DECISION

REGULATIONS\r\nON INFORMATION DISCLOSURE AT HANOI STOCK EXCHANGE

GENERAL DIRECTOR OF HANOI STOCK EXCHANGE

Pursuant to Decision No. 01/2009/QD-TTg dated\r\nJanuary 2, 2009 of Prime Minister on establishment of the Hanoi Stock Exchange;\r\n

Pursuant to Charter of the Hanoi Stock Exchange\r\nissued under Decision No. 2882/QD-BTC dated November 22, 2013 of Minister of\r\nFinance;

Pursuant to the Law on Securities No.\r\n70/2006/QH11 dated June 29, 2006;

Pursuant to Law on amendment to Law on\r\nSecurities No. 62/2010/QH12 dated November 24, 2010;

Pursuant to Law on Enterprises No. 68/2014/QH13\r\ndated November 26, 2014;

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Pursuant to Decree No. 60/2015/ND-CP dated June\r\n26, 2015 of the Government on amendments to Decree No. 58/2012/ND-CP dated July\r\n20, 2012 on elaborating to Law on Securities and Law on amendments to Law on\r\nSecurities;

Pursuant to Circular No. 155/2015/TT-BTC dated\r\nOctober 6, 2015 of Minister of Finance guiding information disclosure on\r\nsecurities market;

Pursuant to Circular No. 123/2015/TT-BTC dated\r\nAugust 19, 2015 of Minister of Finance guiding foreign investment in the\r\nVietnamese securities market;

Pursuant to Resolution No. 79/NQ-HDQT dated August\r\n15, 2016 of the Board of Directors of the Hanoi Stock Exchange approving draft\r\nRegulations on information disclosure at the Hanoi Stock Exchange;

Pursuant to Official Dispatch No. 5786/UBCK-PTTT\r\ndated August 29, 2016 of the State Securities Commission approving issuance of\r\nthe Regulations on information disclosure at the Hanoi Stock Exchange;

At request of Director of Market Information\r\nDepartment,

HEREBY DECIDES:

Article 1. Attach the Regulations on information disclosure at the\r\nHanoi Stock Exchange to this Decision.

Article 2. This Decision comes into force from the date of signing and\r\nsupersedes Decision No. 250/QD-SGDHN dated June 6, 2013 of the General Director\r\nof the Hanoi Stock Exchange on issuance of Regulations on information\r\ndisclosure at the Hanoi Stock Exchange.

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PP. GENERAL\r\n DIRECTOR
\r\n DEPUTY DIRECTOR IN CHARGE
\r\n
\r\n
\r\n
\r\n
\r\n Nguyen Thi Hoang Lan

REGULATIONS

INFORMATION\r\nDISCLOSURE AT THE HANOI STOCK EXCHANGE
\r\n(Attached to Decision No. 606/QD-SGDHN dated September 29, 2016 of General\r\nDirector of the Hanoi Stock Exchange)

Chapter I

GENERAL PROVISIONS

Article 1. Scope and\r\nregulated entities

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2. Regulated entities:

a) Listed organizations;

b) Registered organizations;

c) Member securities companies;

d) Exchange traded fund (ETF);

dd) Investors required to disclose information in accordance\r\nwith regulations and law, including:

- Investors who are insiders\r\nof listed organizations, registered organizations, insiders of the ETF, and\r\nindividuals related to the insiders;

- Majority shareholders,\r\nrelevant individuals holding at least 5% of the outstanding shares with voting\r\nrights of listed organizations, registered organizations; founding shareholders\r\nof listed organizations and registered organizations during the period in which\r\nthey are restricted from transfer;

- Investors or groups of\r\nrelevant investors purchasing securities in order to become majority\r\nshareholders of listed organizations, registered organizations;

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e) Other relevant organizations and individuals as\r\nper the law.

Article 2. Definitions\r\n

In this Regulation, the terms below are construed\r\nas follows:

1. “SSC” means the Social\r\nSecurities Commission

2. “HNX” means the Hanoi Stock\r\nExchange

3. “VSD” means the Vietnam\r\nSecurities Depository

4. “Website” means a\r\nwebpage/information portal

5. “E-mail” means electronic\r\nmail

6. “ETF” means the Exchange\r\ntraded fund

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8. “Group of related foreign\r\ninvestors” includes foreign organizations related to each other in accordance\r\nwith Clause 7 Article 2 of Circular No. 123/2015/TT-BTC dated August 19, 2015\r\nof Minister of Finance guiding foreign investment in Vietnamese securities\r\nmarket.

9. “Registered organization”\r\nmeans an organization registering for trade on the Unlisted Public Company\r\nMarket (UPCoM) system.

10. “Listed organization”\r\nmeans an organization that has their securities listed on the HNX.

11. “Member securities\r\ncompany” means a securities company approved by the HNX to become a member of\r\nthe VSE trading listed securities; registered securities, and derivatives.

12. “Fund management company”\r\nmeans a funding management company that lists ETF certificates on the HNX.

13. “Company information\r\nmanagement system” (hereinafter referred to as the “CIMS”) means the HXN’s\r\nsystem that receives reports and disclosed information of listed organizations,\r\nregistered organizations, member securities companies, and fund management\r\ncompanies.

14. “Trade date” and\r\n“settlement date” shall conform to Clause 14 Article 2 of Circular No.\r\n155/2015/TT-BTC and the following regulations:

- Regarding call option for\r\ndeposited securities: trade date shall be the date on which the parties request\r\ntransfer of call option at the depository participants; settlement date shall\r\nbe the date on which the VSD verifies the effect of the call option transfer.

- Regarding call option for\r\nnon-deposited securities: trade date shall be the date on which the parties\r\nrequest transfer of call option at issuers; settlement date shall be the date\r\non which issuers verify the effect of the call option transfer.

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15. Decree No. 58/2012/ND-CP:\r\nDecree No. 58/2012/ND-CP dated July 20, 2012 of the Government on elaborating\r\nto Law on Securities and Law on amendments to Law on Securities.

16. Decree No. 42/2015/ND-CP:\r\nDecree No. 42/2015/ND-CP dated May 5, 2015 of the Government on derivatives and\r\nderivatives market.

17. Decree No. 60/2015/ND-CP:\r\nDecree No. 60/2015/ND-CP dated June 26, 2015 of the Government on amendments to\r\nDecree No. 58/2012/ND-CP dated July 20, 2012 of the Government on elaborating\r\nto Law on Securities and Law on amendments to Law on Securities.

18. Circular No.\r\n229/2012/TT-BTC: Circular No. 229/2012/TT-BTC dated December 27, 2012 of\r\nMinister of Finance guiding establishment and management of exchange traded\r\nfund.

19. Circular No. 200/2014/TT-BTC:\r\nCircular No. 200/2014/TT-BTC dated December 22, 2014 of Minister of Finance\r\nguiding accounting policies for enterprises.

20. Circular No.\r\n123/2015/TT-BTC: Circular No. 123/2015/TT-BTC dated August 19, 2015 of Minister\r\nof Finance guiding foreign investment in the Vietnamese securities market.

21. Circular No.\r\n155/2015/TT-BTC: Circular No. 155/2015/TT-BTC dated October 6, 2015 of Minister\r\nof Finance guiding information disclosure on securities market.

22. Circular No.\r\n162/2015/TT-BTC: Circular No. 162/2015/TT-BTC dated October 26, 2015 of\r\nMinister of Finance guiding public offering, offering of shares for swap,\r\nissuance of shares for swap, issuance of additional shares, share repurchase,\r\nsale of treasury share, and tender offer.

23. Circular No.\r\n11/2016/TT-BTC: Circular No. 11/2016/TT-BTC dated January 19, 2016 of Minister\r\nof Finance guiding Decree No. 42/2015/ND-CP dated May 5, 2015 of the Government\r\non derivatives and derivative market.

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Entities under Clause 2 Article 1 hereof shall\r\ndisclose information in accordance with Article 3 of Circular No.\r\n155/2015/TT-BTC and the following regulations:

1. Entities under Points a, b,\r\nc, and d Clause 2 Article 1 hereof shall disclose information on their website\r\nwhile sending disclosed information to the SSC and the HNX and disclosing\r\ninformation on websites of the SSC and the HNX. Information disclosed on\r\nwebsites must be accompanied by date and time of disclosure.

2. Entities under Points dd\r\nand e Clause 2 Article 1 hereof must send disclosed information to listed\r\norganizations/registered organizations/fund management companies, SSC, and the\r\nHNX when disclosing information. Founding shareholders must also send disclosed\r\ninformation to VSD during the period in which the founding shareholders are\r\nunder transfer restriction.

3. Information of entities\r\nunder Point d Clause 2 Article 1 hereof shall be disclosed by fund management\r\ncompanies.

4. Disclosure of information\r\nshall conform to Circular No. 155/2015/TT-BTC, this Circular, and other\r\nrelevant regulations. Disclosed information must be presented in a coherent and\r\ncomprehensible manner in order to avoid causing confusion to shareholders and\r\nthe public.

In case an entity required to disclose information\r\nsubmits disclosed information to the HNX using the wrong form, inaccurate\r\ninformation, unclear information, etc. the HNX shall reject the information and\r\nrefuse to disclose information on website of the HNX.

5. In case of any change to\r\ndisclosed information, entities required to disclose information shall disclose\r\nchanged information, send official dispatches, and attach verification for the\r\nnew information to the SSC and the HNX.

Article 4. Information\r\ndisclosure language

1. Information disclosure\r\nshall be implemented using Vietnamese. If disclosed information is in English,\r\nthe English sections only serve reference purpose.

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3. Entities under Points a, b,\r\nand c Clause 2 Article 1 hereof shall disclose information in both Vietnamese\r\nand English. The entities may disclose information in English as stated in this\r\nClause for a type or types of reports, disclosed information, and/or following\r\na specific pattern of their choosing and must inform the HNX on a voluntary\r\nbasis.

4. Guidance on disclosing\r\ninformation in English is under Appendix on Guidance on disclosing information\r\nin English attached hereto.

Article 5. Individuals\r\ndisclosing information

1. Individuals disclosing\r\ninformation of entities that are required to disclose information shall comply\r\nwith Article 4 of Circular No. 155/2015/TT-BTC.

2. Individuals disclosing\r\ninformation of related foreign investors and groups of related foreign\r\ninvestors shall comply with Circular No. 123/2015/TT-BTC.

3. Organizations and\r\nindividuals authorized to disclose information from individual investors shall\r\nsubmit power of attorney/authorization agreement satisfactory to regulations\r\nand law to the HNX when disclosing information for the first time and issue\r\nnotice on termination of authorization when disclosing information for the last\r\ntime.

Article 6. Information\r\ndisclosure documents

Information disclosure documents in\r\nphysical/digital form must satisfy the following requirements:

1. For documents in physical\r\nform:

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b) Legitimate documents are required to:

- For documents of\r\nindividuals: Bear full name and signature of the individuals;

- For documents of\r\norganizations: Bear verification of competent individuals, including: title,\r\nfull name, signature of the competent individuals, and seal (if any).

2. For documents in digital\r\nform:

Entities required to send disclosed information in\r\ndigital form to the HNX as follows:

a) Digital data must come in word/excel/pdf format\r\n(word and excel files must use Unicode character set);

b) In case digital data is sent via the CIMS,\r\nformat of the disclosed information shall conform to regulations of the CIMS;

c) The maximum size of digital data is 15 MB, in\r\ncase size of digital data is greater than the maximum size, entities disclosing\r\ninformation (other than individuals under Points dd and e Clause 2 Article 1\r\nhereof shall provide the link to the website where the entirety of disclosed\r\ninformation is uploaded.

Article 7. Means and methods of\r\nsending disclosed information

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2. Methods of sending\r\ndisclosed information:

a) When entities disclosing information are\r\nregistered to the CIMS:

Organization registering to the CIMS may send their\r\ndisclosed information and information which they are authorized to disclose by\r\nindividuals required to disclose information (majority shareholders, founding\r\nshareholders during the period in which they are under transfer restriction,\r\ninsiders, and related persons) via the CIMS.

Disclosed information sent via the CIMS must\r\nexclude documents, except the following types of report:

- Annual audited financial\r\nstatement (for all entities under Points a, b, c, and d Clause 2 Article 1\r\nhereof);

- Examined half-year financial\r\nstatement (for listed organizations, large-cap registered organizations, and\r\nmember securities companies);

- Examined financial adequacy\r\nratio report on June 30 and audited financial adequacy ratio report on December\r\n31 (for member securities companies).

If unable to send disclosed information via the\r\nCIMS due to force majeure such as network system, server malfunctioning,\r\ninability to use digital certificates, etc., these entities are responsible for\r\nsending disclosed information in written form via post service/in person while\r\nsending digital form via e-mail within the deadline and notifying the HNX about\r\nreasons for failure to send disclosed information via the CIMS.

b) When entities disclosing information are not\r\nregistered to the CIMS:

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Article 8. Delayed information\r\ndisclosure

The delay in information disclosure performed by\r\nentities required to disclose information shall conform to Article 6 of\r\nCircular No. 155/2015/TT-BTC.

Article 9. Preservation and\r\nstorage of reports and disclosed information

Entities required to disclose information shall\r\npreserve and store reports, disclosed information in accordance with Clause 3\r\nArticle 3 of Circular No. 155/2015/TT-BTC.

Chapter II

INFORMATION DISCLOSURE\r\nOF REGISTERED ORGANIZATIONS AND LISTED ORGANIZATIONS

Article 10. Information\r\ndisclosure of registered organizations

1. Periodic information\r\ndisclosure

Registered organizations shall disclose information\r\nperiodically in accordance with Article 8 of Circular No. 155/2015/TT-BTC and\r\nthe following regulations:

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b) Disclose information on foreign holdings in\r\naccordance with Clause 5 Article 8 of Circular No. 155/2015/TT-BTC and Clause 4\r\nArticle 13 of Circular No. 123/2015/TT-BTC.

c) Registered organizations shall submit reports on\r\nlist of state shareholders and majority shareholders in the first 6 months and\r\nthe last 6 months of a calendar year. The report for the first 6 months of the\r\nyear relies on the latest list of shareholders by June 30 and must be submitted\r\nto the HNX before July 30; The report for the last 6 months of the year relies\r\non the latest list of shareholders by December 31 and must be submitted to the\r\nHNX before January 30 of the following year. The report shall be prepared using\r\nForm No. 01_CBTT/SGDHN attached hereto.

d) Disclose information on the report on use of\r\nfunds:

Registered organizations conducting public\r\nsecurities offering shall disclose information on the report on use of funds in\r\naccordance with Clauses 6 and 7 Article 1 of Decree No. 60/2015/ND-CP, to be\r\nspecific:

- If a registered organization\r\nconducts separate securities offering: The registered organization must\r\ndisclose report on the use of funds which is verified by auditor(s) at the\r\nShareholder general assembly or provide detail explanation for the use of\r\ncapital generated by the offering in the annual financial statement which is\r\nverified by auditor(s).

- If a registered organization\r\nconducts public securities offering: In case the registered organization\r\nmobilizes capital to execute an investment project, the registered organization\r\nmust submit report using Form No. 5 under Appendix attached to Decree No.\r\n60/2015/ND-CP and disclose information on the progress of utilizing capital\r\ngenerated from the offering every 6 months from the date on which the offering\r\nis complete to the date on which the project is finish or until the date on\r\nwhich the mobilized capital has been fully disbursed. Registered organizations\r\nmust disclose reports on use of funds verified by auditor(s) at the Shareholder\r\ngeneral assembly or provide detail explanation for use of capital generated by\r\nthe offering in the annual financial statements verified by auditor(s).

2. Extraordinary information\r\ndisclosure

Registered organizations shall conduct\r\nextraordinary information disclosure within 24 hours in accordance with Article\r\n9 of Circular No. 155/2015/TT-BTC and the following regulations:

a) Regarding disclosed information regarding\r\nchanges, assignment, reassignment, or dismissal of insiders: Registered\r\norganizations shall disclose information using Form No. 02_CBTT/SGDHN and Form\r\nNo. 03_CBTT/SGDHN attached hereto and attach decisions/resolutions on change of\r\npersonnel within 24 hours from the date on which the decisions/resolutions are\r\nissued.

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c) Regarding disclosed information on revisions to\r\nthe Enterprise registration certificate, Establishment and operation license or\r\nOperation license (Name of organization, address, charter capital, line of\r\nbusiness, legal representatives): Registered organizations shall disclose\r\ninformation using Form No. 05_CBTT/SGDHN attached hereto and attach legitimate\r\ncopies of revised Enterprise registration certificate/Establishment and\r\noperation license/Operation license.

d) In case registered organizations alter their\r\ncorporate structure (contributing capital to establish a company; buying stakes\r\nof a company turning such company into a subsidiary, a joint venture company,\r\nor an associate; selling stakes of its subsidiary, joint venture company, or\r\nassociate making such company no longer its subsidiary, joint venture company\r\nor associate; dissolving of a subsidiary, a joint venture company, or an\r\nassociate), the registered organizations shall register using Form No.\r\n06_CBTT/SGDHN attach hereto within 24 hours from the date on which decisions on\r\nthe alteration are issued in addition to disclosing information as per the law.\r\n

dd) In case registered organizations produce\r\nseparate/combined/consolidated financial statements, capital contribution\r\nindicators of owners and total assets under financial statements to be\r\ndisclosed in accordance with Circular No. 155/2015/TT-BTC shall be the smaller\r\nnumber among the separate/combined/consolidated financial statements.

e) Regarding events that require approval of\r\ncompetent authority, registered organizations shall disclose information as per\r\nthe law from the date on which decisions/resolutions are issued, and disclose\r\ninformation within 24 hours from the date on which written approval or\r\nrejection of competent authority is receipt.

f) Disclose information about the last registration\r\ndate of rights to buy shares exercised by existing shareholders:

- Registered organizations\r\nshall report to the HNX while disclosing information about the expected last\r\nregistration date of rights to buy shares exercised by shareholders and attach\r\nrelevant documents within 10 working days prior to the expected last registration\r\ndate.

- In case registered\r\norganizations cancel the notice on the last registration date for\r\nimplementation of rights relating to rate of implementation, regarding cases\r\nwhere issuing shares for existing shareholders and cases related to adjustment\r\nof comparing price on the ex-right trade date in accordance with regulations of\r\nthe HNX, registered organizations shall provide written reason for the\r\ncancellation within 24 hours after issuing the notice and at least 5 working\r\ndays prior to the last registration date and disclose information on\r\ncancellation of the notice.

g) In case of changes to number of outstanding\r\nshares with voting rights, registered organizations shall disclose information\r\nin accordance with Point 1 Clause 1 Article 9 of Circular No. 155/2015/TT-BTC\r\nand using Form No. 07_CBTT/SGDHN attached hereto.

h) Registered organizations are responsible for\r\ndisclosing quantity of outstanding shares with voting rights on their website\r\nand updating the figure within 24 hours from the moment in which they submit\r\nreport on treasury stock issuance or trade results to the SSC or when other\r\ncases which lead to changes to the quantity of outstanding shares with voting\r\nrights occur.

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3. Information disclosure on\r\ndemand

Registered organizations shall disclose information\r\non demand in accordance with Article 10 of Circular No. 155/2015/TT-BTC.

Article 11. Information\r\ndisclosure of large-cap listed organization and registered organization\r\n

1. Periodic information\r\ndisclosure

Large-cap listed organizations and registered\r\norganizations shall conduct periodic information disclosure in accordance with\r\nArticle 11 of Circular No. 155/2015/TT-BTC, Clause 1 Article 10 hereof, and the\r\nfollowing regulations:

a) Presentation of business operation results with\r\nat least 5% of fluctuation specified under Points c and d Clause 4 Article 11\r\nof Circular No. 155/2015/TT-BTC applies to net revenues and profit after tax under\r\nincome statements of large-cap listed organizations and registered\r\norganizations.

b) For administration report under Clause 6 Article\r\n11 of Circular No. 155/2015/TT-BTC, information disclosure serving the\r\n6-monthly administration report must be done by July 30; information disclosure\r\nserving the annual administration report must be done by January 30 of the\r\nfollowing year.

In addition to producing administration report\r\nusing Appendix No. 5 under Circular No. 155/2015/TT-BTC, listed organizations\r\nmust send digital Schedule of information on corporate governance using Form\r\nNo. 09_CBTT/SGDHN attached hereto in excel format to the HNX.

2. Extraordinary information\r\ndisclosure

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3. Information disclosure on\r\ndemand

Large-cap listed organizations and registered\r\norganizations shall conduct information disclosure on demand in accordance with\r\nArticle 13 of Circular No. 155/2015/TT-BTC.

4. The starting and ending\r\npoints of information disclosure of a large-cap registered organization are\r\ndetermined as follows:

a) The registered organization shall perform the\r\ninformation disclosure obligation of large-cap registered organization from the\r\ndate on which the organization is mentioned under the list of large-cap public\r\ncompanies publicized by the VSD.

b) Within 1 year from the date on which the\r\nregistered organization is no longer a large-cap registered organization\r\naccording to the list publicized by the VSD, the registered organization must\r\ncontinue to disclose information in accordance with these Regulations.

c) Within 5 working days before the period in which\r\na large-cap registered organization is required to disclose information as per\r\nthe law expires, the registered organization shall send a notice on termination\r\nof information disclosure applicable to large-cap registered organization using\r\nForm No. 10_CBTT/SGDHN attached hereto to the HNX.

Article 12. Information\r\ndisclosure of organizations listing corporate bonds

Organizations listing corporate bonds on the HNX\r\nshall disclose information in accordance with Article 15 of Circular No.\r\n155/2015/TT-BTC and Clause 2 Article 10 hereof.

Chapter III

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Article 13. Information\r\ndisclosure of member securities companies

1. Periodic information\r\ndisclosure

Member securities companies shall conduct periodic\r\ninformation disclosure in accordance with Article 17 of Circular\r\nNo.155/2015/TT-BTC and Points a, b, and d Clause 1 Article 10, and Point a\r\nClause 1 Article 11 hereof.

2. Extraordinary information\r\ndisclosure

Member securities companies shall conduct\r\nextraordinary information disclosure in accordance with Article 18 of Circular\r\nNo. 155/2015/TT-BTC and the following regulations:

a) When disclosing information on changes,\r\nassignment, reassignment, or dismissal of insiders: Member securities companies\r\nshall disclose information using Form No. 02_CBTT/SGDHN attached hereto and\r\nattach decisions/resolutions on personnel change.

b) With respect to events that require approval of\r\nthe SSC or other competent authority, member securities companies shall\r\ndisclose information as per the law when issuing decisions/resolutions and\r\ndisclose information within 24 hours from the date on which they receive\r\nwritten approval/rejection from the SSC or other competent authority.

3. Information disclosure on\r\ndemand

Member securities companies shall conduct\r\ninformation disclosure on demand in accordance with Article 19 of Circular No.\r\n155/2015/TT-BTC.

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Member securities companies shall conduct other\r\ninformation disclosure in accordance with Article 20 of Circular No.\r\n155/2015/TT-BTC and the following regulations:

a) After a forced selling, securities companies\r\nshall inform customers who are insiders and related persons of insiders to\r\nenable the customers to perform information disclosure obligations as per the\r\nlaw.

b) In case a member securities company cancels the\r\npreviously announced forced selling order, the member securities company shall\r\ndisclose information on cancellation of the forced selling order.

5. Securities companies that\r\nengage in derivatives market must disclose information in accordance with\r\nDecree No. 42/2015/ND-CP, Circular No. 11/2016/TT-BTC, and regulations and law\r\non derivatives in addition to the regulations mentioned above.

Chapter IV

INFORMATION DISCLOSURE\r\nREGARDING THE ETF

Article 14. Disclosure of\r\ninformation regarding the ETF

1. Periodic information\r\ndisclosure

Fund management companies shall conduct periodic\r\ndisclosure of information on the ETF in accordance with Clauses 1, 4, 5, and 6 Article\r\n21 of Circular No. 155/2015/TT-BTC and Article 26 of Circular No.\r\n229/2012/TT-BTC.

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Fund management companies shall conduct\r\nextraordinary disclosure of information on the ETF in accordance with Article\r\n22 of Circular No. 155/2015/TT-BTC.

3. Information disclosure on\r\ndemand

Fund management companies shall conduct disclosure\r\nof information on the ETF on demand in accordance with Article 25 of Circular\r\nNo. 155/2015/TT-BTC.

Chapter V

INFORMATION DISCLOSURE\r\nOF OTHER ENTITIES

Article 15. Information\r\ndisclosure regarding share ownership of majority shareholders

1. Organizations and related\r\nindividuals who start to hold at least 5% of outstanding shares with voting\r\nrights of listed organizations or who are no longer majority shareholders or\r\nwho observe their share percentage shifted by more than 1% from the 5% mark\r\nmust disclose information in accordance with Article 26 of Circular No.\r\n155/2015/TT-BTC.

The shift in share percentage by more than 1% from\r\nthe 5% mark mentioned under Clause 2 Article 26 of Circular No. 155/2015/TT-BTC\r\nis determined at the 6% mark, 7% mark, 8% mark, etc. (regardless of the actual\r\nshare percentage according to the latest report).

2. In case ownership\r\npercentage of outstanding shares with voting rights of majority shareholders\r\nchange after listed organizations and/or registered organizations trade\r\ntreasury stock or issue additional shares when investors do not trade shares or\r\ndo not exercise share purchase right, information disclosure according to\r\nClauses 1 and 2 Article 26 of Circular No. 155/2015/TT-BTC is not required.

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Founding shareholders shall disclose information in\r\naccordance with Article 27 of Circular No. 155/2015/TT-BTC during transfer\r\nrestriction period.

Article 17. Information\r\ndisclosure regarding trade of insiders of listed organizations, registered\r\norganizations, insiders of the ETF, and related persons of insiders

Insiders of listed organizations, registered\r\norganizations, insiders of the ETF, and related persons of these entities shall\r\ndisclose information in accordance with Article 28 of Circular 155/2015/TT-BTC.\r\n

Article 18. Information\r\ndisclosure regarding swap between ETF certificates and shares for restructuring\r\n

Organizations and individuals swapping ETF\r\ncertificates and shares for restructuring shall disclose information in\r\naccordance with Article 29 of Circular No. 155/2015/TT-BTC.

Article 19. Information\r\ndisclosure of foreign investors and related foreign investors

1. Foreign investors and\r\ngroups of related foreign investors shall disclose information in accordance\r\nwith Clause 12 Article 10 of Circular No. 123/2015/TT-BTC, Circular No.\r\n155/2015/TT-BTC, and securities laws guiding foreign investment in Vietnamese\r\nsecurities market.

2. Information disclosure\r\nobligations of a group of related foreign investors depend on total share\r\npercentage of the entire group of related foreign investors regardless of\r\nindividual share percentage of each related foreign investor.

3. An investor who acts both\r\nas a majority shareholder and as an insider/related person of an insider is\r\nresponsible for complying with information disclosure obligations applicable to\r\ninsiders and related persons of insiders.

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Information disclosure regarding tender offer shall\r\nconform to Chapter IV of Decree No. 58/2012/ND-CP and Chapter VI of Circular\r\nNo. 162/2015/TT-BTC, to be specific:

1. A listed\r\norganization/registered organization that receives tender offer for its share\r\nshall disclose information on the tender offer receipt in accordance with\r\nClause 1 Article 43 and Article 44 of Decree No. 58/2012/ND-CP.

2. An organization or\r\nindividual making tender offer for listed/registered securities shall disclose\r\ninformation on the tender offer in accordance with Clause 1 Article 50 of\r\nDecree No. 58/2012/ND-CP. Tender offer disclosure form shall conform to\r\nAppendix No. 29 attached to Circular No. 162/2015/TT-BTC.

3. An organization or\r\nindividual making tender offer shall disclose information on revised tender\r\noffer price in accordance with Clause 2 Article 48 of Decree No. 58/2012/ND-CP\r\nand send the disclosed information to the HNX at least 7 days before the tender\r\noffer period ends.

4. An organization or\r\nindividual that withdrawing tender offer for listed/registered securities in\r\naccordance with Article 49 of Decree No. 58/2012/ND-CP shall disclose\r\ninformation as follows:

a) Submit reports on withdrawal of tender offer for\r\nlisted/registered securities to the SSC and the HNX.

b) Report to the HNX within 24 hours after\r\nreceiving approval official dispatches of the SSC.

c) Disclose information on withdrawal of the tender\r\noffer on an online newspapers or a physical newspaper for 3 consecutive issues\r\nafter obtaining approval of the SSC.

5. An organization or\r\nindividual making tender offer for listed/registered securities shall disclose information\r\non the tender offer in accordance with Clause 1 Article 50 of Decree No.\r\n58/2012/ND-CP.

...

...

...

6. An organization or\r\nindividual making tender offer shall disclose information on tender offer\r\nresults of listed/registered securities in accordance with Article 52 of Decree\r\nNo. 58/2012/ND-CP.

Within 5 days from the date on which the tender\r\noffer period ends, an organization or individual making the tender offer shall:\r\n

a) Submit reports on tender offer results to the\r\nSSC and HNX. Report on tender offer results shall be made using Appendix No. 30\r\nattached to Circular No. 162/2015/TT-BTC.

b) Disclose information on tender offer results on\r\nwebsite of the HNX.

Article 21. Information\r\ndisclosure regarding treasury stock trade

Entities under Points a, b, and c Clause 2 Article\r\n1 hereof, upon trading treasury stocks, shall disclose information in\r\naccordance with Article 31 of Circular No. 155/2015/TT-BTC, Law on Securities,\r\nDecree No. 58/2012/ND-CP, Decree No. 60/2015/ND-CP, Circular No.\r\n162/2015/TT-BTC, and guiding documents.

In case a company repurchases its shares, if total\r\nassets recorded in the accounting books decrease by more than 10% after\r\nincurring the full payment of repurchased shares, the company must notify all\r\nits creditors and disclose information within 15 days, from the date on which\r\nthe full payment is adequately incurred.

Chapter VI

PENALTIES FOR VIOLATIONS

...

...

...

1. Imposing of penalties for\r\nviolations in information disclosure shall conform to Article 7 of Circular No.\r\n155/2015/TT-BTC, these Regulations, and other regulations issued by the HNX.

2. The HNX holds the right to\r\nimpose appropriate penalties within their functions and powers depending on\r\nviolations in information disclosure mentioned hereunder.

3. For violations that are\r\nparticularly severe or exceed power of the HNX, the HNX shall report to the\r\nSSC.

Article 23. Forms of penalty\r\n

1. Penalties for violations in\r\ninformation disclosure at the HNX applicable to listed organizations and\r\nregistered organizations include:

a) Reprimand across the market;

b) Place securities under warning;

c) Place securities under control;

d) Restrict trade;

...

...

...

e) Remove listed securities in accordance with\r\nRegulations on listing securities at the HNX.

2. Penalties for violations in\r\ninformation disclosure at the HNX applicable to member securities companies\r\ninclude:

a) Reprimand in writing;

b) Warn;

c) Suspend trade connection;

d) Suspend trade in part or in whole;

dd) Enforce termination of membership in accordance\r\nwith Regulations on exchange members of listed and registered market at the\r\nHNX.

3. Depending on the nature and\r\nseverity of the violations on a case-by-case basis and depending on relevant\r\nlaws and professional regulations of the HNX, the General Director of the HNX\r\nshall decide on the penalties. Penalties under Clause 1 and Points c, d, and dd\r\nClause 2 of this Article shall be disclosed on website of the HNX.

Chapter VII

...

...

...

Article 24. Implementation\r\n

1. Entities under Points a, b,\r\nand c Clause 2 Article 1 hereof must declare roadmap for information disclosure\r\nin English using form under Appendix guiding information disclosure in English\r\nattached hereto before November 1, 2016.

2. If entities under Points a,\r\nb, and c Clause 2 Article 1 hereof join the market after October 1, 2016, they\r\nshall declare roadmap for information disclosure in English immediately after\r\nreceiving approval for listing/registration and approval for membership of the\r\nHNX.

3. HNX shall supervise\r\ncompliance with these Regulations of entities required to disclose information\r\nand relevant organizations, individuals.

4. In case regulations and law\r\nrelating to information disclosure obligations of entities under Clause 2\r\nArticle 1 hereof are not mentioned under this document or in case new\r\nregulations and law contradict clauses in this document, these regulations and\r\nlaw shall prevail and amend information disclosure obligations of the entities.\r\n

5. Amendment to the\r\nRegulations shall be decided by the General Director of the HNX once the Board\r\nof Directors of the HNX approves and obtains approval of the SSC.

LIST\r\nOF CONTENTS

Ref\r\n No.

...

...

...

Appendix

Guide to information disclosure in\r\n English

Form 01-PL/SGDHN

Announcement of information\r\n disclosure in English

Form 02-PL/SGDHN

Announcement of termination of\r\n Information disclosure in English

Form 01_CBTT/SGDHN

List of state shareholders and\r\n majority shareholders

Form 02_CBTT/SGDHN

...

...

...

Form 03_CBTT/SGDHN

List of insiders and their related\r\n persons

Form 04_CBTT/SGDHN

Change in related persons of\r\n insiders

Form 05_CBTT/SGDHN

Change in certificate of business\r\n registration/License of establishment and operation/License of operation

Form 06_CBTT/SGDHN

Announcement of (change in)\r\n corporate structure and financial statements

Form 07_CBTT/SGDHN

...

...

...

Form 08_CBTT/SGDHN

Extraordinary information\r\n disclosure

Form 09_CBTT/SGDHN

Information on corporate governance

Form 10_CBTT/SGDHN

Announcement of termination of\r\n information disclosure as a large-cap public company

APPENDIX\r\n

GUIDE TO INFORMATION DISCLOSURE IN ENGLISH
\r\n(Attached to Decision No. ……/QD-SGDHN dated ……………, 2016 of the General\r\nDirector of the Hanoi Stock Exchange on Regulations on Information disclosure\r\nat the Hanoi Stock Exchange)

...

...

...

Entities to be disclosing information in English\r\nare entities mentioned under Points a, b, and c Clause 2 Article 1 hereof.

2. Rules

Entities shall disclose information in English on a\r\nvoluntary basis and in a manner satisfies the followings:

a) Disclose roadmap for performing information\r\ndisclosure in English using Form No. 01_PL/SGDHN attached hereto and send to\r\nthe HNX in accordance with Article 24 hereof.

b) Disclose on their website while sending the\r\ndisclosed information to the HNX in order to have it disclosed on HNX’s\r\nwebsite.

c) Entities that no longer wish to disclose\r\ninformation in English must immediately notify the termination of information\r\ndisclosure, specify the reason using Form No. 02_PL/SGDHN attached hereto and\r\nsend to the HNX.

3. Details of information\r\ndisclosure

Organizations disclosing information shall register\r\nthe contents and deadline for disclosing information for each type of\r\ninformation under Form No. 01_PL/SGDHN attached hereto.

4. Methods of submitting\r\ninformation disclosed in English to the HNX

...

...

...

5. Responsibilities of\r\norganizations applying for disclosing information in English

- Preventing the information\r\ndisclosed in English from contradicting or otherwise being understood\r\ndifferently from that in Vietnamese.

- Disclose information and\r\nsend disclosed information to the HNX adequately and in a timely manner;

- Provide explanation at\r\nrequest of the HNX for cases of inadequate or untimely information disclosure.

- Send notice on disclosing\r\ninformation in English or terminating information disclosure in English before\r\nthe deadline.

6. Responsibilities of the\r\nHNX

- Disclose the following\r\ndetail on HNX’s website:

+ Notice on disclosing information in English of\r\norganizations that disclose information;

+ Information disclosed in English sent to the HNX\r\nby organizations that disclose information;

...

...

...

- Supervise information\r\ndisclosure in English of organizations as per the law.

7. Penalties for failure to\r\ncomply with the commitment

HNX shall reprimand entities that are required to\r\ndisclose information in writing for failure to adequately comply with the\r\ncommitment.

Form\r\n01_PL/SGDHN

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

...

...

...

ANNOUNCEMENT OF INFORMATION DISCLOSURE\r\nIN ENGLISH

(Issued\r\nwith Appendix Guide to information disclosure in English)

To:\r\nHanoi Stock Exchange

1. Organization particulars:

- Name of organization:

- Stock code:

- Address:

- Tel.: Fax:

- E-mail:

...

...

...

2. Start date of information\r\ndisclosure in English: From...

3. Types of information disclosed in\r\nEnglish (tick X where applicable):

No.

Type\r\n of information

Disclosure\r\n time

I

Periodical information

Concurrently with Vietnamese\r\n version

Within 10 days of the disclosure of\r\n Vietnamese version

...

...

...

Annual financial statements

2

Semi-annual financial statements

3

Quarterly financial statements

...

...

...

4

Annual report

5

Information on Annual General\r\n meeting of shareholders

...

...

...

Information on share offering and\r\n reports on the use of proceeds

7

Foreign shareholding

II

Extraordinary information

...

...

...

Within 03 days of the disclosure of\r\n Vietnamese version

1

Board resolution

2

Dividend payment

...

...

...

Information on change in the\r\n company's corporate governance

4

Company's operating activities

5

Other information

...

...

...

III

Disclosure on demand

Concurrently with Vietnamese\r\n version

Within 02 days of the disclosure of\r\n Vietnamese version

...

...

...

4. Company's commitments

Apart from complying with the rules\r\non information disclosure as stipulated by law, ……(name of\r\ncompany/organization) hereby commits to fulfill the obligations to disclose information\r\nlisted in this form.

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

...

...

...

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

ANNOUNCEMENT OF TERMINATION OF\r\nINFORMATION DISCLOSURE IN ENGLISH

To:\r\nHanoi Stock Exchange

1. Organization particulars:

- Name of organization:

...

...

...

- Address:

- Tel.: Fax:

- E-mail:

- Website:

2. Start date of information\r\ndisclosure in English: From....

3. End date of information disclosure\r\nin English: From...

4. Reason for terminating the\r\ninformation disclosure in English:

...

...

...

Form 01_SGDHN
\r\n(Issued with the Decision No ..../QD-SGDHN on ……, 2016\r\nof the CEO of Hanoi Stock Exchange on the Information Disclosure Regulation of\r\nHanoi Stock Exchange)

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

LIST OF STATE SHAREHOLDERS AND\r\nMAJORITY SHAREHOLDERS

To:\r\nHanoi Stock Exchange

...

...

...

Record date:

No.

Name\r\n of person/organization (name of representative)

Shareholder\r\n type

ID\r\n number

Date\r\n of issue

Shareholding\r\n (shares)

Shareholding\r\n (%)

Notes

...

...

...

Majority\r\n shareholder

1

2

3

4

5

6

7

8

...

...

...

...

...

...

...

...

...

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal - in case of organization)

Form 02_SGDHN
\r\n(Issued with the Decision No..../QD-SGDHN on ……, 2016 of the CEO\r\nof Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

CHANGE IN PERSONNEL

...

...

...

To:\r\nHanoi Stock Exchange

Based on Board Resolution\r\nNo....dated... and/or General Mandate No.... dated... of …… (name of organization),\r\nwe would like to announce the change in personnel of ........... (name of\r\norganization) as follows:

In case of appointment (*):

Mr./Ms.:

- Former position in the\r\norganization:

- Newly appointed position: …………………

- Term:

- Effective date:

In case of dismissal/resignation:

...

...

...

- Dismissed/Resigned position: ………………

- Reason (if any):

- Effective date:

* Attached documents:
\r\n - Board Resolution and/or General Mandate on the change in personnel.
\r\n - List of related persons (Form 03_CBTT/SGDCK).

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

Form 03_CBTT/SGDHN
\r\n(Issued with the Decision No. ..../QD-SGDHN on ……,\r\n2016 of the CEO of Hanoi Stock Exchange on the Information Disclosure\r\nRegulation of Hanoi Stock Exchange)

ORGANIZATION\r\n NAME
\r\n -------

...

...

...

No:\r\n /

………,\r\n day ... month ... year ……

LIST OF INSIDERS AND THEIR RELATED\r\nPERSONS

To:\r\nHanoi Stock Exchange

Stock code:

No.

Name\r\n of person

Position/\r\n Relationship

...

...

...

ID\r\n number, Date of issue

Shareholding\r\n (shares)

Shareholding\r\n (%)

Appointment\r\n date

Dismissal\r\n date

Tel.\r\n and Fax

1

2

3

...

...

...

5

6

7

8

9

10

1

Nguyen Van A

Insider

...

...

...

1.1

Nguyen Thi B

Related person of Nguyen Van A

...

...

...

1.2

Nguyen Van C

Related person of Nguyen Van A

...

...

...

1.3

...

...

...

2

...

...

...

2.1

...

...

...

2.2

...

...

...

* Notes:

1. Insiders are interpreted as in\r\nclause 5 Article 2 Circular No.155/2015/TT-BTC.

2. If insiders are\r\nrepresentatives of the institutional investors and acting in BOD, BOM,\r\nSupervisory Board, provide detailed information on the institution and the\r\nrepresentatives.

...

...

...

4. Columns No 8, 9: Applicable to\r\ninsiders.

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

Form 04_CBTT/SGDHN
\r\n(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of\r\nHanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

...

...

...

CHANGE IN RELATED PERSONS OF INSIDERS

To:\r\nHanoi Stock Exchange

1. Insider

- Mr./Ms.:

- Current position:

2. Related person:

- Mr./Ms.:

- Address:

...

...

...

- E-mail:

- Relationship/Former relationship\r\nwith insider:

- Reason for relationship/no longer\r\nbeing related:

- Effective date:

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

Form 05_CBTT/SGDHN
\r\n(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of\r\nHanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

...

...

...

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

CHANGE IN CERTIFICATE OF BUSINESS\r\nREGISTRATION/LICENSE OF ESTABLISHMENT AND OPERATION/LICENSE OF OPERATION

To:\r\nHanoi Stock Exchange

Based on the Certificate of business\r\nregistration/License of Establishment and Operation/License of Operation No...\r\ndated... issued by......., we would like to announce the change in the\r\nCertificate of business registration/License of Establishment and Operation\r\n/License of Operation as follow:

- Name of organization:

- Stock code:

...

...

...

- Tel.: Fax:

- E-mail:

- Website:

1. Information before change:

2. Information after change:

3. Reason for change (if any):

4. Effective date:

* Attached documents:
\r\n New Certificate/License

...

...

...

Form 06_CBTT/SGDHN
\r\n(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of\r\nHanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

ANNOUNCEMENT OF (CHANGE IN) CORPORATE STRUCTURE AND\r\nFINANCIAL STATEMENTS

To:\r\nHanoi Stock Exchange

...

...

...

- Name of organization:

- Stock code:

- Address:

- Tel.: Fax:

- E-mail:

- Website:

I. Initial disclosed\r\ninformation/Information before change:

1. Corporate structure (tick on\r\napplicable option only):

□ Having no affiliates or sub-units

...

...

...

□ Having affiliates

□ Having affiliates and sub-units

2. Financial statements to be\r\ndisclosed (tick on the financial statements relevant to the type of business\r\nchosen above):

□ Uncombined/Unconsolidated Financial\r\nstatements

□ Combined financial statements

□ Consolidated financial statements

II. Information after change

1. Corporate structure (tick on\r\napplicable option only):

□ Having no affiliates or sub-units

...

...

...

□ Having affiliates

□ Having affiliates and sub-units

2. Financial statements to be\r\ndisclosed (tick on the financial statements relevant to the type of business\r\nchosen above):

□ Uncombined/Unconsolidated Financial\r\nstatements

□ Combined financial statements

□ Consolidated financial statements

3. Reason for change:

4. Effective date:

We hereby certify that the\r\ninformation provided is true and correct and we bear the full responsibility to\r\nthe law.

...

...

...

* Attached documents:
\r\n Documents on the changes in the registered\r\n information.

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

Form 07_CBTT/SGDHN
\r\n(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of\r\nHanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

...

...

...

To:\r\nHanoi Stock Exchange

- Name of organization:

- Stock code:

- Address:

- Tel.: Fax:

- E-mail:

- Website:

No.

Contents

...

...

...

Change

After\r\n change

Reason\r\n for change

1

Charter Capital (VND)

...

...

...

Total number of shares

3

Number of treasury shares

...

...

...

4

Number of outstanding shares with\r\n voting rights

5

Others (if any)

...

...

...

* Attached documents:
\r\n - Securities Registration Certificate on the\r\n change/Other related documents

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

Form 08_CBTT/SGDHN
\r\n(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of\r\nHanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

ORGANIZATION\r\n NAME
\r\n -------

...

...

...

No:\r\n /

………,\r\n day ... month ... year ……

EXTRAORDINARY INFORMATION DISCLOSURE

To:\r\nHanoi Stock Exchange

1. Name of organization:

- Stock code:

- Address:

- Tel.: Fax:

...

...

...

2. Contents of disclosure:

……………………………………………………………………………………………

(In case of correction or\r\nreplacement of previously disclosed information, explanation is needed)

3. This information was published on the\r\ncompany’s website on …… (date), as in the link_:

We hereby certify that the information provided is\r\ntrue and correct and we bear the full responsibility to the law.

* Attached documents:
\r\n Documents on disclosed information.

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

...

...

...

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

………,\r\n day ... month ... year ……

INFORMATION ON CORPORATE GOVERNANCE

To:\r\nHanoi Stock Exchange

No.

...

...

...

Answer

1

General Information

Stock code

2

State shareholding (%)

3

...

...

...

(1): According to point a clause 1,\r\n Article 134, Law on Enterprise 2014

□

(2): According to point b clause 1 Article\r\n 134, Law on Enterprise 2014

□

4

Does the company have Audit\r\n Committee? (Yes/No)

5

...

...

...

6

Issue date of company’s Charter\r\n (latest version)

7

Charter amended according to Law on\r\n Enterprise 2014? (Yes/No)

8

Date of Annual/Extraordinary\r\n General Meeting of Shareholders (if any)

...

...

...

9

Release date of documents for\r\n General Meeting of Shareholders

10

Release date of General Mandate and Minutes of\r\n General Meeting of Shareholders

11

Are there any complaints on the\r\n organizing/General Mandate of the company's General Meeting of Shareholders?\r\n (Yes/No)

...

...

...

Số lần bị SGDCK nhắc nhở, lưu ý\r\n liên quan đến việc tổ chức và công bố thông tin về Dại hội đồng cổ đông?

Number of times that the Exchange reminds the\r\n company of the organizing and information disclosure on the General Meeting\r\n of Shareholders?

13

Number of times that the State Securities\r\n Commission reminds the company of the organizing and information disclosure\r\n on the General Meeting of Shareholders?

14

Board of Directors

Number of Directors at present?

...

...

...

15

Number of independent Directors?

16

Percentage of independent\r\n Directors/Total number of Directors?

17

Does Chair of the BOD concurrently hold\r\n the CEO position? (Yes/No)

...

...

...

Number of BOD meetings in the year?

19

Does the company establish committees directly\r\n under the BOD? (Yes/No)

20

Names of committees directly under the BOD?

21

...

...

...

22

Supervisory Board

Internal Audit Department (in\r\n case there is no Supervisory Board in the organization)

Number of members of supervisory board/auditors at\r\n present?

23

Number of supervisors having qualifications of\r\n accountants/auditors? Number of members of auditors being\r\n accountants?(detailed list by person)

...

...

...

Number of supervisors/auditors being related\r\n persons of Directors, CEO and other executives (names of supervisors/auditors\r\n being related persons of Directors and CEO, if any)

25

Number of supervisors/auditors holding executive\r\n positions?

26

Number of supervisors/auditors who worked in the financial\r\n and accounting department or as an auditor for the company within the last 3\r\n years?

27

...

...

...

28

Other issues

Does the company's website provide sufficient\r\n information to shareholders as stipulated? (Yes/No)

29

Does the company pay dividend within 6 months\r\n since the end of the Annual General Meeting of Shareholders? (Yes/No)

30

...

...

...

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose\r\n information
\r\n (Signature, full name, position, and seal)

Form 10_CBTT/SGDHN
\r\n(Issued with the Decision No. .../QD-SGDHN on ……, 2016 of the CEO of\r\nHanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock\r\nExchange)

ORGANIZATION\r\n NAME
\r\n -------

THE\r\n SOCIALIST REPUBLIC OF VIETNAM
\r\n Independence - Freedom - Happiness
\r\n ---------------

No:\r\n /

...

...

...

ANNOUNCEMENT OF TERMINATION OF INFORMATION\r\nDISCLOSURE AS A LARGE-CAP PUBLIC COMPANY

To:\r\nHanoi Stock Exchange

1. Organization particulars:

- Name of organization:

- Stock code:

- Address:

- Tel.: Fax:

- E-mail:

...

...

...

2. Date of becoming a large-cap public company:\r\nFrom ………

3. Date of no longer being a large-cap public\r\ncompany: From……...

4. Termination date of information disclosure as a\r\nlarge-cap public company: From ………

Organization\r\n representative
\r\n Legal representative/Person authorized to disclose information
\r\n (Signature, full name, position, and seal)