Chung toi xin cam kSt cac thong tin cong b6 tren day la dung Sll th~t va hoan toan chiu trichnhi~m truac phip lu~t vS nQi dung cac thong tin dff cong b6.

NGuilI A BO THONG TIN J /Tai lieu ainh kern: '. '6 3 - C . l' ~

- Bao cao tY l¢ an toan tai chinh t(li ngay31.12.2016 ail.aU(fckiJrntoan.V

~

CONGTYCOpHANCHUNGKHOANToANCAu

BAo cAo TY L~ AN TOAN'TAl cHiNH DADU<}CKIEM ToANT~i ngay 31 thing 12 nam 2016

CONGTYCOPHANCHUNGKHOANTOANcAuT§ng4A & 9, Toa nha s6 85Nguyen Htru Cdu, Phuong Tan Djnh, Qu~ 1,Thanh ph6 H6 Chi Minh

MVCLVC

TRANG

BAo cAo CVABAN TONGGrAM DOC 2

BAo cAo I<IEMToAN DOCLAp

BAo cAo IT LeAN ToAN TAICHiNH

BAN TIIUYET MINH BAo cAo TV LeAN ToAN TAICHiNH

3-4

5 - 12

13 - 14

1

CONG TY CO PHAN CHUNG KHoAN ToAN cAuT~ng 4A& 9, Toa nha s6 85 Nguyen Huu C~u, PhuOng Tan Dinh, Quan 1, Thanh eh6 H6 Chi Minh

BAo cAo CVA BAN TONG GIAM DOC

Ban T6ng Giam d6c Cong ty C6 phftn Chung khoan Toan Cftu (goi t~t "Cong ty") trinh bay Bao cao cuaminh cung voi Bao cao tY l~ an toan tai chinh cua Cong ty tai ngay 31 thang 12 nam 2016 dll diroc kiSmtoano

HQI DONG QuAN TRJ VA BAN TONG GrAM DOC

HQi d6ng quan tri va Ban T6ng Giam d6c Cong ty trong nam va dSn thai diSm l~p Bao cao nay g6m:

Ho va ten Chuc vu Nwb6nhiem Ngav tirnhiemHoi iJang g_uiin triOng Trftn PM My CM tich 2010112017Ba Nguyen Thi Anh CM tich 02/3/2017Ong CMu Vinh Quang Ph6 CM tich 2010112017Ong Nguyen Dire Thuan Ph6 cno tich 02/3/2017Ong Mai Van Cong Thanh vien 2010112017Ong Nguyen Bao Thanh Thanh vien 2010112017Ong Hoang Bieu Thanh vien 2010112017Ong De; Trung Son Thanh vien 02/3/2017Ong Trftn Duc ChiSn Thanh vien 02/3/2017

Ban Tang Giam iJ8cGng CMu Vinh Quang T6ng Giam d6c 02/3/2017Gng De; Trung Son T6ng Giam d6c 02/3/2017Gng NguySn M~nh Toan Ph6 T6ng Giam d6c 02/3/2017

KIEM ToAN VIENCong ty TNHH Ki~m toan - Tu vAnDAtVi~t (Vietland) dll duQ'c chi dinh ki~m toan Bao cao 15' l~ an toantai chinh t~i ngay 31 thimg 12 nam 2016 cua Cong ty.

c6~G B,O T~CH NHI:E;MCVA BAN TONG GUM DOC DOl ven BAo cAo TY L:E;ANTOAN TAl CHINH

Ban T6ng Giam d6c Cong ty chiu trach nhi~m l~p Bao cao 15' l~ an toan tai chinh va dam bao r~ng Baocao tY l~ an toan tai chinh dll phan anh trung th\fC va hQ'p ly tinh hinh v6n kha d\lng cua Cong ty t~i ngay31 thang 12 nam 2016, phU hQ'Pv&i cac quy dinh t~i Thong tu s6 226/2010/TT-BTC ngay 31 thang 12nam 2010 cua BQTai chinh quy dinh v€ chi tieu an toan tai chinh va bi~n philp xu ly d6i v&i cac t6 chuckinh doanh chung khmin khong dap ung cac chi tieu an toan tai chinh va Thong tu s6 165/2012/TT-BTCngay 9 tMng 10 nam 2012 cua BQ Tai chinh sua d6i, b6 sung mQt s6 di~u cua ThOng tu s6 226/2010/TT­BTC ngay 31 thang 12 nam 2010 cua BQ Tai chinh quy dinh v~ chi tieu an toan tai chinh va bi~n philp xuly d6i v&i cac t6 chuc kinh doanh chUng khoan kh6ng dap Ung cac chi tieu an toan tai chinh.

2

S8: 0146/20171BCTLATTC-KTV

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BAo cAo KIEM ToAN DOCLAp. .Kinh gm: QuY co DONG,HOI DONG QuAN TRJvA BANTONG GUM DOC

CONGTYCOPDANCHUNGKHOANTOANCA.U

Chung toi da kiem toan Baa cao tY l~ an toan tai chinh tai ngay 31 thang 12 nam 2016 cua Cong ty C6phdn Chung khoan Toan cAu, diroc I~p ngay 27 thang 3 nam 2017, ill trang 5 d~n trang 14 kern thea.

Trach nhiem cua Ban TBng Giam tt8c

Ban T6ng Giam d6c Cong ty chiu trach nhiern v~ viec l~p va trinh bay trung thirc va hop Iy Baa cao tY l~an toan tai chinh cua Cong ty thea Chuan rmrc k~ toan, Ch~ dQk~ toan Vi~t Nam va cac quy dinh phap Iyco lien quan d~n viec I~p va trinh bay Baa cao tY I~ an toan tai chinh va chiu trach nhiem v~ kiem soat nQibQ rna Ban Tong Giam d6c xac dinh la dn thi~t d~ dam bao cho viec I~p va trinh bay Baa cao tY l~ antoan tai chinh khong co sai sot trQng y~u do gian I~n ho~c nhAm lfin.

Trach nhi~m cua Ki~m toan vien

Trach nhi~m cua Chung toi la dO'ara y ki~n v~ Baa cao tY I~ an toan tai chinh dl,fa tren k~t qua cua cUQckiBm toano Chung toi da ti~n hanh kiBm toan thea cac Chuftn ml,fc kiBm toan Vi~t Nam. Cac chuftn ml,fcnay yeu du Chung toi tuan thu chuAn ml,fCva cac quy dtnh v~ d~o duc ngh~ nghi~p, I~p k~ ho~ch va th\l'chi~n cUQcki~m toan d~ d~t dO'Q'cS\l'dam bao hgp ly v~ vi~c Baa cao tY I~ an toan tai chinh cua Cong ty cocon sai sot trQng y~u hay khong.

Cong vi~c ki~m toan bao g6m thl,fc hi~n cac thu t\lc nh&m thu th~p cac b&ng chUng ki~m toan v~ cac s6li~u va thuySt minh tren Baa cao tY l~ an toan tai chinh. Cac thu t\lC ki~m toan dO'Q'Cll,fachQn dl,fatren xetdoan cua ki~m toan vien, baa g6m danh gia rui ro co sai sot trQng y~u trong Baa cao tY l~ an toan taichinh do gian I~n ho~c nhdm lfin. Khi th\fc hi~n danh gia cac rui ro nay, ki~m toan vien da xem xet ki~msoat nQi bQ cua Cong ty lien quan d~n vi~c I~p va trinh bay Bao cao tY l~ an toan tai chinh trung thl,fc, hgply nh&mthi~t k~ cac tM t\lc ki~m toan phil hgp v6i tinh hinh th\fC t~, tuy nhien khong nhk m\lc dich dO'ara y ki~n v~ hi~u qua cila ki~m soat nQi bQ cua Cong ty. Cong vi~c kiBm toan cling bao g6m danh gia tinhthich hgp cua cac chinh sach k~ toan dO'Q'Cap d\lng va tinh hgp ly cua cac O'6c tinh k~ toan cua Ban T6ngGiam d6c cling nhO'danh gia vi~c trinh bay t6ng thBBao cao tY l~ an toan tai chinh.

ChUng toi tin tU'(m~r&n~cac b&ng chung ki~m toan rna Chung toi da thu th~p dO'Q'cla dAydu va thich hgplam cO'sa cho y kien kiem toan cua Chung toi.

)NOtN~\J

y ki~n cua Ki~m toan vien

Thea y ki~n cua ChUng toi, Bao cao tY l~ an toan tai chinh da phan anh trung thl,fCva hgp ly, tren cac khiaqmh trQng y~u tY I~ an toan tai chinh CtY I~ v6n kha d\mg) cua Cong ty C6 phdn Chung khoan Toan cAut~i ngay 31 thang 12 nam 2016, phil hQ'pv6i cac quy dinh t~i Thong to' s6 226/2010/TT-BTC ngay 31thang 12 nam 2010 cua BQ Tai chinh quy dinh v~ chi tieu an toan ffii chinh va bi~n phap xu Iy d6i v6i cact6 chuc kinh doanh chUng khoan khong dap ung cac chi tieu an toan tai chinh va Thong ill s6165/2012/TT-BTC ngay 9 thang 10 nam 2012 cua BQ Tai chinh v~ sua d6i, b6 sung mQt s6 di~u cuaThong tu s6 226/20 1O/TT-BTC ngay 31 thang 12 nam 2010 cua BQTai chinh quy dinh v~ chi tieu an toantai chinh va bi~n phap xu ly d6i v6i cac t6 chuc kinh doanh chung khoan khong dap Ung cac chi tieu antoan tai chinh.

3

BAo cAo K.I:EM ToAN DOCLAp (ti€ptheo)

Thanh ph6 He, Chi Minh, ngay 27 thang 3 nam 2017

Noi ohao:Nhir trenLUllVietland

4

LE TID BICB NGQC - Ki~mtoan vieDse giAyeNDKHN Ki8m toan: 1817-2013-037-1

CONGTYCOPBANCHUNGKHoAN ToAN cAu

CQNG HOA xA HOI cHiJ NGHiA VI~T NAMDl}c I~p - T., do - Hanh Phuc

So cong van: .VIv: Bao cao tY l~ an toan tai chinh Thanh ph6 He, Chi Minh, ngay 27 thang 3 nam 2017

BAo cAo TY L~ ANToAN TAl CHiNHTai ngay 31 thang 12 nam 2016

Kioh gUi: uv BAN CHUNG KHoAN NHA NUOC

Chung toi cam doan rang:

(1) Bao cao diroc xay dung tren co sa s6 li~u duoc c~p nhat tai ngay l~p Bao cao va diroc l~p theadung cac quy dinh tai Thong tir s6 226/2010/TT-BTC ngay 31 thang 12 nam 2010 cua Bo Taichinh quy dinh v€ chi tieu an toan tai chinh va bien phap xu Iy d6i voi cac t6 clnrc kinh doanhchirng khoan khong dap irng cac chi tieu an toan tai chinh va Thong tIT s6 165/2012/TT-BTCngay 9 thang 10 nam 2012 cua Bo Tai chinh v€ sua d6i, b6 sung mot s6 di€u cua Thong tIT s6226/2010/TT-BTC ngay 31 thang 12 nam 2010 clla Bo Tai chinh quy dinh v€ chi tieu an toantai chinh va bi~n phap xu Iy d6i v&i cac t6 chuc kinh doanh chung khoan khong dap Ung cacchi tieu an toan tai chinh;

(2) D6i v&i nhfrng vlln d€ co th€ i'mh huang d~n tinh hlnh tai chinh clla Cong ty phat sinh sau ngayI~p Bao cao nay, ChUng toi se c~p nh~t trong ky Bao cao ti~p theo;

.,

TAng Ghim «lacTRAN THI THANH HAlK~ tmio tnro-og

TRAN DucMINHKi~m soat vieo

5

CONG TY CO PHAN CHUNG KHoAN ToAN cAuTfulg 4A & 9, Toa nha s6 85 NguyenHtru Cl1u,Phuong Tan Djnh, Quan 1, Thanh ph6 H6 Chi MinhBAa cAo TY LEAN TOANTAr cHfNH

12 nam 2016

BANG TONG HOP cAc CHi TIEU RiJI RO vA VON KHA.DUNG. .Ttti ngay 31 thang 12 nam 2016

Don vi tinh: VND

STT cAc CHi TlEU CHITIETGIA TRJ ntn RONON KHA Dl)NG

I. T6ng gia tri rui ro thi tnrong pHANlIA -2. T6ng gia tr] rui ro thanh toan PRAN lIB -3. T6ng gia tri rui ro heat d(>ng pHANIIC 7.000.000.000

4. T8nggiatrirniro(4=1+2+3) PHANII 7.000.000.000

5. vAn kha dung pHANI 15.211.628.566

6. Tv Ie an toan vAn kha dung (6=5/4) 217%

Thanh ph6 H6 Chi Minh, ngay 27 thang 3 nam 2017

TRAN THI THANH HAlNgu·(riI~p bi€u

TRAN THI THANH HAlKS toan truong

6

CONG TY CO pHAN CHUNG KHoAN ToAN cAuDing 4A & 9, Toa nha s6 85 Nguyen Htru Cau, Phuong Tan Dinh, Quan 1, Thanh ph6 Hi>Chi MinhBAa cAo TY L€ AN ToAN TAl cHiNH~~!)'l!n!,~,~g12 na~=~,~,_,,_. _""""_'''~ _

PHAN I. BANG TiNH VON KHA DVNGTai ngay 31 thang 12 nam 2016

Don vi tinh; VND

VON KHA DVNG

STT N(nSUNGVON KHA Dl)NG KHoAN GIAM TRU

KHoANTANGTlIEM

A. Ngu6n van (I) (2) (3)

1. Vbn d~u tu cua chu sa htru khong bao gam c6 35.000.000.000Iph~ uu diii hoan lai (neu c6)

2. Thang dir vbn c6 phan, vbn khac khong bao -Igam c6 ph~ uu dai hoan lai (neu c6)

3. C6 phieu quy -4. IQuy dir tnt b6 sung vbn dieu I~ (neu c6) -5. IOuy d~u tu phat trien -6. IQuy du phong tai chinh -7. louy khac thuoc vbn chu sa hiru8. LQ'i nhuan tich lily va IQi nhuan chua phan

phoi truce khi trich I~p cac khoan du phong (11.040.227.343)thea qUYdinh phan luat

9. Chenh lech danh gia lai tai san (50% tang them -hoac 100% ziam di)

10. Chenh lech 15' gia hbi doai -11. LQ'i ich cua c6 dong thieu sb -12. Cac khofm nQ'c6 the chuy€n d6i -13. Toan ph~n gifun di ho(lc tang them clla cac

ch(mg khoan t\li chi tieu d~u tu tai chinh

IA TAng 23.959.772.657

B. Tai san ngan hanI Ti€n va cdc khOan tll'O'ngdll'O'nl!ti€nII Cdc kltoan dliu tll'tai cltfnlt ngcin It(ln1. Dau tu ngan h\lll

- Chung kh6an ti€m an rid ra thi trU'ongtheaQUY dinh t(li khaan 2 Di€u 8- Chung kh6an hi giam tru kh6i v6n kha dlmg -thea quy dinh khaan 5 Di€u 5

2. D\I' phong gifun gia dau tu ngan h\ln

IIICdc kltoan pMi tltu ngdn It(ln, k€ capMi 728.339.392thu tu hO(ltd{jng uy tltdc

1. Phai thu clla khach hangPhai thu clla khach hang c6 thai h\lll thanhtoan can lai ttr 90 ngay tra xubngPhai thu clla khach hang c6 thai h\lll thanhtoan can lai tren 90 ngay

2. Tn't truac cho nguai ban3. Phai thu nQi bQ ngan h\lll

Phai thu nQi bQ c6 thai h\lll thanh toancan lai ttr 90 ngay tra xubngPhai thu nQi bQ c6 thai h\lll thanh toan -can lai tren 90 ngay

4. Phai thu hoat dQng giao dich chung khoanPhai thu hoat dQng giao dich chung khoan c6thai h\lll thanh toan can l\li tlr 90 ngay traxubngPhai thu hoat dQng giao dich chung khoan c6thai h\lll thanh toan can l\li tren 90 ngay traxubng

7

CONGTYCOPHANCHUNGKHOANTOANcAuT.ing 4A & 9, Toa nha s6 85 Nguyen Huu Cau, Phuong Tan Dinh, Quan 1, Thanh ph6 H6 Chi MinhBAo cAo TY LB AN ToAN TAl CHlNHTai ngay 31 thang 12nam 2016

~,

5. Cac koan phai thu khacPhai thu khac co thai han thanh toan con lai tir90 nzav tro xu6ngPhai thu khac co thai han thanh toan con lai 728.339.392tren 90 ngay

6. O\!phong phai thu ngan han kho doiIV Hang tbn kho 179.691.999V Tal siin ngdn h{ln khac 5.925.681.941I. Chi phi tra tnroc ngan han -2. Thue GTGT diroc khau tnr3. Thue va cac khoan phai thu NM mroc 24.541.9414. Tai san nzan han khac 5.901.140.0004.1 T(ilTIirng 5.901.140.000

T(ilTIirng co thai han hoan irng con lai tir90 ngay tro xuonzT(ilTIimg co thai han hoan irng con lai tren 5.901.140.00090 ngay

4.2 Tai san ngan han khac -1B Tan!!: 6.833.713.332

C Tai san dai han

ICdc khoiin phiii thu dai h{ln, ki ciiph iii thutir hO{ltd9ng uy tluic

I. Phai thu dai han cua khach hang

Phai thu dili hl;l11clla khach hang co thai h\illthanh toan con l\ii tir 90 ngay tra xu6ng

Phiti thu dai hl;l11clla khach hang co thai hl;l11 -thanh toan con lai tren 90 ngav

2. Von kinh doanh (; dan vi tnrc thuoc -3. Phiti thu dili hl;l11noi bO

Phiti thu dili hl;l11ne)i bO co thai h\ill thanh toancon lai tu 90 ngity tra xu6ngPhiti thu dili hl;l11ne)i be) co thai h\ill thanh toan -con lai tren 90 ngily

4. Phai thu dili hl;l11khacPhiti thu dili h\ill khac co thai h\ill thanh toancon lai tu 90 ngily tra xu6ngPhiti thu dili hl;l11khac co thai hl;l11thanh toan -con lai tren 90 ngily

5. O\!phong phai thu dai h\ill kho doi -II Tai siin c8dinh ],031.448.873III Bfu d9nf{ siin dau tlf -IV Cac khoiin dau tlf tai chinh dai h{ln -I. Dau tu vao cong ty con -2. Dau tu vao cong ty lien ket, lien doanh -3. Dau tu chtrng khoan dili h\ill - -

- Chung kh6an tiem tin rui ro thi truang theoIquy ilinh tai khoan 2 iliJu 8- Chung kh6an hi giam trir kh6i v6n kha dz,mgtheo auv ilinh khoan 5 [)iJu 5

4. Dftu tu dili h\in khac -5. O\!phong giam ghi dftu tu tili chinh dili hl;l11

V Tai san dai han khac 882.981.886Cdc chi tieu tai siin bi coi la khoan ngo\ii trut\ii bao cao tili chinh nam da dugc ki~m toan -mil khong bi tinh giam tru thea quy dinh t\iiDi~u 5

1C Tang 1.914.430.759VON KHA DT)NG= 1A -lB -lC 15.211.628.566

8

CONG TY CO PHAN CHUNG KHOAN TOAN cAuT~ng 4A & 9, Toa nha s6 85 Nguyen Huu C~u, Phuong Tan Dinh, Quan 1, Thanh ph6 H6 Chi MinhBAo cAo TV LE AN ToAN TAl CHiNHTai ngay 31 thang 12 nam 2016

PH.AN IIA. BANG TiNH RUI RO THI TRUONGTai ngay 31 thang 12 nam 2016

DOll vi tinh: VND

cAc H~ M\IC DAu TU

I. Ti~n va cac khoan nrong duong ti~n, cong cu th]truimg ti~n t~

2.1. TiSn

3. Gi~y ta co gia tren thj tnrong tiSn t~Cac khoan tuong duong tiSn

II. Trai phi~u chinh phii4. Trai phieu chinh phil khong tra Uii

5

5.1

5.2

Trai phieu chinh phil Uiisuat cuong phieuTrai phieu chinh phil, trai phieu Chinh philthuoc khei OECD hoac duoc bao lanh b5'iChinh phil hoac Ngan hang Trung uong cuacac mroc thuoc khdi nay, Trai phieu duoc phathanh boi cac t6 clnrc quBc t~ mRD, ADB,ITAnH. AFDB. Em v:'! FRRnTrai phi~u cong trinh dugc Chinh phil, B9 Hichinh bao Illnh co thai h~n dao h~n con I~iduai 1 namTrai phi~u cong trinh dugc Chinh phil, B9 Hichinh bao Illnh co thai h~n dao h~n con I~i ill 1tai 5 namTrai phi~u cong trinh dugc Chinh phil, B9 Hichinh bao Illnh co thai h~ dao h~n con I~i ill 5nam tra len

III. Trai phi~u doanh nghi~p

6.

Trai phi~u niem y~t co thai gian dao h~n conI~i duai 1 nam, k8 ca trai phi~u chuy8n d6i

Trai phi~u niem y~t co thai gian dao h~n conI~i duai tir 1 d~n 5 nam, k8 ca trai phi~uchuv8n d6iTnii phi~u niem y~t co thai gian dao h~n conI~i duai tir 5 nam tra len, k8 ca trai phi~uchuv8n d6iTrai phi~u kh6ng niem y~t co thai gian daoh~n con I~i duai 1 nam, k8 ca trai phi~uchuv8n d6i

(1)

152.286.2110%0%0%

HS RiJI RO QUYMD RiJI RO GIA TRJ RiJI RO

0%

15%

20%

25%

(2)

3%

3%

4%

5%

8%

(3) = (1) * (2)

7Trai phi~u kh6ng niem y~t co thai gian dioh~n con I~i duai ill 1 d~n 5 nam, k8 ca traiIphi~u chuv8n d6iTnii phi~u kh6ng niem y~t co thai gian dioh~n con I~i duai tir 5 nam tra len, k8 ca traiIphi~u chuv8n d6i

30%

40%

9

CONG TY CO PHAN CHUNG KHOA.N TOAN cAuTfing 4A & 9, Toa nha s6 85 Nguyen Huu cfiu, Phuong Tan Dinh, Quan 1, Thanh ph6 H6 Chi MinhBAo cAo TYLB ANToAN TAI cHiNHTai ngay 31 thang 12 nam 2016

IV. cA phi~u - -8 c6 phieu ph6 thong, c6 phieu uu dlii cua cac t6 - -

chirc niem y~t tai Sa giao dich chimg khoan 10%Tp.HCM, clurng chi quy dai chung rna

9 ce phieu ph6 thong, c6 phieu uu dlii cua cac t6 - -chirc niem y~t tai Sa giao dich clnmg khoan 15%Ha Noi.

10 ce phieu ph6 thong, c6 phieu tru dlii cac cong - -ty dai chung chua niem y~t, dang kY giao djch 20%lqua he thonz UpCom .~-

11 C6 phieu ph6 thong, c6 phieu uu dlii cac cong - -ty dai chung dli dang kY hru ky, chua niem y~t 30%hoac dang kv ziao dich

12 cs phieu cua Cong ty d~i chung khac 50% - -V. Chu-ng chi quy d§u to"chu'ng khoan -

13 Quy d~i chung 10% -14 Quy thanh vien 30% -

VI. Chu'ng khoan hi h~n ch~ giao dich -15 ChUng khoan bi t~m ngimg, dinh chi giao dich -

kS tit ngay giao dich (khong bao g6m truemg 40%hqp c6 phi~u t~ ngimg giao djch d@chuySnsan giao dich)

16 ChUng khoan bi huy niem y~t, bUy giao djch -50%

VII. Chrrng khoan kh3c -17 C6 ph.ln, ph.ln von gop va cac lo~i chUng -80%

khoan khacVIII. RiB ro tling them (n~u co) (dU'l/cxac dinh tren cO'silvan chu sil hiiu dli trich l~p day du cac khoiin d" phimg)

Mil chu'ng khoan M. tling Quy rno riii ro Gia trj riii ro1. .................... -

A. TONG GIA TRI Ria RO THI TRUONG ( A = I + II + III + IV + V + VI +VII +VIII) -

10

CONG TV CO PHAN CHUNG KHoAN TOAN cAuTang 4A & 9, Toa nha s6 85 Nguy~n HiiuCau, Phuong TanDinh, Quan 1, Thanhpho H6 Chi MinhBAocAoTYLeANTOANTAIC~

12 nam 2016

PHANlIB. ntn RO THANHToANT,i ngay 31 thing 12 nam 2016

DO'n vi tinh: VND

STT LO~I HINH GIAO DICHGIA. TRJ RiJI RO TONG GIA. TRJ mn

(1) (2) (3) (4) (5) (6) RO

I.RBi ro tnrue thOi han tbanb toan -l. Ti~n gei co ky han, cac khoim ti~n cho yay - - - - - - -

khong co tai san bao dam va cac khoan phai thutu hoat dong giao dich va nghiep vu kinh doanhlchunz khn~n

2. Cho yay chung khoan/Cac th6a thuan kinh te co - - - - - - -cunz ban ch:1t

3. Yay chirng khoan/Cac th6a thuan kinh t~ co cung - - - - - - -ban ch:lt

4. H9']Jd6ng mua clumg khoan co cam k~t ban - - - - - - -lai/Cac th6a thuan kinh t~ co cling ban ch:lt

5. H9']Jd6ng ban chung khoan co cam k~t mua - - - - - - -lai/Cac th6a thuan kinh t~ co cling ban ch:lt

6. H9']J d6ng cho yay mua ky quy (cho khach hang - - - - - - -yay mua chimg khoanj/Cac th6a thuan kinh t~ cocunz ban ch:1t

II. RBi ro qua tbOi han tbanh roan -TbOi gian qua han H~ sA rBi ro Quy mo rBi ro Gill tr] rBi ro

l. o - 15 ngay sau thoi han thanh toan, chuyen 16% - -giao chirng khoan

2. 16 - 30 ngay sau thai h(lIl thanh toan, chuy€n 32% - -

giao chirng khoan3. 3 1 - 60 ngay sau thai h(lIl thanh toan, chuy€n 48% - -

giao chirng khoan4. Tir 60 ngay tnllen 100% - -

III. RBi ro tang tbem (n~u co) -Chi ti~t tm tirng kboan vay, tm tirng ilAi hie Mile tang tbem Quy mo rBi ro Gia trj rBi ro

l. Cho yay kinh doanh chUng khoan OTC - - -

2. Cho yay kinh doanh chUng khoan OTC - - -B. TONG GIA. TRJ RiJI RO THANH ToAN ( B = I + II + III ) -

11

CONGTYCOPHANCHUNGKHOANTOANCAuT~ng 4A & 9, Toa nha s6 85 Nguyen Hfru du, Phuong Tan Dinh, Quan 1, Thanh ph6 H6 Chi MinhBAo cAo TY Ll;:AN ToAN TAl CHlNHTai ngay 31 thang 12 nam 2016

pllAN IIC.mnROHO~T DQNGTal ngay 31 thang 12 nam 2016

Don vi tinh: VND

STT N(HDUNG GIATRJ

I. Tang chi phi hoat dQng ph at sinh trong vong 12 thaug 4.021.340.157Cac khoao_giam trir tang chi phi 804.544.5961. Chi phi khdu hao 642.437.491

II. 2. Dir phong giam gia d~u tu chirng khoan ng~n han -3. Du phong giam gia d~u tu chirng khoan dai han -4. Du phong phai thu kho doi 162.107.105

III. Tang chi phi sau khi giam trir (III = I - II) 3.216.795.561IV. 25%Tang chi phi sau khi giam tril" (IV=25%III) 804.198.890V. 20% van phap djnh cua ta chtrc kinh doanh chung khoan 7.000.000.000

C. TONG GIA TRJ Rill RO HO~T DONG (C =MAX{IV,V}) 7.000.000.000

12

CONGTY co PHAN cmJ'NG KHoAN ToAN cAuTelng 4A & 9, Toa nha s6 85 Nguyen Hiru Cau, Phuong Tan Dinh, Quan 1, Thanh ph6 H6 Chi Minh

BAocAoTYLEANTOANTAICHThffiT~i ngay 31 thang 12 nam 2016

BANTHUYET MINH BAo cAo TY ANToAN TAl CHiNHTai ngay 31 thang 12 nam 2016

I. DIEM HO';'T DONG ellA eONG TY

1. Hinh tlnrc sO'huu van

Cong ty ce phAnChung khoan Toan cAu diroc thanh l~p va hoat d(>ng thea Quyet dinh s683/UBCK-GP ngay 16 thing 01 nam 2008 do Uy ban Chung khoan Nha mroc cAp.

Trong qua trinh hoat d{5ng, Cong ty da duac (;y ban Chung khoan NM nutrc cdp cac Quy€t dinhthay d6i nhu sau:

Quyet dinh s6 30/UBCK-GP ngay 16 thang 01 nam 2009, chuan y viec b6 sung Phong Giaodich Nguyen Cong Tnr tai s6 111 Nguyen Cong Tnr, Phuong Nguyen Thai Binh, Quan 1,Thanh ph6 H6 Chi Minh.

Quyet dinh s6 357/UBCK-GP ngay 19 thang 10 nam 2010, chuan y viec chuyen d6i tru sachfnh ill Telng 5 va 6 Toa nha 1015 Trcln Hung D~o, PhuOng 5, Qu~n 5, Thanh ph6 H6 ChiMinh v~ dia chi s6 79 NguySn Cong Tru, PhuOng NguySn Thai Binh, Qu~n 1, Thanh ph6 H6Chi Minh.

Quy~t dinh s6 932/QD-UBCK ngay 16 thang 11 nam 2010, chucln y vi~c chAm dill ho~t dQngcua Phong Giao dich Nguy~n Cong Tru.

Quy~t dinh s6 15/GPDC-UBCK ngay 5 thang 4 nam 2013, chucln y vi~c chuySn d6i tr1,l sa chfnhtll"s6 79 Nguy~n Cong Tru, PhuOng Nguy~n Thai Binh, Qu~n 1, Thanh ph6 H6 Chi Minh v8dia chi Telng 4A & 9, Toa nha s6 85 Nguy~n Hfru Celu, PhuOng Tan Dinh, Qu~ 1, Thanh ph6H6 Chi Minh.

• Van phap djnh

• Van di~u I~

: 35.000.000.000 VND

: 35.000.000.000 VND

Ca cdu gop v8n diJu I? nhu sau:

Stt Ten cAdong Dja chi

1. Cong ty DAu tu -,

Lo so 2-4-6, DuOng C,Tin h9C va Tu vdn KCN Tan T~o, PhuOngXay dgng Phuong Tan T~o, Qu~ BinhNam Th~h, Thanh ph6 H6 Chi

Minh2. CongtyTNHH 29 Ter, Lclu3 Nguy~n

Xay dgng An Cu Dinh ChiSu, PhuOngDakao, Qu~n 1, Thanh ph6H6 Chi Minh

3. GngMai Van 101 Thanh My, PhuOng 8,Cong Qu~n Tan Binh, Thanh

ph6 H6 Chi Minh

4. Gng Chau Vinh 502D/6 Hung Phil,Quang PhuOng 9, Qu~n 8, Thanh

ph6 H6 Chi Minh

sa cAphdn

Ty I~(%)

sa ti~n(VND)

700.000 20 7.000.000.000

700.000 20 7.000.000.000

525.000 15 5.250.000.000

525.000 15 5.250.000.000

Ban Thuy€t rninh nay lQ rn{5!b{5phtj,n hr;p thanh va aur;c aQccimg vifi Bao cao ry I? an toan !ai chinh kern thea

13

CONG TV CO PHAN CHUNG KHOA.N ToAN cAuTfulg 4A & 9, Toa nha s6 85 Nguy€n Huu Cau, Phuong Tan Dinh, Quan 1, Thanh ph6 H6 Chi Minh

BAo cAo TY L$ AN TOAN TAl cHiNHTai ngay 31 thang 12nam 2016Ban Thuy~t minh Bao cao tY l~ an toan tai chinh (ti~p theo)

Stt

5.

Ten c6 dong

Ong Nguyen BaoThanh

Dja chi.l. ?

So cophAo

Ty I~(%)

sA ti~n(VND)

240 Le Thanh Ton,Phuong BSn Thanh, Quan1, Thanh ph6 H6 ChiMinh28/6 Hoang Hoa Tham,Phuong 13, Quan TanBinh, Thanh ph6 H6 ChiMinh

525.000 15 5.250.000.0006. Ong Hoang Bi~u

525.000 15 5.250.000.000

C9ng 3.500.000 100 35.000.000.000

• Try scY hoat d90g

Dia chi : LAu 4A & 9, Toa nha s6 85 Nguyen Htru cAu, Phuong Tan Dinh, Quan 1,Thanh ph6 H6 Chi Minh

Dien thoai : (84 - 08) 405 0333Fax: (84 - 08) 405 0111Mil s6 thuS : 0 3 0 5 4 5 3 7 8 0

2. Nganh, ngh~ kinh doanh

M6i gioi chirng khoan; Tu vAn dAu tu chirng khoan.

/

3. Nban viense hrong nhan vien cua C6ng ty tai ngay 31 thang 12 nam 2016 la 6 ngiroi (tai ngay 31 thang 12nam 2015: 6 ngiroi).

II. co SOLAP BAo cAo TV Lit AN ToANTAl cHiNH vA MUC otcn SUDUNG.. ..Bao cao tY 1~an toan tai chinh tl;lingay 31 thang 12 nam 2016 duQ'c l~p va trinh bay pM hqp vaihuang d~n tl;liThong tu s6 226/2010/TT-BTC ngay 31 thang 12 nam 2010 cua BQ Tai chinh quydinh v~ chi tieu an toan tai chinh va bi~n phap xu ly d6i vai cac t6 chuc kinh doanh chUng khoankhong dap (rug ca.c chi tieu an toan tai chinh va ThOng tu s6 165/2012/TT-BTC ngay 9 thang 10nam 2012 cua BQ Tai chinh v~ sua d6i, b6 sung mQt s6 di€u cua Thong tu s6 226/2010/TT-BTCngay 31 thang 12 nam 2010 cua BQTai chinh quy dinh v€ chi tieu an toan tai chinh va bi~n phap xuIy d6i vai cac t6 chuc kinh doanh chUng khoan khong dap Ung cac chi tieu an tmln tai chinh. Baocao nay chi duQ'c SU d\lllg dS nQP cho cae C(J quan quan Iy Nha nuac co thAm quy€n.

Bao cao nay duQ'Cl~p chu ySu tren C(J sa s6 Ii~u Bao cao tai chinh cho kY kS toan nam kSt thUcngay 31 thang 12 nam 2016 dil duQ'ckiSm toan bai t6 chuc kiSm toano

Thanh ph6 H6 Chi Minh, ngay 27 thang 3 nam 2017

TRAN THI THANH HAlK~ toao tr~cYng

TRAN THJ THANH HAlNgrrOi I~p bi~u

Blm Thuyit rninh nay fa rn9t b9 pMn h9P thanh va QU9'cQ9Ccimg v6i Baa cao tY f? an toan tai chinh kern thea

14