QUY ETF SSIAM VNFIN LEAD

CQNG HOA xA HQI CHU NGHiA VI:t::TNAM

DQc l~p - Tl! do - Hanh phucTHE SOCIALIST REPUBLIC OF VIETNAM

Independence - Freedom - Happiness

S6/No·0!5512021/TB-SSIAM-NVQ Hd N(ji, ngdy 26 thang 03 ndm 2021Ha Noi, 26 March 2021

CONG BO THONG TINTREN CONG THONG TIN DI:E:NTVCUAUYBANCHUNGKHOANNHA

NUaC vA SGDCK TP.HCM

DISCLOSURE OF INFORMATION ONTHE STATE SECURITIES

COMMISION'S PORTAL ANDHOCHIMINH CITY STOCKEXCHANGE'S PORTAL

Kinh guil To: - S6 Giao dich chirng khoan TP.HCMI Ho Chi Minh City StockExchange

- Ten CTQLQI Name of Fund Management Company: Cong Ty TNHH Quan Ly QuySSI

- Ten t6 chirc 1Organization name: Quy ETF SSIAM VNFIN LEAD

- Ma clurng khoan/ Security Symbol: FUESSVFL

- Dia chi tru so chinh/ Address: T~ng 5, 1C Ngo Quyen, Quan Hoan Kiem, Ha NQi

- Dien thoai/ Telephone: 0243.9366321

- Fax: 0243.9366337

- Nguoi thirc hien cong b6 thong tinl Published by: Ba To Thuy Linh

- Chirc vv/ Position: Pho T6ng Giam D6cl COO

Loai thong tin cong b6: 0 dinh ky 0 b~tthuong 0 24h 0 thea yeu du

Information disclosure type: 0 Periodic 0 Irregular 0 24 hoursO On demand

NQi dung thong tin cong b6 (*)1 Content of Information disclosure (*):

Bao cao t6ng k~t heat dong cua Cong ty quan ly quy cho Quy ETF SSIAM VNFIN

LEAD nam 20201 Operational report of SSIAM VNFIN LEAD ETF 2020

Thong tin nay da duoc cong b6 tren trang thong tin dien nr cua Cong tyIQuy van ngay

26/03/2021 tai duong d~n : https:llwww.ssLcom.vnlssiam/san-pham-va-dich-vu-ssiam.

This information was disclosed on Company/Fund's Portal on 26 March 2021 at:

https://www.ssi.com.vn/ssiam/san-pham-va-dich-vu-ssiam.

Toi cam k~t cac thong tin cong b6 tren day la dung SIJ th~t va hoan toan chiu trach nhiem

truce phap luat v~ noi dung cac thong tin d~ cong b6./

I declare that all information provided in this paper is true and accurate,' 1 shall be

legally responsiblefor any mispresentation.

NgU'O'icfmg b& thong tin ~PublisherTai lieu dlnh kern/

Attachment:Bao cao tong kit hoat tl9ng cuaCong ty quan ly quy cho Quy ETFSSIAM VNFIN LEAD niim 2020Operational report of SSIAMVNFIN LEAD ETF 2020

2

~t5- ~A:4? ;:gird~"..? " ",'

PHO TONG GIAM DOC

CONG TV TNHH QUAN LY QUY 551 CQNG HOA xA HOI CHU NGHiA VII;T NAMDQc I~p - T....do - Hanh phuc

Ha NQi.ngay 26 tMng 03 nem 2021

sAo cAo TONG K~T HO~T DQNG QUAN LY QUY

Nam 2020

Kfnh gCYi:Oy ban ChCrngkhoan Nha nuoc1. Thong tin v~ quy

a) Ten cua Quy: QUY ETF SSIAM VNFIN LEAD ("Qu9")

l.oai hlnh quy: Quy hoan doi danh muc

b) Muc tieu dau tu cua Quy:

Muc tieu dau tu cua Quy la hU'&ngt&i dat hieu qua dau tu bam satmuc sinh lai thuc te cua Chi soVNFINLEAD trong tM ca cac giai dean.

c) Thai han heat dOngcua Quy: khong gioi nan

d) Danh muc tham chieu (benchmark portfolio): Danh rnucchi so VNFIN LEAD

Ma co phieu va ty trQngcua FUESSVFL tal ngay 31/12/2020 nhu sau:

50thwtU' Mi ca phieu Ty trong (%)1 BID 1.71%2 CTG 13.27%3 EIB 1.89%4 HCM 0.65%5 HDB 5.38%6 MBB 15.42%7 SSI 3.22%8 STB 12.38%9 TCB 16.62%10 VCB 13.29%11 VPB 15.80%

e) Chinh sach phan chia IO'inhuan:

• Quy chi tra IO'itLYCquy bao dam nguyen tac:

o Phu hop voi chinh sach pnan chia IO'inhuan quy djnh tai f)ieu L$ Quy;

o Thl,fc hien sau khi Quy da hoc:mthanh nghia Vl,J thue va cac nghia Vl,J tai chfnh khac theo quy djnhcua pMp lu~t va trfch I~p day du cac quy theo quy djnh t<;lif)ieu LeQuy (neu c6);

o Sau khi chi tra, Quy van phai bao dam c6 nguon von d~ thanh toan au cac khoim nO',nghia Vl,J taisan kMc den hi;lnva bao dam gia tri tai san rang khOngthap hO'nnam mU'O'i(50) ty VND;

• TrU'ang hO'pphan phoi IO'itLYCbang chCrngchI quy, Quy phai c6 du nguon von doi LYngtLf IO'inhu~nsau thue chU'aphan phoi can ccrtren bao cao tai chinh ky gan nhat da dU'O'cki~m toan hoac soat xet.

• Hlnh thLYCpMn chia lQ'inhu~n co th~ bang tien hOacbang chCrngchI quy.

• Viee phan chia iO'inhu~n eua Quy dU'O'cthl,/'chien tren cO'sa de xuat cua Cong Ty Quim Ly Quy vaphai aU'O'cf)<;IiHOiNha f)~1UTU'hoac Ban f)i;li Dien Quy (neu dU'O'cuy quyen) chap thu~n.

• NM Dau TU' co ten trong Danh sach Nha Dfw TU' tai Ngay Giao dich dU'OOccOng bo b&i COng Ty OuanLy Quy cho vlec phan chia Iooinhuan ("Ngay Chot Danh Sach") dU'ooccoi la dLl dieu kien de nhan Iooinhuan dU'oocphan chiao TrU'6'ng hoopNM Dau TU' da chuyen nhU'oongso dan vi quy cua minh giCPathoi diem Ngay Ch6t Danh Sach va ngay chi tra thl ngU'6'i chuyen nhuonq ta ngU'6'i duoc nhan Iooinhuan.

f) s6 lU'oongdan vi quy dang lU'u hanh:T6ng 56 chCmg chi Quy tai nqay 24/02/2020 (*)

Tong 56 lU'oongcherng quy phat hanf them trong ky

Tong so lU'oongchung quy mua lal trong ky

Tong 56 lU'oongchung chi quy tai ngay 31/12/2020

26.200.000 ccq

69.700.000 ccq

(14.600.000) ccq

81.300.000 ccq

(*) Ngay Quy Olf()'COy Ban Ch&ng Khoan NM Nooc cllp gilly chUng nh~n I~p quy so 421GCN-UBCK

g) N¢i dung thay doi t<;1iDieu Ie quy trong ky bao cao (neu co): khOng thay doi

h) N¢i dung Nghi quyet D<;1ihOi nha dau tU' trong ky bao cao (neu co): vui long xem Nghi quyet D<;1ihOi Nhadau tU' thU'ang nien nam 2020 theo dU'6'ng link sau:

https: IIwww.ssi.com.vn/ssia mlcong-bo-thong- tin-v nfin-Iead-cbtt -ch i-tiet/ co ng-bo-tho ng-tin -ng hi-q uyet -va­bien-ban-hop-dai-hoi-nha-dau-tu-lan-dau-nam-2020-cua-quy-etf-ssiam-vnfin-lead-ngay-0532020

i) Y kien nh$n xet cLla ngan hang giam sat ve cac n¢i dung quy dinh t<;1iThOng tU' hU'cyngd~n ve hO<;1tdOngva quan Iy cac quy dau tU' chung khoan: Trong ky bao cao, COng ty TNHH Quan Iy Quy SSI da tuan thLltheo cac n¢i dung quy dinh t<;1idieu 45, ThOng tU' s6 229/20121TT-BTC ngay 27 thang 12 nam 2012 hU'cyngdan thanh I~p va quan Iy quy ETF ve Che d¢ bao cao, lU'u trCPho So', va quan Iy thOng tin.

2. Bao eao v6 k~t qua hOCiltdQng eua Quy

a) ThOng tin ve danh ml,lCdau tU' va gia tri tai san rang cLla Quy t<;1ith6'i diem 31/12 cLla 3 nam gan nh~t:

Quy dU'ooc Uy Ban Chung Khoan nha nU'cyc c~p gi~y chung nh$n I$p quy so 42/GCN-UBCK ngay24/02/2020.- Danh ml,lCdau tU'cLla Quy phan b6 theo nganh, linh Vl,J'Cva 10<;1isan pham (co phieu, trai phieu ...) (%NAV)t<;1ingay 31/21/2020:

Phin b6 theo IOCilisan pham:

LOCilitai san 31/12/2020

Co phieu 99,74%

Tien va tU'O'ngdU'O'ngtien 0,26%

Tong 100%

Phan bo thea ngimh:

Tiltn va tllcmg <'U'O'ng tittn I 0.26%COng ty ch(mg khoan 3.87%

NgAn hang TM thu¢Csa hcru Nh!'I nooo 28.30%

Ngfm hilng TM

0.00% 10.00% 20.00% 30.00% 40.00% 50.00% GO.OO% 70.00% SO.OO%

Chi tieu 3111212020

2.1.Gia tri tai san rang cua Quy 1.102.369.097.512

2.2.T6ng so chvnq chi quy dang luu hanh 81.300.000

2.3.Gia tr] tai san rang cua mot dan vi Chling chi quy (CCQ) 13.559,27

2.4.Gia tri tai san rang cao nhat cua 1dan vi CCQ trong ky oao cao 13.559,27

2.5.Gia tri tai san rang thap nhat cua 1 dan vi CCQ trong ky bao cao 6.890,75

2.6.Gia cuoi ngay cua 1 dan vi CCQ tai ngay bao cao 13.650

2.7.Gia cuoi ngay cao nhat cua 1 dan vi CCQ trong ky bao cao 13.650

2.8.Gia cuoi ngay thap nhat cua 1 dan vi CCQ trong ky bao cao 7.770

2.9.T6ng t~ng trU'ong (%)/1 dan vi CCQ Kh6ng ap dl,mg

2.10.TY 1$chi phi heat dong cua Quy (%) 0,99%

2.11.Toc dOvonq quay danh rnuc (%) 18,39%

- T6ng lQ'inhuan cua Quy, neu chi ti~t phan lQ'inhuan thu dU'O'ctLi'51)' tang trU'onggia ch(mg khoan (gia trilai von) va phan 100inhu~n thu dU'Q'ctLi'lQ'itlic chling khoan (ca tlic, trai tlic, lai suat tien gtii ... ) (gia tri thuhn ~;D.:

Chi tieu S6 ti6n (VND)

2.12. Lai do danh gia cac khoan dau tU'chU'athl)'c hi$n 304.786.376.847-

2.13. LQ'inhu~n thu dU'Q'ctLi'lQ'itlic chling khoan (co tlic, trai tlic, lai suat tien 4.581.954.572gtii ...)

2.14. LQ'inhu~n thu dU'Q'ctLi'Mn co phi€!u 20.307.372.603

2.15. Tong chi phi (5.281.825.561)

T6ng cQng 324.393.878.461

-«~I ~ACH HIQUAN

~~

- LO'i nhuan da phan phoi tren mOt don vi quy (qia tri thuan va qia tri gOp) trong ky bao cao, ke ca trongtrU'ang hop chi tra bang ti~n mat hoac chi tra bang don vi quy; Thai diem phan chia 100inhuan: Gia tri taisan rang tren mot don vi quy truce va sau thai diem phan chia 100innuan: Quy khOng thvc hien phan chia100inhu~n trong kyo

_ Thong tin ve cac khoan vay no, cac hanq muc thanh toan tra sau cua Quy (neu c6), cac giao dicnrepo/reverse repo: khOng c6

b) Chi tieu ve 100inhu~n cua Quy:

Tong 100inhuan blnh quan narn cua Quy phat sinh trong ky bao cao xac dinh:

(i) Trong thai han 12 thanq (01 narn), tlnh t&i nqay tap bao cao (hoac tinh tlf thai diem lap quy toi nqay baocao neu quy hoat dong dU'&i 1 nam): 324.393.878.461 VND

(ii) Trong thai hQn 36 tMng (03 nam), trnh t&i ngay I~p bao cao (hoi;lc trnh tlf thai diem I~p quy t&i ngaybao cao neu quy hoQt dong dU'&i 3 nam): khong ap dl,lng

(iii) Trong thai hQn 60 thang (05 nam), tfnh t&i ngay I~p bao cao (hoi;lc trnh tlf thai diem I~p quy t&i ngaybao cao neu quy hoQt dong dU'&i 05 nam): khong ap dl,lng

c) Cac chi ti~u so sanh khac, bao dam tuan thLl nguy~n tck

_PhU'O'ngthlic, nguy~n t~c xac dinh gia tri tai san, gia tri 100inhu~n la thOng nhat, da dU'O'ccOng bo va dU'O'Ctham dinh bai mot to chlic dOc I~p kMc: nguyen t~c xac dinh gia tri tai san cLla Quy dU'O'cquy dinh chi tiettrong 8i~u Ie Quy va so tay dinh gia cLla Quy.

_ DCI'li~u dU'O'ccung cap bai mot t6 chlic dOc I~p: Bao gia chling khoan dU'O'ccung cap bai 2 COng tyChling khoan dOc I~p cLla Quy va dU'O'cBan 8Qi dien pM duy~t hang nam.

d) Bao cao phai neu ro khuyen cao rang cac thOng tin ve ket qua hOGltdOng cLla Quy trU'&c day chi mangtinh tham khao va khOng c6 nghia la vi~c dau tU' SEl bao dam kha nang sinh lai cho nM dau tU'.

3. Bao cao ve ho~td¢ng quan Iy tai san cLla Cong ty quan Iy quyBao cao ve hoQt dOng quan Iy tai san cLla Cong ty quan Iy quy phai bao gom cac noi dung sau:

a) Thuyet minh ve vi~c thay doi COng ty quan Iy quy (neu c6): khong c6

b) Thuyet minh ve viec quy c6 dGltdU'O'cml,lC tieu dau tU' (thuyet minh nay chi can thiet tQi bao cao hangnam cLla Quy): Chenh lech so v&i chi so tham chieu (Tracking error/TEl trong ky bao cao cLla chling chiquy (CCQ) luon khong vU'O'tmlic 0,74% dQt tieu chi dau tU' cLla Quy.

c) So sanh ket qua 100inhu~n cLla Quy v&i ket qua 100inhu~n cLla danh ml,lCtham chieu, chi 56 cO'sa cOngbe tQi Ban cao bQch trong cung ky bao cao (bang do thi):

-VNFIN LEADIndex - ETFSSlAMVNFINLEAD150140

1301201101009080,06050

d) So sanh ket qua 100inhu~n cLla Quy v&i ket qua 100inhu~n cLla danh ml,lc tham chieu, chi so CO' sa congbe tQi Ban cao bQch trong khoang thai gian 05 nam gan nhat, tinh t&i ngay bao cao (bang do thi): Quy

dU'oocOy Ban ChLYng Khoan nha nuoc cap giay chLYng nhan tap quy so 42/GCN-UBCK ngay 24/02/2020,vi vf)y chua c6 so lieu trong khoanq 05 narn gan nhat.

e) MO ta chien lU'ooc,chien thuat dau tU' rna quy df! SLYdunq trong ky bao cao. TrU'6'ng hoopco Sl,I' khac bietgilia chien 1U'Q'c,chien thuat dau tu thuc hien trong ky so v&i chien 1U'Q'c,chien thuat dau tU' df! cOng bo taiBan cao bach, thl phai bo sung thuyet minh va danh gia U'U,nhuoc diem cua chien lU'ooc,chien thuat dautu df! thuc hien trong ky:

Trong ky bao cao, Quy theo duoi chien luoc dau tu thu dOng v¢i rnuc tieu bam sat ty Ie lQ'inhuan cua Chiso VNFIN LEAD va khOng chu dong Il,I'achon co phieu dua tren cac nhan dinh v~ tinh hinh kinh tEt!vi mO,phan tich nganh va phan tich cOng ty. Quy dau tU' 50/50 co phieu trong danh ml,JCro VNFIN LEAD voi tytrong tU'ang LYngnh~m bam sat ty Ie sinh l6'i cua chi so VNFIN LEAD.

f) MO ta Sl,l'khac bi$t ve cO' cau danh ml,JCdau tU' cua Quy t<;lith6'i diem bao cao, so v&i danh ml,JCdau tU'cua Ouy nam lien ke nam bao cao: Do quy hO<;ltdong dU'&i 1 nam nen chU'a c6 so sanh Sl,l'kh,!lc biet sov&i nam lien ke tmcYc d6.

g) Phan tich ket qua hO<;ltdong cua Ouy dl,l'a tren viec so sanh gia tri tai san rang tren mOt dan vi quy (saukhi da dieu chinh phan 100inhu$n df! phan phoi, nEt!uc6) t<;liky bao cao nay t<;liky bao cao gan nhat:

Gia tri tai san rang tren 1 dan vi quy t<;lingay 31/12/2020 cua Quy ETF SSIAM VNFIN LEAD la 13,559.27dong tang khoang 35.59% so voi 9ia tri tai ~an rang tren 1 dan vi quy tfnh t<;lingay ket thuc g6p v6n1% 1/2020, cung th6'i gian d6 chi so tham chieu tang tU'O'ngLYng36.15%.

h) 8anh gia bien dong cUa cac thi trU'6'ng trong ky bao cao, ke ca thi trU'6'ng nU'oc ngoai, ma quy dau tU'vao, thOng tin ve lQ'i nhu$n dau tU' doi voi tCmg 10<;litai san: co phieu, co phiEWblue-chips, co phieu caccOng ty c6 mLYcvon h6a thap (small- cap):

Nam 2020, Sl,l' bung phat cua dich COVID da day nen kinh te the gioi vao giai dO<;lnsuy thoai m<;lnhmenhat ke tl1 sau khung hoang tai chinh toan cau 2007 - 2009. Tang trU'ang kinh te t<;lihau het cac quoc giadeu c6 Sl,l'Sl,Jtgiam m<;lnhso v&i cung ky, di;lc bi$t t<;liQ1 va Q2/2020 (th6'i diem dinh dich). Tuy nhien, nh6'djch b$nh dlm dU'Q'ckiem soat va tac dong Uch Cl,l'Ccua vi$c noi long chinh sach tai kh6a, tien te, da phl,JChoi kinh te da bM dau tra l<;Iitl1 03/2020 va dU'Q'Cdl,l' ph6ng se tiep tl,JCkeo dai qua nam 2021.

Nen kinh te Viet Nam khOng n~m ngoai xu hU'ong tren. Nen kinh te chiu tac dOng nang ne nhat trong02/2020 khi chinh phu chi d<;lothl,l'c hien gian cach xa hoi 3 tuan dau thang 4 nhU'ng da nhanh chong phl,Jchoi tl1 Q3/2020 sau khi cac bien phap cach Iy dU'Q'cthl,l'c hien c6 chon loc han. So v&i cac qu6c gia trongkhu vl,l'C,Viet Nam la qu6c gia di dau trong cOng tac kiem soat dich benh va tang trU'ang kinh teo Ket thucnam 2020, toc do tang tmang GDP d<;lt2.91%, cao han nhiew so voi Thai Lan (-7.7%), Malaysia (-6%),Singapore (-5.4%), Phillipines (-9.5%), Trung Qu6c (2.3%), Han Qu6c (-1.88%) ...

(

-G~~L)

STang trU'ongGOP Vi~tNam

-Tang trlPcYngGOP ----- Nong, Uim va NglPnghi~p

-- Cong nghi~p va Xay dl,mg -- Oich VI,J

12.0010.00

8.00 r_===",_~:::::::=~~::::::~~-"_-"",",6.00 to>4.00 ,'- ..2.00 ',-- ...._-"" , ...----- ...._ .....

\ ....O.00 +-r--r---.-----.-'\'n-,~..:.,...._,___.___.___r_.,.___,r__r___r___,___,__.__..__~'___,._____.__,

\'-2.00

~~~~wwww~~~~wwwwmmmmoooo,....-r-_'f"""',....,....,....,....,....,....,.... ..... ,....,.....,....,....,...._,....,....NNNNc~3nc~3tc~~nC~3UC~3~c~3~~~'O~~'O~~'O~~'O~~'O~~'O

Nguon: SSI

Chat 1U'Q'ngtang trU'6ongcQng tU'O'ngon djnh th~ hien & cac chi tieu lam phat thap, ty gia hoi doai on dinh,mat b~ng lei suat thap, XNK tang va dl,!' trfr ngoc;iihoi tang ...8~c biet narn 2020, dau tu cong tr60thanh di~msang, dong gop vao tang trU'6ongkinh t~ khi 1U'Q'ngvon giai ngan ghi nhan 51,!' gia tang mann so vai cunqkyo Cl,Jthe, lam phat dU'Q'Cki~m soat tot, CPI ca nam 2020 tang 3.23%. Xuat khau uoc tinh tang tm60ng6,5% vai rnuc xuat sleu ky luc 19,1 ty USO. Tin dunq tang trU'6ong- 11%, lei suat tien gl'Joiqiarn ky luc 2-3di~m % tal tat ca cac ky nan. Giai nqan dau tU' cOng dat 164,73 nghin tY dong, + 34,5% YoY.

GDP Q4/2020 tang 4,5% so vai cunq ky, theo nhan dinh cua chunq tOi, la mot tin hieu rat tich cue. N~uduy trl dU'Q'cco the tao oa cho narn 2021 dat rnuc tang tm60ng GOP hi 6.5% - 7% dl,!'a tren nen so sanhthap nam 2020.

Gia triXNK hang h6a M?t bang fiii sullt ky h9n 6-9 thang

- xuau (nh~p) sillu -- XuAt khau - - - -. Nh~p khau8.0

4.5 JI

4.0 Jl3. 5 -----,--~

--4 NHTMCPNN- - - - NhomNHTI.ICPIcYn-Nh6m NHTf,'CPkhac

20000

15000

10000-1000

5000 -2000

o +-,..-,,...--,.--r--r---.---.--.--..,..-.--.-,---.---..---r--r-.-+-3000

600050004000300020001000

6.5

6.0 t----- _----::: ~

30000

25000

Tong dflu tU'toan xii hOi

50

40

30

20

10

0

-10

-20

-30L() L() L() L() «) «) «) «)~ ..-- ~ ~ ~ ~c c5.

, , C .!. , 13:; u a. :;III « --, 0 III « --, 0--, --,

-Tong'V8T pMt trien toan XH--V8T thu¢c NSNN----. V8T cua ONNN--V8T cua dan CU'va tU' nhan

,,---

....,..._----, ... ...'- .......

r-- r-- r-- r-- 00 00 00 00 OJ OJ OJ OJ 0 0 0 0~ ~ ~ ~ ~ ~ ~ ..-- ..-- N N ~ N,c5.

, , c c5., 13 c .!. , , C .!. 13c :; U :; :; UIII III III a. III a. :::J

-, « -, 0 -, « -, 0 -, « -, 0 -, « -, 0

Ngu6n: SSI

LQ'i nhuan dau tU' dbi vai cac loal till san:

Lai/(16) theo tal san Lai/(16) da thl,l'c hi~n Lai/(16) chua thl,l'c hi~n

Co phieu 20.307.372.603 304.786.376.847

Trang ci6:

V6n h6a Ian 20.253.262.204 283.976.495.046

V6nh6a voe 54.110.399 20.809.881.801

V6nh6a nho - -

i) Thong tin v~ viec chia, tach dan vi quy trang ky (neu c6); anh hll'cYngcua viec chia tach dan vi quy va giatri tai san rang tren tl)ng dan vi quy (truoc va sau khi chia, tach): khong co

k) Cac trll'cynghO'Pco anh hll'cYngtoi quyen 100icua nha dau tu narn gi(i cherngchl quy: khong co

I) Thong tin ve cac giao dich v&i ngll'CYico quyen 100ilien quan (neu co): khong c6

m) Cac thOngtin khac (neu co).

4. Bao cao v6 hoat dQng giam sat cua ngan hilng giam sat

Ngtm hang giam sat phai dll'a ray kien v~ su tuan thu quy dinh phap luat, quy dinh t<;liBiEWIe quy, Bancao b<;lchcua Cong ty quan 1'1quy trong qua trinh VanMnh va quan 1'1quy doi vai cac noi dung sau:

a) Thuyet minh v~ viec thay doi ngan hang giam sat (neu c6): Trong ky ke toan tl) ngay 24 thang 02 nam2020 den ngay 31 thang 12 nam 2020, Quy kh6ng thay doi Ngan hang giam sat.

b) Vi$c dau tll' tuan thLlcac h<;lnche ve dau tll', h<;lnche ve vay theo quy dinh phap IU$t,quy dinh t<;liBi~uIe quy, Ban cao b<;lch:Trong qua trinh giam sa! hO<;ltdong dau tll' va cac giao dich tai san clla Quy cho kyke toan tLl'ngay 24 thang 02 nam 2020 den ngay 31 tMng 12 nam 2020, Quy da tUc3nthLlcac gi&i h<;lnv~h<;lnmlic dau tll' dll'O'cquy dinh t<;liBi~u IeQuy, Ban cao b<;lchclla Quy va cac van ban pMp IU$tlien quant&i quy hoan d6i danh ml,lc. Tfnh den ngay 31 thang 12 nam 2020, danh ml,lCco phieu niem yet cLlaQuyla 1.099.462.691.450 dong, chiem 99,63% t6ng gia tri tai san cLlaQuy. Ti~n gl}i cLlaQuy t<;liNgan hanggiam sat la 2.424.811 026 dong va 1.650.277.500 dong la cac tai san khac (bao gom cac khoan phai thuva c6 tlic dll'O'cnMn).

c) Viec xac dinh gia tri tai san rang theo quy dinh pMp lu$t, quy dinh t<;liBieu Ie quy, Ban cao b<;lch:Vi$cdinh gia, danh gia tai san cLlaQuy ETF SSIAM VNFIN LEAD da phu hO'Pvai Bi~u Ie Quy, Ban cao b<;lchcLlaQuy va cac van ban pMp lu$t lien q~an. Tfnh den ngay 31 thang 12 nam 2020, gia tri tai san ran~ cLla01 10cherngchI Quy 1131.355.927.549 dong, gia tri tai san rang cLla01 chling chi Quy la 13.559,27 dong.

d) Viec phat hanh b6 sung chling chI quy, mua l<;Iichling chi quy theo quy dinh phap IU$t,quy dinh t<;liBieu1$quy, Ban cao b<;lch:Trong ky ke toan tl) ngay 24 thang 02 nam 2020 den ngay 31 thang 12 nam 2020,Quy da thl,l'chien cac giao dich hoan d6i Chling chi Quy phUhO'Pvai Bieu Ie Quy, Ban cao b<;lchcLlaQuyva cac van ban phap lu$t lien quan.

TI) ngay 24 tMng 02 nam 2020 den ngay 31 thang 12 nam 2020, Quy da thl,l'chien:

• Phat hanh them 95.900.000 chling chI Quy, tll'ang ling vai t6ng gia tri pMt hanh theo menh giala 959.000.000.000 dong (trong d6 26.200.000 chling chI Quy pMt hanh trong giai dOGiinIPO).

• Mua l<;Ii14.600.000 chling chi Quy, tll'ang ling vai tong gia tri mua l;;Ii theo menh gia la146.000.000.000 dong.

e) Vi$c phan chia 100inhuan clla Quy 161phU hqp vai ml,lCtieu dau tU'ella Quy: ILl'ngay 24/02/2020 den

,liu HAuur

~~

ngay 31/12/2020, Quy khOng thuc hien phan phoi lQ'i nhuan cho nha dau tu.

5, Bao cao vA hoat dQng uy quyAn

COng ty quan Iy quy phai tap bao cao danh gia chat ILI'Q'ngdich vu cung cap boi cac to chuc khac (bennhan uy quyen), nhu' dich vu dai Iy chuyen nhLl'Q'ng,clch vu quan tri quy, dlch vu xac dinh gia tri tal sanrang ... voi cac noi dung sau:

a) Chi phi phai tra cho ben nhan uy quyen so voi lQ'inhuan, thu nhap, tong chi phi heat dong cua Quy:

Chi tieu TV I~ so vai lQ'i TV I~ so vai chi Ty I~ so vainhu~n phiho~tdQng thu nh~p

Chi phi dich vu f)~i Iy chuyen nhLl'Q'ng 0,02% 0,98% 0,02%

Chi phi dich vu Ouan tri quy 0,06% 3,92% 0,06%

Tien dicb vu tinh gia tr] tai san rang tham 0,08% 4,86% 0,08%chieu (iNAV)

b) Cac anh hLl'ang (neu c6) cua ho~t dong uy quyen t&i lQ'inhu~n, mlic dO rui ro cua Quy: Chi lam tang chiphi nhLl'ng khOng dang ke, h~n che toi thieu mlic dO rui ro anh hLl'ang den ho~t dOng cua Quy

c) T6ng chi phi cac ho~t dong uy quyen phai tra cho ben nh$n uy quyen (trLl'ang hQ'p ben nh$n uy quyencung c~p nhieu dich Vl,I cho cOng ty quan Iy quy):

STT Chi tieu s6 tiAn (VND)

1 Chi phi dich Vl,l f)~i Iy chuyen nhLl'O'ng 51.983.872

2 Chi phi dich Vl,lQuan tri quy 207.046.252

3 Tien dich Vl,l tlnh gia tri tai san rang tham chieu (iNAV) 256.769.497

TOng chi phi cho ho~t dQng uy quyAn 515.799.621

d) f)anh gia kha nang duy tr1 he thong kiem soat noi bO, quan trj rui ro, tfnh bao m$t, h~ tang cO'sa v$t chatky thu$t, he thong dl,J'ph6ng n6ng, he thong dl,J'phang tham hoa ... cua ben nh$n uy quyen, bao dam ho~tdong uy quyen dLl'Q'cthl,J'chien thOng suot, khOng g~y anh hLl'ang t&i ho~t dOng dau tLl'cua nha dau tLl'.

Trong ky bao cao, cac dO'n vi nh$n uy quyen cung cflp dich Vl,l quan tri quy, d~i Iy chuyen nhLl'Q'ng,dich Vl,ltlnh Gia Tri Tai San Rang tham chieu (iNAV), TE da duy tri du trang thiet bi cO' sa v$t chfit, giai phap kythu~t, an ninh he thong, he thong dl,J'phang tham hoa, he th6ng dl,J'phang n6ng, quy tr1nh nghiep Vl,l, hethong kiem soat nOi bO, quan tri rui ro, nh~n Sl,J'c6 kinh nghiem va trinh do chuyen mOn phu hQ'p de thl,J'Chien cac ho~t dong uy quyen. Cac ho~t dong uy quyen trong ky Mo cao da dLl'Q'cthl,J'chien thOng suot,khOng g~y anh hLl'ang t&i ho~t dOng dau tLl'cua Nha f)au TLI'cua Quy.

Danh gia dich VI,I Quan tri quy

Ng~n hang TMCP Ngo~i ThLl'O'ngViet Nam ("Ng~n hang") hi$n dang 1adO'n vi dLl'Q'cuy quyen ho~t dongdich Vl,lQuan tri quy. Cac h$ th6ng hi$n c6 de cung cap dich Vu Quan trj quy c6 nhieu Ll'Udiem, dLl'Q'Capdung r¢ng rai tren toan cau va dLl'Q'cthiet I~p cO'che baO mat do moi he thong khi thiet I~p quyen truy capdeu c6 cac nguyen t~c thiet I~p mang tfnh bao m$t cao. He thong ke toan va dinh gia chling chi quy cuaNg~n hang da dap ling dLl'Q'cyeu cau cua COng ty Quan Ly Quy. H$ thong nay dLl'Q'cc$p nh$t hai namm¢t Ian bao g6m pMt trien cac tinh nang m&i va pMt trian theo nhu cau rieng cua tlmg thi trLl'ang nen dadap ling dLl'Q'ccac yeu cau ve h~ch toan t~i Viet Nam, Cac h$ thong deu dLl'Q'cILI'utrO>dO>Ii$u hang ky vac6 chLl'O'ngtrinh dl,J'phong tham hoa. Quy trinh dl,J'phong tham hoa cua Ngan hang dLl'Q'cthiet I$p chi tiet,bai ban de kh~c phl,lc cac tham hoa trong khoang thai gian phu hQ'p nhat de dam bao ho~t dOng it bi anh

hU'ang va cac ton that la tOi thieu.

DO' lieu dU'Q'clU'u trO'dung theo quy dinh hien hanh cua Phap lu$t Viet Nam. He thong lU'u trO' thong tin cuakhach hang luon dU'O'cbao mat cao voi cooche bao mat tOi da. Ngoai dO' lieu dc;mgcLmg, Ngan hang conthiet I$p quy trlnh dam bao bao mat thOng tin mot each hieu qua qua dO' lieu gLii qua email voi cac phuonqthuc bao mat nhu: tU'ong Ilia, YEWcau xac nhan, tnam quyen trong qua trinh tU'O'ngtac thong tin.

H$ thong quan tri rui ro cua Ngan hang dam bao tat ca nhan vien cua Ngan hang tai cac vi tri deu c6 trachnhiem kiem scat va tuan theo chinh sach quan tri rui roo Cac bao cao chi so danh gia heat dong chinh vabao cao lieu chuan kiem scat chlnh dU'O'cthl,l'c hien hang tMng va dU'Q'cxem xet bai Oy Ban Quan Iy ruiro t<;!icac cuoc hQp ve rui ro quan trio Ngan hang xay dl,mg cac phU'O'ng pMp nh~m h<;!nche cac rui ro veho<;!tdong, rui ro cong nghe, va rui ro con ngU'oi.

Danh gia dich v,=,D~i ly Chuy6n NhlJ'Q'ng("VSD")

VSD dang la nha cung cap dich VI,ID<;!iIy chuyen nhU'Q'ngcho Quy.

Ve coosa vat chat ky thu$t, h$ thong cung cap dich VI,ID<;!iIy chuyen nhU'Q'ngquy hoan doi danh ml,JCcuaVSD co cac tfnh nang dap ling cac nhu cau dich VI,Icua D<;!iLy Chuy€m NhU'Q'ng. He thong c6 chlic nangphan quy€m linh ho<;!t,co thiet ke ma cho phep ket noi v&i cac he thong tMnh vi en khac. He thong dap lingday du nhu cau ve nghiep Vl,JD<;!iIy Chuyen NhU'O'ngve viec Quan Iy so nha dau tU', <;juanIy dO' lieu, phanbo giao dich va cac ho<;!tdong kMc dap ling nhu cau cua Cong Ty QUEmLy Quy, D<;!iIy phan phoi, va Nganhang giam sat, to chlic cung cap dich Vl,Jquan trj quy ....

Quy trinh lU'u trO' dO' lieu va ke ho<;!chdl,.l'ph6ng dO' lieu dam bao quy trinh dU'O'cdien ra thOng suot. Hethong may chu cua dich VI,IdU'O'cdat t<;!iTrl,l sa chinh Ha Noi. H$ thong dl,l' ph6ng dU'O'cdat t<;!ichi nMnhcua VSD t~i TP. H6 Chi Minh, dong thai dO' lieu dU'Q'csao lU'u hang ngay ra bang tli va dU'O'c lU'u trO' tGiiVSD va lU'u trO' tli xa. DO' lieu hang ngay dU'Q'cdong bO tli M thong chinh vao M thong dl,.l'ph6ng va dU'O'ckhai dong trong v6ng 30 phut ke tli khi co Sl,l' co xay ra.

Danh gia djch vI,! tinh Gia Trj rai Siln Rang tham chi~u (iNAV) va TE

Sa Giao Dich Chling Khoan TP. Ho Chi Minh hien dang la to chlic cung cap djch VI,Itinh gia tri tai san r6ngtham chieu va TE.

Sa Giao Dich Chling Khoan TP. Hc5Chi Minh da dap ling dU'Q'ccac yeu cau ve coosa v$t chat ky thu$t.Quy trinh nghi$p VI,IdU'Q'cthl,.l'chien chinh xac, gia tri tai san rang tham chieu tren mot chling chi quy (iNAV)dU'Q'ccong bo mU'oi lam giay mot Ian va dU'Q'ccong bo tren cac trang thong tin dien tLi cua Sa Giao DichChling Khotm. Sa Giao Dich ChLmg Khoan TP. Ho Chi Minh da tinh toan mlic sai lech dung theo congthlic quy dinh t<;!iThong tU' 229/2012m-BTC ngay 27 thang 12 nam 2012.

Danh gia djch vI,!D~i ly Philn Ph6i

Cac Thanh vien I$p quy (TVLQ) kiem D<;!iIy phan phOi deu dap ling dU'Q'cyeu cau ve viec ket noi v&i Nganhang TMCP Ngo<;!iThU'O'ng Viet Nam va nha cung cap dich VI,Id<;!iIy chuy€m nhU'Q'ng, dam bao quy trlnhnghiep VI,Icua TVLQ dien ra thong suot khOng bi gian dO<;ln.TVLQ da dap ling dU'Q'cyeu cau ve quy trinhngan giao djch muon, cac quy trinh ve lU'u trO' thong tin va bao mat thOng tin kMch hang.

fh6 g;~it;?5Ei~,,..? , "",,'

PHO TONG GIAM DOC