CONGTYCPCHUNGKHOANSTANLEY BROTHERS

CONG HoA XA HOI CHV NGHiA VIET NAM. . .DQcl~p - T\I' do - Hanh phuc

S6: 113/2019/CV- SBSIHa N(ji, ngay 29 thdng 03 ndm 2019

CONG BO THONG TIN TREN CONG THONG TIN DI¥N TUCVA VY BANCHUNG KHoAN NHA NUOC vA sa GIAO DJCH CHUNG KHoAN

Kinh gfri: Vy ban Chung khoan Nha nurrcSO'Giao djch Chung khoan Ha NQiSO'Giao dich Chung khoan Tp. H6 Chi Minh

Ten t6 chirc: Cong ty c6 phan clnrng khoan Stanley BrothersDia chi t11,1sa chinh: T~ng 9, toa nha TNR, s6 54A, Nguyen Chi Thanh, phuong LangThuong, quan Dong Da, thanh ph6 Ha NQiDien thoai: (+84) 24 3377 6699 - Fax: (+84) 24 3373 6699Nguoi duoc uy quyen thuc hien cong b6 thong tin: Nguyen Thi Phuong ThaoChirc vu: Truong phong Phap ch~ tuan thuLoai thong tin cong b6:

~ 24 gio D72 gio DB~t thuong D Theo yeu ciu D Dinh ky

NQidung thong tin dn cfmg bB:Cong ty c6 phan chimg khoan Stanley Brothers cong b6 thong tin vS:

Bao cao tai chinh kiem toan nam 2018;

Cong van giai trinh bien dong loi nhuan s6 11212019/CV-SBSI;Bao cao ty 1~an toan tai chinh da ki~m toan nam 2018.

Thong tin nay chi ti~t da duQ'ccong b6 tren trang thong tin di~n tU cua Cong ty vanngay 29 thang 03 nam 2019 t~i duang d~n: http://sbsi.vn.

Chung toi xin cam k~t cac thong tin cong b6 tren day 1£1dung s\}'th~t va hoan toanchiu trach nhi~m truac phap lu~t vSnQidung cac thong tin da cong b6./.

NGUm DUQC VY QUYEN" BO THONG TIN

CONG TY CO PHAN CHUNG KHoANSTANLEY BROTHERS

BAo cAo TYLlj:ANToAN TAl CHiNH DADUQCKIEM ToAN

T~i ngay 31 thang 12 nam 2018

CONG TY co pHAN STANLEY BROTHERSTAng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thuong, Quan D6ng Da, Thanhph6 HaNQi

MVCLl}C

TRANG

BAo cAo CVA BAN TONGGIAM DOC

BAo cAo KIEM TOm DOC LAp

BAo cAo TV LB AN ToAN TAI cHiNH

BAN THUYETMINH BAo cAo TY LB AN ToAN TAl cHiNH

2-3

4-5

6-15

16 - 17

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CONG TY CO PHA.N CHUNG KHoANSTANLEY BROTHERSTAng 9 Toa nha TNR, s6 54A, Nguy~n Chi Thanh, PhuOng Lang ThuQ1lg, Qu~n D6ngDa, Thanh ph6 Ha NOi

BAo cAo CVA BAN TONG GIAM DOC

Ban T6ng Giam d6c Cong ty ce phan Chung khoan Stanley Brothers ten tnroc ngay 31 thang 01 nam 20191aCong ty C6 phan Chung khoan Tolin Cl1u(goi tlit "Cong ty") trinh bay Baa ella cua minh cung voi Baa cao tYI~ an toan tai chinh cua Cong ty tai ngay 31 thang 12 nam 2018 da:diroc ki~m toano

HQI DONG QUAN TRJ VA BAN TONG GIAM DOC

HOi d6ng quan tri va Ban'Tong Giam d6c Cong ty trong nam va dSn thai di~m I~p Baa cao nay gom:

Ho va ten Chuc vu Nw_b6nhiem Nw_tunhiemHoi illmg audn tri

/-Ba Nguy~n Thi Anh Chu tich 02/3/2017 02/8/2018OngNguyen Dire Thuan Pho Chu tich 02/3/2017 02/8/2018Ong Quach Manh H6ng CM tich 02/8/2018Ong Pham Dang Tnrong Thanh vien 02/8/2018

I

Ong Nguyen Tu§n CUOng Thanh vien 02/8/2018 I

Ong Nguyen ThS Minh Thanh vien 02/8/2018Ong D6 Trung Son Thanh vien 02/3/2017 02/8/2018Ong Trfrn Duc ChiSn Thanh vien 02/3/2017 02/8/2018

Ban kiim sootOng TrAnDuc Minh Truong ban 02/3/2017 02/8/2018Ba NguySn Thi Anh Thanh vien 02/3/2017 02/8/2018Ba TrAnThi Tam Thanh vien 02/3/2017 02/8/20] 8Ba Phi Thj Thu Ha TruOng ban 02/8/2018Ba Dinh Thi Lan Anh Thanh vien 02/8/2018Ba Giang Thi Mai Hoa Thanh vien 02/8/2018

Ban rang Giom ilacOng D6 Trung San T6ng Giam d6c 02/3/2017 31/8/2018Ong Ph~m Dang TruOng T6ng Giam d6c 26/11/2018Ong NguySn Tu§n CUOng Pho T6ng giam d6c 02/812018Ong NguYSnThS Minh T6ng Giam d6c 01/9/2018 26/1112018

KIEM ToAN VIEN

Cong ty TNHH KiSm toan - Tu v§n D~t Vi~t (Vietland) da: duqc chi dinh kiSm toan Baa cao 1)' l~ an toan taichinh t~i ngay 31 tMng 12 nam 2018 cua Cong ty.

CONG BO TRAcH NHIEM CVA BAN TONG GIAM DOC DOl vm BAo cAo TV LE AN TOANTAIC~ . .

Ban T6ng Giam d6c Cong ty chiu trach nhi~m I~p Baa cao 1)' I~ an toan tai chinh va dam baa r~ng Baa cao 1)'I~ an toan tai chinh da:phan anh trung thlJCva hqp Iy tinh hinh v6n khii dl,mg cua Cong ty t~i ngay 3] thang 12nam 2018, phil hqp vai quy dinh ~i Thong tu s6 87/2017/TT-BTC ngay 15 thang 8 nam 2017 cua BO Taichinh quy dinh v~ chi tieu an toan tai chinh va bi~n phap xu Iy d6i vai cac t6 chuc kinh doanh chUng khoankhong dap ling cac chi tieu an toan tai chinh.

2

CONG TY CO PHAN CHUNG KHoAN STANLEY BROTHERSTAng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thuong, Quan Dong Da, Thanh ph6 Hit NQi

BAo cAo CVABAN TONGGrAM DOC

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ietland®_____ L j m j I. d

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

Email: vietland@vietlandaudit.com.vnS6: 0116/20191BCTLATTC-KTV

BAo cAo KIEM ToANDOC LAp. .Kinh gUi: QuYco DONG, HQI DONG QuANTRJ vA BAN TONG GLAMDOC

CONG TY CO PHAN CmJNG KHoAN STANLEY BROTHERS

Chung toi dil kiem toan Bao cao 1)' l~ an toan tai chinh tai ngay 31 thang 12 nam 2018 cua Cong ty C6phAnChung khoan Stanley Brothers, duQ'cl~p ngay 26 thang 3 nam 2019, tir trang 6 d8n trang 17 kerntheo.

Trach nhiem ella Ban TAngGiam aBeBan Tong Giam d6c Cong ty chiu trach nhiem v€ viec l~pva trinh bay trung thtrc va hop ly Bao cao 1)' l~an toan tai chinh cua Cong ty theo Chuan mire k8 toan, Ch8 dQk8 toan Viet Nam va cac quy dinh phap lyco lien quan d8n viec l~p va trinh bay Bao cao 1)' l~ an toan tai chinh va chiu trach nhiem v€ kiem soat nQibQrna Ban T6ng Giilm d6c xac dinh la dn thi8t d~ dam bao cho viec l~p va trinh bay Bao cao 1)' l~ antoan tai chinh khong co sai sot tr<;mgy8u do gian l~nhoi.lcnhAml~n.

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Traeh nhi~m ella Ki~m toan vienTrach nhi~m cua ChUngt6i la dua ra y ki8n v€ Bao cao 1)' I~ an toan tai chinh dl,latren k8t qua cua cUQcki~m toanoChung toi dil ti8n hanh ki~m toan theo cac Chu§.nml,lcki~m toan Vi~t Nam. Cac chu§.nml,lcnay yeu cAuChung toi twin thu chuAnml,lcva cac quy dinh v€ d~o duc ngh€ nghi~p, I~pk8 ho~chva thl,lchi~ncUQcki~mtoan d~ d~t duQ'CSl,ldam bao hqp Iyv€ vi~cBao cao 1)' I~an toan tai chinh cua C6ng ty cocon sai sot tr<;mgy8u hay khOng.Cong vi~c ki~m toan bao g6m thl,lchi~n cac thu tI,lcnh~m thu th~p cac b~g chUngki~m toan v€ cac s6li~uva thuy8t minh tren Bao cao 1)' I~an toan tai chinh. Cac tM t\lCki~m tom duQ'cIl,lachQndl,latren xetdoan cua ki~m toan vien, bao g6m danh gia rui ro c6 sai s6t trQngy8u trong Bao cao 1)' I~ an toan michinh do gian I~nhoi.lcnhk I~n.Khi thl,lchi~n danh gia cac rui ro nay, ki~m toan vien dil xem xet ki~msoat nQibQcua Cong ty lien quan d8n vi~c I~pva trinh bay Bao cao 1)' 1~an toan tai chinh trung thl,lc,hqpIynh~ thi8t k8 cac thu tvc ki~mtom phUhqp v6'itinh hlnh thl,lct8, tuy nhien khong nh~mmvc dich duara y ki8nv€ hi~u qua clla ki~m soat nQibQclla Cong ty. Cong vi~c ki~m toan dIng bao g6m danh gia tinhthich hQ'pcua cac chinh sach k~ tom duQ'cap dl,lllgva tinh hqp Iy cua cac u6'c tinh k8 tom cua Ban T6ngGiam d6c cling nhu danh gia vi~c trinh bay t6ng th~Bao cao 1)' I~an toan tai chinh.

Chung toi tin tuOngr~ng cac b~ng chung ki~m toan rna ChUngtoi dil thu tMp duQ'cla dAydu va thich hqplam cO'sa cho y ki8n ki~mtom cua ChUngtoi.

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y ki~n ella Ki~m toan vienTheo y ki~nclla Chung toi, Bao cao 1)' I~an toan tai chinh dilphiln anh trung thl,lcva hqp ly, tren cac khiac~nh trQngy~u, 1)' l~ an toan tai chinh (1)' I~ v6n kha d\lng) cua Cong ty C6 phAnChUngkhoan ChUngkhoan Stanley Brothers ~i ngay 31 thang 12 nam 2018, phil hqp v6'i quy dinh t~i Thong tu s687/2017 ITT -BTC ngay 15 thang 8 nam 2017 cua BQTai chinh quy dinh v€ chi tieu an toan tai chinh vabi~nphap xu Iy d6i v6'icac t6 chuc kinh doanh chUngkhoan khong dap Ungcac chi tieu an toan tai chinh.

4

BAo cAo KIEM ToAN DOCLAp (tiSp thea)

Thanh ph6 H6 Chi Minh, ngay 26 thang 3 nam 2019

Cfing ty TNHH Ki~m toan - Ttr vAnnAt Vi~t

Noi nhan:Nhir trenLUllVietland

5

NGO MINH LAP - Ki~m toan vienS6 gifiy eN DKI-IN Kiem tow: 3567-2017-037-1

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CONGTycopHANcHUNGKHoANSTANLEY BROTHERS

CQNG HOA xA HQI cnu NGHiA ~TNAM

DQc I~p - TV do - Hanh Phuc

So cong van: .VIv: Bao cao tY l~ an toan tid chinh Thanh ph6 Ha NQi, ngay 26 thang 3 nam 2019

BAD CAD TY L¢ ANToAN TAl CHINHT~i ngay 31 thang 12 nam 2018

. Kinh gUi:uv BANCHUNG KHoAN NHA NlfOC

Chung toi cam doan rang:

(1) Bao cao duoc xay dung tren co sa s6 lieu duoc c~p nhat tai ngay l~p bao cao va duoc l~p theadung quy dinh tai dinh tai Thong tir s6 87/2017/TT-BTC ngay 15 thang 8 nam 2017 cua BQ Taichinh quy dinh v~ chi tieu an toan tai chinh va bien phap xu ly d6i voi cac t6 chirc kinh doanhclnrng khoan khong dap irng cac chi tieu an toan tai chinh;

(2) 86i voi nhfrng vAn d~ co th€ anh huang dSn tinh hinh tai chinh cua Cong ty phat sinh sau ngay l~pbao cao nay, chung toi se c~p nh~t trong kY bao cao tiSp thea;

(3) Chung toi xin hoan tofm chiu trach nhi~m tnrac Phap lu~t v~ tinh chinh xac va trung th\fc cua nQidung bao cao.~=~~

DAOTIDTHANH

K~ tmin t~1fimg~

PIDTIQTHUHA

Tr1fimg ban ki~m smitTAng Ghim dBc

6

CONG TY CO PHAN CHUNG KHoAN STANLEY BROTHERSTang 9 Toa nha TNR, S5 54A, Nguy~n Chi Thanh, Phuong Lang Thuong, Quan D5ng Da, Thanh ph5 Ha N¢i

BAo cAo TY Ll;:AN TOAN TAl CHiNH12 nam 2018

BANG TONG H<}P cAc CHi TIEU RiJI RO VA VON KHA D1}NG

T\li ngay 31 thang 12 nam 2018

TT Cac chi tieu Chi ti~tGia tr] rui ro

Nfm kha dung

1. T5ng gia tri rui ro thi tnrong pHAN IIA -

2. T5ng gia tr] rui ro thanh toan PHANIIB 327.970.554

3. T5ng gia tr] rui ro hoat d¢ng PHAN lIC 7.000.000.000

4. Tang gia tr] rui ro (4=1+2+3) PHANII 7.327.970.554

5. van kha dung PHANI 313.575.088.720

6. Ty I~van kha dung (6=5/4) 4279,15%

a N¢i, ngay 26 thang 3 nam 2019

BiJI THJ VI¥T HA.Ngu'Oil~p bi~uTang Giam dac

DAo THJ THANHK~ toan truong

7

CONG TY CO pHANCmJNG KHoAN STANLEY BROTHERSTAng9 Toa nha TNR, S6 54A, Nguy€n Chi Thanh, Phuong Lang Thuong, Quan D6ng Da, Thanh ph6 Ha NQi

BAo cAo TY LJ;: AN ToAN TAl CHINHT~ingay31thang12nam20~1~8 ~~ __ ~ ~ __ ~ .

pHAN I. BANG TiNH VON KHA Dl)NGBoonvi tinh: VND

Van kha dyng

IT N(li dungVan kha dung Khoan glam trir Khoan tang them

A. Von Chi! SO' hfru (1) (2) (3)

1.Von gop cua chu so htru khong bao gam c6 phan iru dai hoan 339.000.000.000lai (neu co)

2.Thang dir von co phan khong bao gam co phan uu dai hoanlai (neu co)

3. Co nhieu auy4. [Ouven chon chuven doi trai phieu - Cau phfut von5. Von khac cua chu s6 htru6. Chenh lech danh gia tai san thea gia tri hop Iv7. Quy dir trfr bo sunz von dieu Ie8. QUYdu ohonz tai chinh va rui ro nghiep vu9. OUYkhac thuoc von Chu so hiru10. Lui nhuan sau thue chua phan phoi 2.564.719.22911. So du du ohonz suv giarn gia tri tai san12. Chenh lech danh aia lai tai san co dinh13. Chenh lech tv gia hoi doai14. Cae khoan ncrco the ehuyen d6i

15.Toan phan giam di ho~c tang them eua cae eh(mg khoan t1;1ichi tieu d~u tu tai chinh

16. Von khac (neu co)lA Tang 341.564.719.229

B. Tai san n!fan hanI. Til; san ta; chinh 2.646.610.5841. Tien va cae khoan tuang duang tien2. Cac tai san tai ehinh gm nhan thong aua lai 16(FVTPL)

- Ch(m!!khoan tiem an rili ro thi truang- Chimg khoan bi !!iam tru kh6i von kha dung

3. Cae khoan dau tu nam giG den ngay dao han (HTM)- Chimg khoan tiem an rili ro thi truang- Chimg khoan bi giam tm kh6i von kha dung

4. Cac khoan eho vay5. Tai san tai ehinh s~n sang de ban (AFS)

- Chimg khoan ti~m an rui ro thi truang- Chimg khoan bi !!iam tru kh6i von kha dung

6.DV phong suy giam gia tri eac tai san tili ehinh va tai san theeh~D

7.Cae khoan phili thu (Phai thu ban eae tai san tai ehinh, Phaithu va dv thu cOruc, Ti~n lai ru eae tai san tai chinh)

- Cae khoan phai thu co thai h1;1nthanh toan con l1;1itu 90ngilv tr6 xu6n!!- Cac kho{m phai thu co tho; h1;1nthanh toan eon l1;1itren 90ngaV

8. Chimg auven co bao dam, chua phat hanh het

9.Ch(mg khoan ecr s6 ph\lc V\] m\le dich phOng ngira rui ro khiIphat Mnh ehimg auv~n eo bao dam

10. Phai thu cac dieh vu eong ty ehimg khoan cung eap- Cac khoan phai thu co thai h1;1Othanh toan con l1;1itu 90ngaVtr6 xu6n!!- Cae khoan phai thu co thO; h1;1nthanh toan con l1;1itren 90 189.846.364ngaV

11. Phai thu noi bo- Cac khoan phai thu eo thai h1;1Othanh toan con l1;1itil 90ngaVtr6 xu6ng- Cae khoan phai thu co thO; h1;1nthanh toan con l1;1itren 90ngily

12. Phai thu ve leiigiao dich ehimg khoan

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8

CONG TY CO PHAN CHUNG KHoAN STANLEY BROTHERST§ng 9 Toa nha 1NR, 86 54A, Nguyen Chi Thanh, Phuong Lang Thuong, Quan D6ng Da, Thanh ph6 Ha NQi

BAo cAo TY L1;:AN ToAN TAl CHINHTai ngay 31 thang 12 nam 2018 .~ " . ., '"<'''m'''''''''''' ..

+ Cac khoan phai thu co thai han thanh toan con lai nr 90nzav tro xu6ng+ Cac khoan phai thu co thai han thanh toan con lai tren 90ngily

13. Cac khoan_Qluiithu khac+ Cac khoan phai thu co thoi han thanh toan con lai tir 90naav tro xu6ng+ Cac khoan phai thu co thai han thanh toan con lai tren 90

2.456.764.220nzav (*)14. Du phonz suv aiam zia tri cac khoan_Qhiiithu11. Tai san ng&n han khdc 17.268.237.602I. Tamung

Tam irng co thai han hoan irng con lai nr17.239.178.87590 naav tro xu6ng

T(Im irng co thai han hoan irng con lai tren90ngily

2. V~t nr van phong, cong cu dung cu3. Chi phi tra tnroc nzan han 29.058.7274. Cam co, the chap, Icy- quy, ky circe ngan h(ln5. Thue GTGT du<;yckhau tm6. Thu~ vii cac khoan phai thu nhil nuac7. rai san nglin h\l11khac8. Dv ohOng suy giam gia tri tili san nglin h(ln khacIB Tilng 19.914.848.186C Hi san dili hanI Tiii san tai clrlnlr dai IranI. Cac khoan phai thu dili h(ln2. Cac khoan dau tu

Cac khoan dau tu nam giii den ~ dao h(ln (HTM)2.1 - Ch(mg khoan tiem an nli ro thi truOn_K

- Ch(mg khoan bi giam tm khoi von kha dung2.2 Dau tu vilo cong ty con2.3 Dfru tu vilo cong ty lien doanh lien k~t2.4 Dfru tu dai h(ln khac

I1 Tai san cD din" 5.273.196.299III Biit dong san dliu tlrIV Clri plr' xily dU'ngcu biin du danKV Tai san dai Irfln kluic 2.801.586.024L Cam co the chap, Icy- quy, kY euac dili han 1.351.278.5542. Chi phi tra tru6c dili han 553.660.7603. rai san thue thu nh~p hoiIn lai4. Tien noo OUYH6 tm thanh toan 896.646.7105. rai san dai han khacVI. DU'plrimg suy giam gid tri tai san dai Iran

Cae chi tieu tili san bi coi 1ftkhoan ngo(li trir, co y ki~n trainguqc ho(lc tir ch6i dua ra y ki~n t(li bao cao tili chinh nam daduqc ki8m toan, soat xet mil khong bi Hnh giam tru thea quydinh tai Di8u 5

lC Ton~ 8.074.782.323D Cae khoan ky quy, dam baoI. Gia tri kY quy

Gia tri dong gop vao quy h6 trq thanh toan clla Trung tam1.1 Luu kY chung khoan (d6i v6i thi wOng ch(mg khoan phiii

sinh)Gia tri dong gop vilo quy bu tru clla doi tac thanh toan trung

1.2 tam d6i v6i vi th~ rna Clla chinh thiinh vien bu trir (d6i v6i thitruOng ch(mg khoan phai sinh)

L3 Khoan ky quy bang tien vii gia tri bao liinh thanh tOlin cuangan hilng khi phat hanh ch(mg quy6n co bao dam

2. Gia tri tai san dam bao cho cac nghIa V1,I phai tra co thOi h(lncon lai tren 90 ngily

1D Tiln!! -VON KIIA DT)NG - lA - 1B - lC - 1D 313.575.088.720

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9

CONG TY co PHAN CHUNG KHOAN STANLEY BROTHERSTfing 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thirong, Quan D6ng Da, Thanh ph6 Ha NQi

BAO cAO TY L1;:AN TOAN TAl CHiNHTai ngay 31 thang 12 nam 2018Gh; chit:

B.I.13.

Tai san ng~n hanTai san tai chinbCac khoan phai thu khac+ Cac khoan phai thu eo thoi han thanh toan eon lai tren 90ngay (*)Baogam:Cae khodn phai thu co thai han thanh loan con lai tren 90

2.456.764.220

165.090.334nf<ayTra truac eho nguai ban 2.291.673.886

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10

CONG TY CO PHAN CHUNG KHOA.N STANLEY BROTHERST~ng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thuong, Quan D6ng Da, Thanhph6 HaNQi

BAocAo TY Le, AN TOAN TAI CHiNH12 nam 2018

pHAN II. BANGTINH GrA TRI Rin ROBoonv] tinh: VND

PHA.N ITA.mn RO THI TRUONGH~ s6 rut Quy mo riJi ro Gia tr] rul ro

Cac han muc dAu tu· ro

(1) (2) (3) = (1) x (2)

I. Ti~n va cac khoan nrong duong ti~n, cong cl} th]288.515.953.043

truong ti~n t~-

1. Ti~n mat (VND) 0% 288.515.953.043 -2. Cac khoan nronz duonz tien 0% -3. Gi~y to co gia, cong cu chuyen nhirong tren thi

-wang ti~n t~, chirng chi ti~n gi'ri

0%

ll. Trai phi~u chinh phil -4. Trai phiSu ehinh nhu khong tra Hii 0% -

5Trai phieu Chinh phu tra liii suat cuong phieu

Trai phieu ehinh phu (bao g6m cong trai va trai -phieu cong trinh dii phat hanh truce day), traiphieu Chinh phu cac mroc thuoc kh6i OECD

5.1 hoac duoc bao Hlnh Mi Chinh phu ho~e ngan 3%hang trung uong eua cae nu6e thuge kh6i nay,trai phi~u duqe phat hanh bai cae t6 ehue qu6eyS IBRD, ADB, AIDB, AFDB, EIB va EBRS

ill. Trai phi~u doanh nghiep -Trai phiSu niem ySt co thai gian dao h~n con -l~i du6i 1 nam, k~ ea trai phiSu ehuy~n d6i 8%

Trai phi~u niem ySt co thai gian dao h~n con -l~i du6i ill 1 d~n du6i 3 nam, k~ ell trai phiSu 10%

6. ehuv~n d6iTrai phiSu niem y~t co thai gian dao h~n con -l~i du6i tiI 3 dSn du6i 5 nam, k~ ea trai phiSu 15%

ehuv~n d6iTrai phiSu niem ySt co thai gian dao h~n con -l~i ill 5 nam tra len, k~ ell trai phiSu ehuy~n d6i 20%

Trai phi~u khong niem y~t co thai gian dao h~n -con l~i du6i 1 nam, k~ ea trai phi~u ehuy~n d6i 25%

Trai phi~u kh6ng niem y~t co thai gian dao h~n -con l~i du6i tiI I d~n du6i 3 nam, k~ ea trai 30%

7 Iphi~u ehuv~n d6iTrai phiSu khong niem ySt co thai gian dao h~n -con I~i du6i tiI 3 d~n du6i 5 nam, k~ ell trai 35%Iphi~u ehuv~n d6iTrai phiSu khong niem ySt co thai gian dao h~n -con I~i du6i ill 5 nam tra len, k~ ea trai phi~u 40%ehuv~n d6i

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11

CONG TY CO PHAN CHUNG KHOA.NSTANLEY BROTHERST§.ng 9 Toa nha TNR, sf>54A, Nguy€n Chi Thanh, Phuong Lang Thirong, Quan Df>ngDa, Thanhphf>HaNQi

BAo cAo TY L$ AN ToAN TAl CHiNH12 nam 2018

IV. Co ohi~u - -8 C6 phieu ph6 thong, c6 phieu uu dili cua cac t6 -

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

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

Noi.10 C6 phieu ph6 thong, c6 phieu iru dili cac cong -

ty dai chung chua niem y~t, dang IcY giao dich 20%

Iaua he thonz UoCom11 C6 phieu ph6 thong, c6 phieu uu dili cac cong -

ty dai chung dil dang IcY hru IcY, nhirng chuaniem y~t hoac dang IcY giao dich; c6 phieu 30%

dang trong dot phat hanh lim dAu (IPO)

12 C6 nhieu cua Conz tv dai chung khac 50% -V. Clnma chi QUY dAu to" chunz khoan -

l3 Quy d~i chUng, bao g6m ca cong ty d~u tu 10%-

chUnQkhoan dai chung14 Quy thanh vien, cong ty d~u tu chUng khoan 30%

-rieng Ie

VI. Chfrlll khoan bi han ch~ giao dich -15 ChUng khoan bi t~m ngimg giao dich 40% -16 50%

-ChUng khoan bi bUy niem y~t, huy giao dich

VII. Chfrng khoan Phai sinh17. Hop d6ng tuang lai chi s6 c6 phi~u 8%18. Hop d6ng tuong lai trai ohi~u chinh ohu 3%

VIII. Chu'D!!:khoan khac -

19.C6 ph~n, ph~n v6n gop va cac lo~i chUng 80%

-khoan khac

20.C6 phi~u niem y~t tren cac thi wOng nuac 25%

-ngoai thuoc chi s6 dat chu~n

21.C6 phi~u niem y~t tren cac thi wOng nUDc 100%

-ngoai khong thuoc chi s6 dat chu~

ChUng quy6n co bao dam niem y~t tren Sa giao-

22. djch ChUng khoan Thanh ph6 H6 Chi Minh8%

23.ChUng quy6n co bao dam niem y~t tren Sa giao 10%

-dich ChUng khoan Ha NoiChUng quy~n co bao dam do cong ty chUng

24. khoan phat hanh(Ro=(PoxOoxk-PlxOl)xR-MD)

ChUng khoan hinh thanh tir ho~t d9ng phOng

25.ngira rui ro cho chUng quy6n co bao dam docong ty chUng khoan dil philt Mnh (truOng hgpch(mg quy6n co bao dam khong co lili)

Ph~n chenh l~ch giua gia tri chUng khoan cO'sa26.

dimg dS phong ngira rui ro va gia tri chUngkhoan cO'sa cim thi~t dS phOng ngira rui ro chochUng auv6n co bao dam

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12

CONGTY CO PHAN CHUNG KHoAN STANLEY BROTHERSTang 9 Toa nha TNR sf, 54A, Nguy~n Chi Thanh, Phuong Lang Thirong, Quan D6ng Da, Thanhpho Ha Noi

BAo cAo TY LB AN ToAN TAICHiNH12 nam 2018

IX. Riii ro tang them (n~u co) (dut}'cxac dinlt tren co sO'v6n cltu sO'/tim dd trich l~p day du cdc khoan dlf -Iphong)

MA chung khoanMuc tang Quy rno riii ro Gili tr] riii ro

them1. .... - -2. .... - -

TONG GIA TRI mn RO TID TRU'ONG ( A= I + II + ill + IV +V +VI +VII +VIII -

1.

I

13

CONG TY CO PHAN CHUNG KHoAN STANLEY BROTHERSTfulg 9 Toa nha INR, S6 54A, Nguyen Chi Thanh, Phuong UlI1gThuong, Quan D6ng Da, Thanh ph6 Ha N(\iBAa cAo ri LEANToAN TAI cHiNHTai ngay 31 thang 12 nam 2018

PHAN rm GIA TRI RID RO THANH ToAN

TT Chi tieu Gia tr] rui ro

1. Rui ro truce thai han thanh toan 327.970.554

II. Rui ro qua thai han thanh toan -m. Rui ro tang them -

Tang gia tr] rili ro thanh toan 327.970.554

I. Riii ro tmac thOi han tbanh toanGia trj riii ro

T6ng gia trj riiiLoai hlnh giao djch 0,0% 0,8% 3,2% 4,8% 6,0% 8,0% ro

0) (2) (3) (4) (5) (6)I. Tien giri co ky han, cac khoan ti~n cho vay - - - - 327.970.554 - 327.970.554

kh6ng co tai san bao dam, cac khoan phai thu tirhoat dong giao dich va nghiep V\1kinh doanhclurng khoan vii cac khoan m\1Ctiem An rui rothanh toan I<h:\~.

2. Cho vay tai san tai chinh/Cac thoa thuan kinh t8 - - - - - - -co cuna ban chAt

3. Yay tai san tili chinh/Cac thea tbu~n kinb t~ co - - - - - - -cung ban chAt

4. HQ'pd6ngmua tai san tai chinh co cam k8t ban - - - - - - -lai/Cac thoa thuan kinh t8 co cung bimcbAt

5. Hgp d6ng ban tili san tai chinb co cam k8tmua - - - - - - -Il.Ii/Cactboa thu~nkinh tSco cimg ban chAt

TONG RUI RO TRU'OC THOi HAN THANH TOAN 327.970.554

Chi ti~th~s6 rili ro thanh toan thea d6i tac duQ'cxac dinh nhlI sau:D6i tac thanh toan cho Cilng ty He sa riii ro thanh toan

Chinh phti, cac t6 chuc phat hilnhduQ'CChinh phti bao lanh, Chinh phu viiNgan himgTrung lIang cac nuac thuoc(I) kh6i OECD; Uy ban nhan dan tinh, thilnhph6 tn,rcthuoc Trung lIang;

0%

(2) Sa giao dich ch(rugkhoan, Trung tam IlIukY chirng khmin0,80%

T6 chuc tin d\1ng,t6 chuc tili chinh, t6 ciluc kinh doanh chung khoan tMnh I~pa cac nlIac thuoc kh6i OECD vii

(3) co h~s6 tin nhi~mdap ung cac di€u ki~nkhac thea quy dinh noi bo cua t6 chuc kinh doanh chung kho{m

3,20%T6 chuc tin d\1ng,t6 chuc tili chinh, 16chuc kinh doanh chung khoan thanh I~pngoilicac nuac OECD; ho~c thanh

(4) I~ptl.licac nuac thuoc kh6i OECD vii kh6ng dap ung cac di~u ki~nkhac thea quy dinh noi bo ciia Cilng ty4,80%

(5) T6 chuc tin d\1ng,t6 chuc tili chinh, t6 chuc kinh doanh chung khoan tMnh I~pva hOl.ltdong tl.liVi~tNam6%

_@_ Cac t6 chuc ca nhan khac 8%

II. Riii ro qua thOi ban tbanb toan -ThO; gian qua hl.ln He s6 riii ro OUymil riii ro Gia tri riii ro

I. 0- 15ngilysau thai hl.lnthanh toan, chuy~ngiao chung 16% - -khoan

2. 16- 30 ngilysau thai han thanh toan chuy~ngiao chung 32% - -3. 31 - 60 ngilysau thai han thanh toan chuv~ngiao chum! 48% - -4. Tir 60 ngilytra len 100% - -

TONG RUI RO QUA THOi HAN THANH TOAN -m. Riii ro tang them

Chi liit tm tirng khoan vay, tm tirng d6i tac Mirc tang them Quy mil riii ro Gia trj riii ro

- -TONG RUI RO TANG THEM -

r

14

CONG TY co PHAN CHUNG KHoAN STANLEY BROTHERST§ng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thirong, Quan D6ng Da, Thanh ph6 Ha NQiBAo cAo rf L1;: AN ToAN TAl CHINHT~i ngay 31 thang 12 nam 2018

PHA.N IIC GIA TRI amRO HOAT DQNG

TT NQidung Gia tr]

I. TAng chi phi hoat (f(ing phat sinh trong vong 12 thaug 11.936.432.905Cac khoan giaDi trir t8ng chi phi 720.918.7571. Chi phi khau hao 720.918.7572. Chi phil Hoan nhap d" phong suy giam gia trj cac tai san tai chinh va tal san the -

II. 3. Chi phil Hoan nhap du phong suy giam gia tr] cac tai san tai chinh dai han -4. Chi phil Hoan nh?p du phong suy giam gia tr] cac khoan phai thu -5. Chi phil Hoan nhap d" phong suy giarn gia trj tai san ngan han khac -6. Chi phil Hoan nhap du phong suy giam gia tr] tai san dai han -

III. T8ng chi phi sau khi giam tri r (III = I - II) 11.215.514.148IV. 25%T8ng chi phi sao khi giam trir (IV = 25% III) 2.803.878.537V. 20% Van phap djnh ciia tAchuc kinh doanh chung khoan 7.000.000.000

TONG GIA TRJ RlJI RO HOAT DQNG (MAX{IV,V)) 7.000.000.000

1

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15

CONG TY CO PHAN CHUNG KHoAN STANLEY BROTHERSTAng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thirong, Quan Dong Da, Thanh ph6 HaNoiBAo cAo TY Ll';: AN ToAN TAl cHiNHT~i ngay 31 thang 12 nam 2018

I.

1.

BAN THUYET MINH BAo cAo TY L:¢ AN ToAN TAl CHiNHT~i ngay 31 thing 12 nam 2018

DIEM HO~T DQNG eVA eONG TY

Hinh tlnrc sir biru vanCong ty C6 phan Chung khoan Stanley Brothers ten cfi la C6 phAnChirng khoan Toan cAu duccthanh l~p va hoat dong thea Quyet dinh s6 83/UBCK-GP ngay 16 thang 01 narn 2008 do Uy banChung khoan Nha mroc cAp.

Trong qua trinh hoat a9ng, Cong ty ail dare Uy ban Chung khodn Nha narc cdp cdc Quyit ainhthay a6i nhu sau:

Quyet djnh s6 30IUBCK-GP ngay 16 thang 01 nam 2009, chuAn y viec b6 sung Phong Giaodich Nguyen Cong Tnr tai S6 111 Nguyen Cong Tnr, Phuong Nguy~n Thai Blnh, 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 sachinh nr TAng 5 va 6 Toa nha 1015 TrAn Hung D~o, Phuang 5, Qu~ 5, Thanh ph6 H6 ChiMinh vS dia chi S6 79 Nguy~n Cong Tm, Phuang Nguy~n Thai Binh, Qu~n 1, Thanh ph6 H6Chi Minh.

Quy~t dinh s6 932/QD-UBCK ngay 16 thang 11 nam 2010, chuAn y vi~c chAm d(rt ho~t dongcua Phong Giao dich Nguy~n Cong Tru.

Quy~t dinh s6 15/GPDC-UBCK ngay 5 thang 4 nam 2013, chuftn y vi~c chuySn d6i trl,l sa chinhtir S6 79 Nguy~n Cong Tru, Phuang Nguy~n Thai Binh, Qu~n 1, Thanh ph6 H6 Chi Minh vSdia chi TAng 4A & 9, Toa nha s6 85 Nguy~n Hii'u cAu, Phuang Tan Dinh, Qu~n 1, Thanh ph6H6 Chi Minh.

Quy~t dinh s6 lI/GPDC-UBCK ngay 29 thang 3 nam 2017, chuAn y vi~c thay d6i nguai d~idi~n thea phap lu~t la ba Nguy~n Thi Anh, Chu tich HDQT va chuAn y vi~c chuySn d6i trl,l sachinh tir TAng 4A & 9, Toa nba s6 85 Nguy~n Hiiu cAu, Phuang Tan Dinh, Qu~n 1, Thanh ph6H6 Chi Minh vS TAng 15- Toa nha Diamond Flower dia chi s6 1 duong Hoang D~o Thuy (LoCl Khu Do thi mai Trung Hoa Nhan Chinh), Phuang Nhan Chinh, Qu~ Thanh Xuan, Thanhph6 Ha NQi.

Quy~t dinh s6 29/GPDC-UBCK ngay 19 thang 7 nam 2017, chuAn y vi~c chuySn d6i trl,l sachinh tir TAng 15- Toa nha Diamond Flower dia chi s6 1 duang Hoang D~o Thuy (Lo Cl KhuDo thi mai Trung Hoa Nhan Chinh), Phuang Nhan Chinh, Qu~ Thanh Xuan, Thanh ph6 HaNQi d~n TAng 15 - Toa nha Diamond Flower dia chi s6 48 Duang Le Van Luong, Khu Do thimai N2, Phuang Nhan Chinh, Qu~n Thanh Xuan, Thanh ph6 Ha NQi;

Quy~t dinh s6 79/GPDC-UBCK ngay 02 thang 10 nam 2018, chuAn y vi~c thay d6i nguai d~idi~n thea phap lu~t la ong Nguy~n Th~ Minh, T6ng Giam d6c;

Quy~t dinh s6 108/GPDC-UBCK ngay 27 thang 12 nam 2018, chuAn y vi~c thay d6i nguai d~idi~n thea phap lu~t la ong Ph~m Dang Truang, T6ng Giam d6c.

Bim Thuyit minh nay la m9t b9 ph4n h(IJJthanh va aU(Jcarc cimg v6i Bao cao tY I? an loan tai chinh kem theo

16

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.::

CONG TY CO PHAN CHUNG KHoAN STANLEY BROTHERSTAng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong Lang Thirong, Quan Dong Da, Thanh ph6 HaN<)iBAo cAo TV LB AN ToAN TAl CHiNHT~i ngay 31 thang 12 nam 2018

~~~nThuI.~!~.in~~~~~~ca0!t I~ an t~im tii chinh (ti~p theo)

• V6n phap dlnh

• VBn di~u I~

Try SO'hoat dQng

Dia chi

: 35.000.000.000 VND

: 35.000.000.000 VND

: TAng 9 Toa nha TNR, S6 54A, Nguyen Chi Thanh, Phuong LangThirong, Quan D6ng Da, Thanh ph6 Ha Noi: (84-04) 3377 6699: (84-024) 222 3070:0305453780

Di~n thoaiFaxMa s6 thue

2. Nganh, ngh~ kinh doanh

Moi gioi chirng khoan; Tir v~n dAutu clumg khoan.

3. Nhan vien

S61UQ'llgnhan vien cua Cong ty tai ngay 31 thang 12 nam 2018 la 28 nguoi (tai ngay 31 thang 12nam 2017: 22 nguoi).

II. CO SOL~ BAo cAo TY L¢ AN TOAN TAl cntxn VA MVC ntcn SUDl)NG

Bao cao tY 1~an toan tai chinh tai ngay 31 thang 12 nam 2018 duoc l~p va trinh bay phil h9P voihuong dan tai Thong tir s6 8712017/TT-BTC ngay 15 thang 8 nam 2017 cua B<)Tai chinh quy dinhv~ chi tieu an toan tai chinh va bi~n phap xu ly d6i v&i cae t6 chuc kinh doanh chUng khoan khongdap ung cac chi tieu an toan tai chinh. Bao cao nay chi duQ'c su d\mg d~ n<)pcho cac co quan quanly Nba nu&c co thAm quy~n.

Bao cao nay duQ'c l~p cM y~u tren co sa s6 li~u Bao cao tai chinh cho Icy k~ toan nam k~t tMcngay 31 thang 12 nam 2018 dft duQ'c ki~m toan bCJ'it6 chuc ki~m toano

Thanh ph6 Ha N<)i,ngay 26 thang 3 nam 2019

BUI THI VIET HANgum lip bi~u

DAO THI THANHK~ toan truO'ng

Blm Thuyit minh nay fa mt51bt5ph(ln h9]JthQnh va du9'c doc cimg wli BilO cao tY f¢ an loan tai chinh kbn thea

17