Zhongrong Fund Management Co., Ltd
Zhongrongxin Youchuang Flexible Allocation Hybrid Securities Investment Fund
Fund contract
Fund Manager: Zhongrong Fund Management Co., Ltd
Fund Custodian: Guangzhou Rural Commercial Bank Co., Ltd
December 2019
catalog
Part I Foreword one
Part II Definition three
Part III Basic Information of the Fund eight
Part IV Sale of Fund Units ten
Part V Fund Filing twelve
Part VI Subscription and Redemption of Fund Units thirteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-two
Part VIII General Meeting of Fund Unitholders twenty-nine
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian thirty-seven
Part X Custody of the Fund forty
Part XI Registration of Fund Units forty-one
Part XII Investment of the Fund forty-three
Part XIII Assets of the Fund fifty-one
Part XIV Valuation of Fund Assets fifty-two
Part XV Fund Fees and Taxes fifty-eight
Part XVI Income and Distribution of the Fund sixty-one
Part XVII Accounting and Audit of the Fund sixty-three
Part XVIII Information Disclosure of the Fund sixty-four
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-one
Part XX Liability for Breach of Contract seventy-three
Part XXI Dispute Settlement and Applicable Law seventy-four
Part XXII Effectiveness of Fund Contract seventy-five
Part XXIII Other Matters seventy-five
Part XXIV Summary of Fund Contract seventy-six
Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Contract Law of the People's Republic of China (hereinafter referred to as "the Contract")
Law of the People's Republic of China on Securities Investment Funds (hereinafter referred to as the "Fund Law"), Public Offering
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures"), Sales Management of Securities Investment Funds
Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as "Sales Measures")
(hereinafter referred to as "Information Disclosure Measures"), "Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds"
Provisions on Liquidity Risk Management (hereinafter referred to as "Provisions on Liquidity Risk Management") and other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract
Any document or statement relating to the rights and obligations of the parties to the fund contract related to the fund, such as
In case of any conflict in the fund contract, the fund contract shall prevail. The parties to the fund contract shall comply with the Fund Law and the fund contract
And other relevant provisions.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Fund investment
The investor shall become the fund share holder and a party to the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of holding fund shares itself indicates its recognition and acceptance of the fund contract.
3、 Zhongrong Xinyouchuang Flexible Allocation Hybrid Securities Investment Fund is managed by the fund manager in accordance with the Fund Law
The fund contract and other relevant regulations have been raised and approved by the China Securities Regulatory Commission (hereinafter referred to as "CSRC")
China Securities Regulatory Commission).
The registration of the Fund raised by the CSRC does not indicate the investment value of the Fund and the market value of the Fund
The fact that the Fund makes substantive judgments or guarantees does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence,
However, there is no guarantee that investment in the Fund will be profitable, nor will there be any guarantee of minimum return.
The Fund participates in the trading interconnection mechanism between the mainland and Hong Kong stock markets (hereinafter referred to as "Hong Kong Stock Connect Mechanism")
Relevant businesses of the Stock Connect in Hong Kong, the fund assets are invested in Hong Kong stocks, and the meeting is held under the mechanism of the Stock Connect in Hong Kong due to the investment environment, investment
Unique risks brought about by differences in capital targets, market systems and trading rules, including fluctuations in the share price of the Hong Kong stock market
Relatively high risk (Hong Kong stock market implements T+0 reverse trading, and there is no limit on the rise and fall of individual stocks
The price may show more drastic stock price fluctuations than A shares), exchange rate risk (exchange rate fluctuations may affect the fund's
Loss caused by investment income), possible risks caused by inconsistent trading days under the Hong Kong Stock Connect mechanism (opening in the mainland
When Hong Kong is closed, Hong Kong Stock Connect cannot be traded normally and Hong Kong shares cannot be sold in time, which may bring some
Liquidity risk). For specific risks, please refer to the specific contents of the risk disclosure chapter of the Prospectus of the Fund
Rong.
The Fund may, according to the needs of its investment strategy or the changes in the market environment of different allocation places, choose to integrate some of the
Gold assets invest in Hong Kong stocks or choose not to invest fund assets in Hong Kong stocks. Fund assets are not necessarily invested in Hong Kong stocks.
Investors should carefully read the fund prospectus, fund contract, fund product information summary and other information
Disclose documents, judge the investment value of the fund independently, make investment decisions independently, and bear investment risks independently.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract
If the content involves defining the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract
The contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The requirements for the preparation, disclosure and update of the fund product information outline agreed in the Fund Agreement are as follows:
The Disclosure Measures shall be implemented one year after the date of implementation.
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to the Zhongrong Xin Youchuang Flexible Allocation Hybrid Securities Investment Fund
2. Fund manager: refers to Zhongrong Fund Management Co., Ltd
3. Fund Custodian: Guangzhou Rural Commercial Bank Co., Ltd
4. Fund contract or this fund contract: refers to the "Zhongrong Xin Youchuang Flexible Allocation Hybrid Securities Investment Fund"
Fund Contract and any effective amendments and supplements to the Fund Contract
5. Custody Agreement: refers to the "Zhongrong Xin Youchuangling" signed between the Fund Manager and the Fund Custodian for the Fund
Active Allocation Hybrid Securities Investment Fund Custody Agreement and any effective amendments and supplements to the Custody Agreement
6. Prospectus: refers to the Prospectus of Zhongrong Xinyouchuang Flexible Allocation Hybrid Securities Investment Fund
And its updates
7. Announcement on the sale of fund shares: refers to the "Zhongrong Xin Youchuang Flexible Allocation Hybrid Securities Investment Fund"
Unit Offering Announcement
8. Laws and regulations: refer to the laws, administrative regulations, normative documents
Judicial interpretations, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
9. Fund Law: refers to the Law of the Standing Committee of the Tenth National People's Congress on October 28, 2003
Adopted at the Fifth Meeting and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting, implemented since June 1, 2013, and approved by the 12th meeting on April 24, 2015
The 14th Meeting of the Standing Committee of the National People's Congress
Certificate of the People's Republic of China amended by the Decision on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law and amendments made by the issuing authority from time to time
10. Sales Measures: promulgated by the CSRC on March 15, 2013 and implemented on June 1 of the same year
Measures for the Administration of the Sale of Securities Investment Funds and amendments made by the promulgating authority from time to time
11. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
The Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds implemented and the regulations issued by the issuing authority from time to time
revise
12. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Management Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
13. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on January 1 and the issuing authority
As amended from time to time
14. Hong Kong Stock Connect: The Hong Kong Stock Connect under the Shanghai Hong Kong Stock Connect and the Shenzhen Hong Kong Stock Connect are collectively referred to as the Hong Kong Stock Connect. Shanghai-Hongkong Stock Connect
The Hong Kong Stock Connect under refers to the securities set up by the Shanghai Stock Exchange entrusted by mainland investors to mainland securities companies
The trading service company shall make a declaration to the Stock Exchange of Hong Kong and buy and sell the Stock Exchange of Hong Kong within the specified scope
Listed stock. The Hong Kong Stock Connect under the Shenzhen Hong Kong Stock Connect refers to the Hong Kong Stock Connect entrusted by mainland investors to mainland securities companies through Shenzhen Securities
The securities trading service company established by the Stock Exchange shall report to the Stock Exchange of Hong Kong, and the trading scope shall be specified
Shares listed on the Stock Exchange of Hong Kong within
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Banking regulatory authority: refers to the People's Bank of China and/or the Insurance Regulatory Commission of the Bank of China
Member Council
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
18. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal person, public institution legal person and society legally registered and existing or established and existing with the approval of relevant government departments
Groups or other organizations
20. Qualified foreign institutional investor: refers to the qualified foreign institutional investor who meets the requirements of the Management of Domestic Securities Investment
The Measures and relevant laws and regulations provide that it can invest in the securities investment funds legally raised in China
Institutional investors outside China
21. RMB Qualified Foreign Institutional Investor: refers to the qualified foreign institutional investor in China
The Pilot Measures for Securities Investment and relevant laws and regulations stipulate that RMB funds from overseas shall be used for domestic investment
Foreign legal persons investing in securities
22. Investors, investors: individual investors, institutional investors, qualified foreign institutional investors and
RMB Qualified Foreign Institutional Investors and the purchase of securities investment funds permitted by laws and regulations or the CSRC
Collectively referred to as other investors of
23. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
24. Fund sales business: refers to the promotion of funds and the sale of fund shares by fund managers or sales agencies,
Handle the subscription, redemption, conversion, non trading transfer, custody transfer, fixed investment and other businesses of fund units
25. Sales organization: refers to China Financial Fund Management Co., Ltd. and conforms to the Sales Measures and the CSRC
Other conditions stipulated by the Fund Management Committee, obtaining the qualification of fund sales business and signing the fund sales service with the fund manager
Agreement, the institution handling fund sales business
26. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
27. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is Zhongrong Fund Management Co., Ltd
Limited companies or institutions entrusted by China Financial Fund Management Co., Ltd. to handle registration business
28. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
29. Fund transaction account: refers to the account opened by the sales agency for the investor and recorded that the investor passes through the sales machine
Fund shares arising from the organization's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in amounts and balances
30. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
31. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
32. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than 3 months
33. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
34. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
35. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
36. T+n day: refers to the nth working day from T day (excluding T day)
37. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units (if
If the Fund participates in the trading of Hong Kong Stock Connect and the working day is not a trading day of Hong Kong Stock Connect, the Fund Manager can
The circumstances determine whether the Fund will open subscription, redemption and conversion businesses, and the details will be based on the announcement issued in advance at that time
Shall prevail)
38. Opening Hours: refers to the time period when the fund accepts subscription, redemption or other transactions on the open day
39. Business Rules: refers to the Open ended Fund Business Rules of China Financial Fund Management Co., Ltd
The Fund Manager formulates and revises from time to time to standardize the registration of open-ended securities investment funds managed by the Fund Manager
The fund manager and investors shall abide by the business rules of
40. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
41. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
42. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
43. Sales service fee: It refers to the amount withdrawn from the fund assets for the marketing, sales and
Service fees for fund share holders
44. Type of fund units: refers to the fund units that are charged according to the subscription/subscription fees, redemption fees and sales service fees
Different, the fund units are divided into different categories, and the code of each fund unit category is different
Net value of fund units and accumulated net value of fund units
45. Class A Fund Units or Class A Units: refers to the collection of subscription/purchase fees and redemption when investors subscribe/purchase
Fund units for which redemption fees are charged and sales service fees are no longer withdrawn from the fund assets of this category
46. Class C Fund Units or Class C Units: refers to the withdrawal of sales service fees from the assets of this class of funds
Fund units for which redemption fees are charged but subscription/subscription fees are not charged
47. Fund conversion: refers to the fund share holders' effective public funds in accordance with the Fund Agreement and the Fund Manager at that time
To apply for converting the fund units of a fund managed by the fund manager into
Behavior of other fund units managed by the fund manager
48. Transfer of custody: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
49. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency, and the agreement on each application
On the purchase date, the amount of deduction and the method of deduction, the sales agency shall, on the agreed deduction date of each period, place the amount of deduction in the bank account designated by the investor
An investment method for automatically completing deduction and accepting fund purchase applications in the account
50. Large redemption: refers to the net redemption application of the Fund on a single open day (total redemption application units plus
After deducting the total number of subscription application units and the transfer in application for fund conversion
The balance after the total number of shares requested) exceeds 10% of the total fund shares on the previous open day
51. RMB: refers to RMB
52. Fund income: refers to dividend, dividend, bond interest, price difference of securities, silver
Savings on bank deposit interest, other legal income realized and costs and expenses arising from the use of fund assets
53. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, and fund receivables
Total value of funds and other assets
54. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
55. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
56. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
57. Designated media: refer to the national newspapers and periodicals designated by the CSRC for information disclosure and the designated
Internet website (including fund manager website, fund custodian website, CSRC fund electronic disclosure
Website) and other media
58. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at a reasonable price, including but not limited to reverse repurchase with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares, and negotiable securities
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
Traded bonds, etc
59. Swing pricing mechanism: when open-end funds are subject to large purchase and redemption, through adjusting the fund shares
In the form of net amount, the market shock cost of the fund's adjusted portfolio is allocated to the actual subscription and redemption investments
Investors, thereby reducing the adverse impact on the interests of stock fund share holders and ensuring the legitimate rights and interests of investors
Be protected and treated fairly
60. Force majeure: refers to the objective that the parties to the Fund Contract cannot foresee, avoid and overcome
event
61. Summary of fund product information: refers to the "Zhongrong Xin Youchuang Flexible Allocation Hybrid Securities Investment Fund"
Product Data Summary and its updates
Part III Basic Information of the Fund
1、 Fund name
Zhongrongxin Youchuang Flexible Allocation Hybrid Securities Investment Fund
2、 Category of fund
Hybrid securities investment fund
3、 Operation mode of the fund
Contractual and open
4、 Investment objectives of the Fund
The Fund, through the organic combination of various investment strategies and under the premise of strict control of portfolio risk,
Strive to realize the long-term steady appreciation of fund assets.
5、 Total amount and amount of minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million, and the amount raised by the Fund is not less than 200 million yuan.
6、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
The subscription rate of Class A fund units of the Fund shall be subject to the provisions of the Prospectus, while Class C fund units shall not
Collect subscription fees.
7、 Duration of the Fund
Irregular
8、 Fund share category setting
According to the different charging methods of subscription fee, subscription fee, redemption fee, sales service fee and other rates,
Fund shares are divided into two categories: A and C. Collection of subscription and purchase fees when investors subscribe and purchase funds
If the redemption fee is charged at the time of use and redemption, and the sales service fee is no longer withdrawn from the fund assets of this category, it is called
Class A fund shares; Withdraw sales service fees from fund assets of this category, and charge redemption fees when redeeming, while
If no subscription or purchase fees are charged when subscribing or subscribing funds, they are called Class C fund units. Design of relevant rates
The placement and rate levels are listed in the prospectus.
Fund codes are set for Class A and Class C fund units of the Fund. Due to different fund fees
The net value of Class A Fund units and Class C Fund units will be calculated separately and announced separately.
The Fund is open to subscription of Class A and Class C fund units during the raising period, and investors can choose to subscribe at their own discretion
The fund share category of. No mutual conversion is allowed between different fund unit classes of the Fund.
The fund manager can adjust the minimum amount limit and rules for subscribing/subscribing various fund units without convening
At the general meeting of fund share holders, the fund manager must comply with the Information Disclosure Measures before the date of adjustment
And publish a notice on the designated media.
Without violating the provisions of laws and regulations, the provisions of the fund contract, and without prejudice to the holding of existing fund units
Based on the operation of the Fund, the Fund Manager, through consultation with the Fund Custodian
After appropriate procedures, stop the sale of existing fund unit categories, or change the charging method and add new funds
The Fund Manager shall timely announce the type of units or the classification rules for the adjustment of the Fund units before the implementation of the adjustment
It shall also be reported to the China Securities Regulatory Commission for filing, without convening a general meeting of fund share holders.
Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Notice.
2. Way of sale
It is publicly sold through the fund sales outlets of each sales agency. For the specific list of each sales agency, see the fund
The amount offering announcement and the relevant announcement on adjusting the sales institution issued by the fund manager at that time.
3. Target
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Qualified foreign institutional investors and RMB qualified foreign institutional investors, as well as laws and regulations or the CSRC
Other investors allowed to purchase securities investment funds.
2、 Subscription of Fund Units
1. Subscription fee
The subscription rate for Class A fund units of the Fund shall be determined by the Fund Manager and listed in the Prospectus
Shows. The fund subscription fee shall not be included in the fund property. There is no subscription fee for Class C fund units.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the interest transfer share shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
The calculation of subscribed shares shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
5. Confirmation of subscription application
The acceptance of the subscription application by the fund sales agency does not necessarily mean that the application is successful, but only represents the sales machine
The organization has indeed received the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration authority. For subscription
The investor shall timely inquire about the application and the confirmation of the subscribed shares and properly exercise their legal rights, otherwise
Any loss arising from this shall be borne by the investor.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency. Investors raise funds
Fund units can be subscribed several times during the period. Once the subscription application is accepted, it cannot be revoked.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds the total number of fund units
50%, the fund manager may limit the subscription application of the investor by means of proportion confirmation. base
The acceptance of a certain subscription application or some subscription applications by the fund manager may lead investors to evade the above 50% ratio in disguised form
If required, the Fund Manager has the right to reject all or part of such subscription applications. Fund shares subscribed by investors
The amount shall be subject to the confirmation of the registration authority after the fund contract takes effect.
Part V Fund Filing
1、 Conditions for Fund Filing
The total amount of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units
Under the condition that the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200,
The fund raising period expires or the fund manager may decide to stop the fund distribution in accordance with laws, regulations and the prospectus
And employ a legal capital verification agency to verify the capital within 10 days, and within 10 days from the date of receiving the capital verification report
The CSRC shall handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall take
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the fund contract will not take effect. Fund management
The manager shall announce the effectiveness of the fund contract on the next day after receiving the confirmation document from the CSRC. Fund management
The manager shall deposit the funds raised during the fund raising into a special account, and before the end of the fund raising
Who can not use it.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Term deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract comes into effect, the number of Fund Unitholders is less than 200 or
Where the net asset value of a fund is less than 50 million yuan, the fund manager shall disclose it in the regular report;
In case of the above circumstances for 50 consecutive working days, the Fund will enter into the fund asset liquidation procedure and terminate, and
It is unnecessary to convene a general meeting of fund share holders for deliberation.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales outlets will be managed by the fund manager
Listed in the prospectus or other relevant announcements. The fund manager can change or increase or decrease the sales machine according to the situation
And publicized on the fund manager's website. The fund investor shall handle the fund sales business at the sales institution
The subscription and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
If the fund manager or its designated sales agency opens telephone, fax or online trading methods
People can purchase and redeem fund units in the above ways. The specific measures shall be taken by the fund manager or relevant
The sales agency shall make a separate announcement.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription and redemption of fund units on the open day, and the specific handling time is Shanghai Stock Exchange
Trading hours on normal trading days of the Exchange and Shenzhen Stock Exchange (if the Fund participates in Hong Kong Stock Connect trading and
If the working day is not a Hong Kong Stock Connect trading day, the Fund Manager may decide whether the Fund is open for application according to the actual situation
The purchase, redemption and conversion business shall be subject to the announcement issued in advance at that time), but the fund manager shall
Except when laws and regulations, the requirements of the CSRC or the provisions of the Fund Contract announce the suspension of subscription and redemption.
After the Fund Contract comes into effect, if a new securities trading market, futures trading market, stock exchange
In case of any change in the trading time of the futures exchange or other special circumstances, the Fund Manager will, as appropriate
The opening hours shall be adjusted accordingly, but before the implementation date
Announcements on designated media.
2. Start date of subscription and redemption and business handling time
The Fund Manager shall handle the subscription within 3 months from the effective date of the Fund Agreement, and the specific business shall be handled
The processing time shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
The starting time of subscription and redemption shall be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Redemption or conversion. The investor puts forward the subscription, redemption or conversion on a date and time other than that specified in the fund contract
If the application is made and the registration authority confirms to accept, the subscription and redemption price of the fund units shall be the base of the category on the next business day
The price of subscription and redemption of gold shares.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices of the funds of this category are calculated after the closing of the application day
Calculate on the basis of net share value;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager
Shall not be revoked after the end of the business processing time of;
4. Redemption follows the principle of "first in, first out", that is, it is carried out in the order of investors' subscription and purchase
Ordinal redemption;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. Fund manager
It must be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption.
2. Payment of subscription and redemption funds
When subscribing for fund units, the investor must pay the subscription amount in full
Establishment of purchase; The subscription takes effect when the fund share registration authority confirms the fund share.
The redemption is established when the fund unit holder submits the redemption application; When the fund share registration institution confirms the redemption,
Redemption takes effect.
After the investor's redemption application takes effect, the fund manager will pay the redemption amount within T+7 days (including that day)
Item. In case of data transmission delay of stock exchange or trading market, communication system failure, bank data exchange system
When failure or other factors beyond the control of the fund manager and fund custodian affect the business process
The collection items shall be transferred out on the next working day. In case of huge redemption or deferred payment of redemption money,
The payment method shall refer to the relevant provisions of the Fund Contract.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day). Under normal circumstances, the Fund's registration authority has
Validation. For the valid application submitted on T day, the investor can go to the sales network after T+2 day (including that day)
Click the counter or inquire about the confirmation of the application in other ways specified by the sales agency. If the subscription is unsuccessful, apply
The purchase money shall be returned to the investor.
The acceptance of the application for subscription and redemption by the sales agency does not mean that the application is necessarily successful, but only represents the sales machine
The organization has indeed received the application for subscription and redemption. The confirmation of subscription and redemption shall be subject to the confirmation result of the registration authority.
Investors shall timely inquire about the application for subscription and redemption and the confirmation of subscription and redemption units and act properly
Exercise legal rights.
To the extent permitted by laws and regulations, the Fund Manager may, in accordance with relevant business rules, handle the above businesses
The Fund Manager will make an announcement in accordance with relevant regulations before the adjustment is implemented.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor, and
Please refer to the Prospectus or relevant announcements for the minimum shares to be redeemed.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to control the fund size based on the needs of investment operation and risk control
See the relevant announcement of the fund manager for details.
5. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Limit on the number of shares. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
It shall be announced on the designated media.
6、 Purchase and redemption prices, fees and their uses
1. The calculation of the net value of Class A fund units and Class C fund units of the Fund shall be kept to the decimal point
The last four digits and the fifth digit after the decimal point shall be rounded off, and the resulting gains or losses shall be borne by the fund property. T
The net value of various fund units of the day shall be calculated after the market close of the day and announced within T+1 day (including that day). meet
Under special circumstances, the calculation or announcement may be postponed appropriately after proper procedures are performed.
2. Calculation of subscription units and processing method of balance: For details of calculation of subscription units of the Fund, please refer to the recruitment statement
Clear book. The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager and shall be included in the Prospectus
Listed. The effective unit of subscription is the net subscription amount divided by the net value of such fund unit on the current day
The above calculation results shall be rounded to 2 decimal places
The profits or losses shall be borne by the fund property.
3. Calculation and handling method of redemption amount: please refer to the Prospectus for the calculation of redemption amount of the Fund.
The redemption rate of the Fund is determined by the Fund Manager and listed in the Prospectus. The redemption amount is based on the actual amount
The effective redemption units confirmed at the time multiplied by the net value of such fund units on the day and deducted the corresponding fees, the redemption amount
The unit is yuan. The above calculation results are rounded to 2 decimal places
The gains or losses shall be borne by the fund property.
4. The subscription fees for Class A fund units of the Fund shall be borne by the investors and shall not be included in the fund assets; Class C
No subscription fee will be charged for fund units.
5. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. The proportion of redemption expenses included in the fund property shall be set in accordance with relevant laws and regulations
See the prospectus. The part not included in the fund property is used to pay the registration fee and other necessary formalities
Fees. Among them, investors with a continuous holding period of less than 7 days will be charged a redemption fee of not less than 1.5%, and the full amount will be
Included in the fund assets.
6. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract, and shall be stated in the prospectus
Listed in the book. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract, and
In accordance with the relevant provisions of the Information Disclosure Measures, it shall be submitted to the designated media later than the implementation date of the new rate or charging method
Introduce the announcement.
7. The Fund Manager may, within the scope of not violating the provisions of laws and regulations and the provisions of the Fund Contract
Under the premise that the investors have no material adverse effects, the fund promotion plan shall be formulated according to the market conditions, regularly or irregularly
Periodically carry out fund promotion activities. During the fund promotion activities, the fund manager may, as required by the CSRC
It is required to appropriately lower the fund subscription rate and redemption rate for investors after performing the necessary procedures.
8. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations and
Provisions of regulatory authorities and self-discipline rules.
7、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Investor's application for subscription.
3. The trading time of the securities/futures exchange is abnormally closed, which causes the fund manager to be unable to calculate the daily basis
Net value of gold assets.
4. When accepting a certain application or some applications for subscription may affect or damage the interests of existing fund share holders.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It may have a negative impact on the performance of the Fund, or other circumstances may damage the interests of existing Fund Unitholders.
6. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After the subscription, the fund manager shall suspend accepting the application for fund subscription.
7. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of shares reaches or exceeds 50%, or evades 50% concentration in disguised form.
8. The subscription application exceeds the total fund size, the upper limit of the net subscription ratio per day, and
1 The maximum amount of a single day a single subscription by an investor;
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription under one of the above circumstances (1, 2, 3, 5, 6 and 9)
When accepting an investor's application for subscription, the Fund Manager shall publish the suspension application on the designated media in accordance with relevant regulations
Purchase announcement. If the investor's application for subscription is rejected, the rejected subscription amount will be returned to the investor. stay
When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money.
3. The trading time of the securities and futures exchanges is abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders
The manager may suspend accepting the redemption application of the fund unit holder.
6. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After recognition, the Fund Manager shall postpone the payment of redemption funds or suspend the acceptance of fund redemption applications.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
When one of the above circumstances occurs and the Fund Manager decides to suspend the redemption or postpone the payment of redemption money, the Fund
The Manager shall report to the CSRC for filing on the same day, and the Fund Manager shall pay in full the confirmed redemption application;
If the payment cannot be made in full for the time being, the payable part shall be distributed according to the proportion of the application amount of a single account in the total application amount
To the redemption applicant, the unpaid part can be postponed. In case of the situation mentioned in item 4 above
Handling of relevant terms of the same. When applying for redemption, fund share holders may choose in advance that they may not receive
It shall be cancelled in part. When the suspension of redemption is eliminated, the Fund Manager shall resume the redemption business in a timely manner
Handling and announcement.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks it is difficult to pay the investor's redemption application or thinks
The realization of property due to the payment of redemption application of investors may cause a big wave to the net asset value of the fund
If the redemption ratio accepted by the fund manager on the current day is not less than 10% of the total fund shares on the previous open day
Under the premise, other redemption applications can be postponed. For the redemption application on the current day, it shall be redeemed by a single account
The proportion of the amount of redemption applications in the total amount of redemption applications, and the redemption shares accepted on that day shall be determined; For the part not redeemed,
Investors can choose to postpone or cancel redemption when submitting redemption application. If you choose to postpone redemption, you will
Move to the next open day to continue redemption until all redemption; If you choose to cancel redemption, you have not received
Some redemption applications accepted will be cancelled. The deferred redemption application shall be processed together with the redemption application on the next open day,
The redemption amount is calculated on the basis of the net value of the fund units of this category on the following open day without priority, and so on,
Until all redemption. If the investor fails to make a clear choice when submitting the redemption application, the investor fails to redeem
Some will be automatically postponed for redemption.
(3) In case of huge redemption of the Fund, a single fund unit holder will exceed 20% of the total fund shares
In the case of the above redemption application, the Fund Manager may postpone the application for redemption:
The redemption application of the holder that exceeds 20% of the total fund shares of the previous day can be postponed; about
If the fund share holder does not exceed the above proportion, the fund manager believes that it is able to pay the investor
When applying for full redemption, the normal redemption procedure shall be followed. When the fund manager thinks that the redemption application of the investor should be paid
Please have difficulties or think that the realization of property due to the payment of redemption application of investors may affect the fund assets
When the net value causes large fluctuations, the redemption ratio accepted by the fund manager on the day shall not be lower than the total fund on the previous open day
Under the premise of 10% of the shares, the remaining redemption applications can be postponed. However, if the holder submits the redemption
If you choose to cancel the redemption when returning the application, the part of the redemption application that has not been accepted on that day will be cancelled.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as the fund manager
If it deems necessary, it may suspend accepting the redemption application of the Fund; The accepted redemption application can postpone the payment of redemption
The repayment shall not exceed 20 working days and shall be announced on the designated media.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
Other methods specified in the Prospectus shall notify the fund share holders within three trading days, stating the relevant processing party
And publish an announcement on the designated media within 2 days.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall designate the media within the specified period
The suspension notice is published on the website.
2. If the above suspension of subscription or redemption is eliminated, the Fund Manager shall announce the latest
Net value of each fund unit on an open day.
3. The Fund Manager may, according to the time of suspension of subscription or redemption
In accordance with relevant regulations, the announcement of reopening subscription or redemption shall be published on the designated media at the latest on the reopening day; also
The time for reopening subscription or redemption can be specified in the announcement of suspension according to the actual situation, and there will be no further time at that time
Announce the reopening.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For the conversion business with other funds managed by the fund manager, a certain conversion fee may be charged for fund conversion,
The relevant rules shall be formulated and announced by the Fund Manager in accordance with relevant laws and regulations and the provisions of this Fund Agreement,
And inform the Fund Custodian and relevant institutions in advance.
12、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
The resulting non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations. whether
Under any of the above circumstances, the subject receiving the transfer must be an investment that can hold the fund shares of the Fund according to law
People.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor;
Donation means that fund share holders donate their legally held fund shares to welfare foundations or societies
Association; Judicial enforcement means that the judicial authority holds
Fund units are forcibly transferred to other natural persons, legal persons or other organizations. Basis must be provided for non transaction transfer
The relevant information required by the gold registration authority shall be subject to the fund registration machine for the qualified non transaction transfer application
It shall be handled in accordance with the provisions of the Fund Registration Authority and charged in accordance with the standards prescribed by the Fund Registration Authority.
13、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
14、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager
Line regulations. The investor can agree on the amount of deduction in each period when handling the fixed investment plan
The amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
The minimum subscription amount of the investment plan.
15、 Freezing and unfreezing of fund shares
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, and
Freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations.
16、 The Fund Manager may, without violating the relevant laws and regulations or generating any benefit to the Fund Unitholders
Under the premise of adverse effects, supplement and adjust the above subscription and redemption arrangements and provide
Previous announcement.
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Zhongrong Fund Management Co., Ltd
Address: 3202, 3203B, Zhongzhou Building, No. 3088, Jintian Road, Gangsha Community, Futian Street, Futian District, Shenzhen
Legal representative: Wang Yao
Establishment date: May 31, 2013
Approval authority and approval document number: CSRC ZJXK [2013] No. 667
Organizational form: limited liability company
Registered capital: RMB 1.15 billion
Duration: continuous operation
Tel: 010-56517000
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Agreement, the Fund shall be independently used and managed in accordance with laws, regulations and the Fund Agreement
Gold property;
(3) Collect fund management fees in accordance with the fund contract and those prescribed by laws and regulations or approved by the CSRC
other expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If the fund contract and relevant national laws and regulations are violated, it shall be reported to the CSRC and other regulatory authorities, and
Necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the fund contract;
(10) Decide on the distribution plan of fund income in accordance with the fund contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription and redemption applications within the scope agreed in the fund contract;
(12) Exercising shareholders' rights against the invested company for the benefit of the fund in accordance with laws and regulations, and for the benefit of the fund
To exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(16) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion and non trading transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Agreement, the Fund shall be managed and applied in the principle of good faith, prudence and diligence
Gold property;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund property shall not be used to
They or any third party shall not entrust any third party to operate the fund property for their own benefit;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the fund contract and other legal documents. The net value of the fund shall be calculated and announced in accordance with the relevant provisions
To fix the price for subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure and reporting in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
Obligation to sue;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the fund contract and other relevant provisions, the fund information shall be kept confidential before public disclosure
Personal disclosure;
(13) Determine the fund income distribution plan as agreed in the fund contract and distribute the fund income to fund share holders in a timely manner
Fund allocation income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene a general meeting of fund unit holders in accordance with the Fund Law, the Fund Contract and other relevant provisions
Or cooperate with the Fund Custodian and the Fund Unitholders to convene a general meeting of the Fund Unitholders in accordance with the law;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
Ensure that investors can check the disclosure related to the fund at any time according to the time and method specified in the fund contract
Materials, and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and change of fund assets
Present and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss of fund assets or damage to the legitimate rights and interests of fund share holders due to violation of the fund contract
Shall be liable for compensation, and his liability for compensation shall not be exempted by his retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the custodian violates the fund contract and causes losses to the fund property, the fund manager shall pay
Fund custodian recovery;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions for the Fund during the offering period, and the Fund Contract cannot take effect,
The Fund Manager shall bear all the raising expenses and raise the raised funds in the Fund together with the bank deposit interest for the same period
Return to the fund subscriber within 30 days after the end of the set period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Guangzhou Rural Commercial Bank Co., Ltd
Address: No.1 Huaxia Road, Zhujiang New Town, Tianhe District, Guangzhou
Legal representative: Wang Jikang
Time of establishment: October 27, 2006
Approval authority and approval number: CBRC Reply
[2009] No. 484
Organizational form: other limited liability companies (unlisted)
Registered capital: RMB 9808.26 million
Duration: continuous operation
Fund custody qualification approval document and document number: ZJXK [2014] No. 83
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) The Fund shall be safeguarded in accordance with laws, regulations and the provisions of the Fund Contract as of the effective date of the Fund Contract
Property;
(2) Obtaining fund custody fees, laws and regulations or regulatory approval in accordance with the fund contract
other expenses;
(3) Supervise the investment operation of the Fund Manager in the Fund. If the Fund Manager is found to have violated the Fund
The contract and national laws and regulations have caused heavy losses to the fund property and the interests of other parties,
It shall report to the CSRC and take necessary measures to protect the interests of fund investors;
(4) According to relevant market rules, open securities accounts and other investment accounts for the fund
Clearing of securities and futures trading funds;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund property shall not be used to
If they or any third party seeks benefits, they shall not entrust a third party to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager;
(7) To keep fund business secrets, unless otherwise stipulated in the Fund Law, the Fund Contract and other relevant regulations
In addition, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Agreement; If the fund
If the manager fails to implement the provisions of the fund contract, it shall also state whether the fund custodian has taken appropriate measures
measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Establish and maintain the register of fund unit holders;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund manager and fund unit holders;
(16) To supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And bank regulators, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract,
When the Fund Manager causes losses to the Fund's assets due to violation of the Fund Agreement, it shall, for the benefit of the Fund Unitholders
Recovery by the fund manager;
(21) Implement the effective decisions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and fund contract.
3、 Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the fund contract
The fund shares obtained by the fund investor according to the fund contract become the fund share holder and the fund contract
Until they no longer hold the fund shares of the Fund. The fund share holder shall act as the fund contract
The parties do not take the written signature or seal on the fund contract as a necessary condition.
Each fund unit of the same category has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Agreement;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription funds and the fees prescribed by laws, regulations and the fund contract;
(5) It is limited to bear fund losses or terminate fund contracts within the scope of fund units held by it
Responsibility;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund contract;
(7) Implement the effective decisions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Comply with relevant transactions and businesses of the Fund Manager, Fund Custodian, Sales Agency and Registration Agency
Business rules;
(10) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights.
The General Meeting of Fund Unitholders does not have a daily body. During the duration of the Fund, according to the operation of the Fund
If necessary, the general meeting of fund share holders can set up daily institutions, and the establishment and operation of daily institutions should be based on
According to relevant laws and regulations and the provisions of the CSRC.
1、 Reason for convening
1. A general meeting of fund unit holders shall be held when one of the following events occurs or needs to be decided:
(1) Terminate the fund contract, unless otherwise agreed in the fund contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standard of the fund manager and the fund custodian or raise the sales service fee, but
Except that the laws and regulations require to adjust such remuneration standard or increase the sales service fee;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund shares that individually or collectively hold more than 10% (including 10%) of the total fund shares
The amount holder (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) writes about the same matter
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Holding of fund units shall be held as required by laws and regulations, fund contracts or other provisions of the CSRC
Matters of the General Meeting.
2. Within the scope specified by laws and regulations and agreed by the fund contract, and has no real interests for fund share holders
Under the premise of qualitative adverse effects, the following circumstances may be modified after consultation between the Fund Manager and the Fund Custodian
To convene a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the redemption rate, sales service fee, change the charging method
Adjust the setting of the fund unit category of the Fund;
(3) The Fund Contract shall be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment does not
The rights and obligations of the parties involved in the fund contract change;
(5) The fund manager adjusts the fund subscription, subscription, redemption, conversion, non trading transfer and transfer
Trusteeship and other business rules;
(6) Launch new business or service;
(7) Other circumstances under which it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the fund contract
Shape.
2、 Convener and convening method
1. Unless otherwise stipulated in laws and regulations or in the fund contract, the general meeting of fund share holders shall be managed by the fund
The manager calls.
2. In the event that the Fund Manager fails to convene or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the Fund Manager decides to convene the meeting, it shall issue a written decision 60
Held within the day; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, the Fund Custodian shall
The fund custodian shall convene the meeting on its own and notify the fund manager within 60 days from the date of issuing the written decision,
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the announcement, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
Form The fund share holders with more than 10% (including 10%) of the fund shares have the right to convene at least 30 days in advance
Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. The convener shall, 30 days before the convening of the general meeting of fund unit holders
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for sending and receiving written voting opinions.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the Manager or the Fund Custodian refuses to send representatives to supervise the counting of written votes, the voting will not be affected
Vote counting effect of opinions.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
Other methods allowed by the institution shall be adopted, and the convening method of the meeting shall be determined by the convener. Fund Manager, Fund Manager
The Fund Custodian shall facilitate the Fund Unitholders to exercise their voting rights.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws, regulations and fund contract
And the provisions of the notice of the meeting, and the vouchers for holding fund units are consistent with the registration materials held by the fund manager;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） ; If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, and the convener may hold the fund unit holders' meeting at 3/3 of the time as originally announced
The General Meeting of Fund Unitholders shall be reconvened within six months after six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other methods agreed in the fund contract shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other ways agreed in the fund contract.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the fund contract, it shall publish the notice of the meeting within 2 working days
Prompting announcement;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of written votes. The convener of the meeting is Zaiji
Under the supervision of the fund custodian (or the fund manager if the fund custodian is the convener) and the notary organ
Receive the written voting opinions of fund share holders in the manner specified in the notice of the meeting; Fund Custodian or Fund
If the administrator is notified not to participate in the collection of written voting opinions, the voting effect will not be affected;
(3) If I directly issue a written opinion or authorize another representative to issue a written opinion
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; If I directly issue written opinions or authorize others to issue written opinions on behalf of fund share holders
If the fund units held are less than half of the total fund units on the equity registration date, the convener may make an announcement in the original
Within three months and six months after the convening of the general meeting of fund unit holders of
Convene a new general meeting of fund unit holders. The reconvened general meeting of fund unit holders shall have one-third of the representatives
One or more (including one third) of the fund share holders directly issue written opinions or authorize others to issue them on behalf
Written opinions;
(4) Fund share holders or entrusted representatives who directly issue written opinions in Item (3) above
The agent who gives written opinions, the certificate of holding fund units submitted at the same time, and the trustee who gives written opinions
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with the provisions of laws and regulations, fund contract and meeting notice, and conform to the records of the fund registration authority.
3. With the permission of laws, regulations and regulatory authorities, the notice of the meeting states that the funds of the Fund
Unit holders may also authorize their agents to attend the general meeting of fund unit holders by other non written means. stay
In terms of the way of holding the meeting, the Fund can also adopt other off-site ways or on-site and off-site ways
The general meeting of fund share holders shall be held in a combined manner, and the meeting procedures shall be in accordance with on-site meetings and communication methods
The procedure of. Fund share holders may vote in writing, online, telephone or other ways,
The specific method shall be determined by the convener of the meeting and listed in the meeting notice.
5、 Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the fund contract
Decide to terminate the fund contract, change the fund manager, change the fund custodian, merge with other funds
Other matters stipulated in the laws and regulations and the fund contract, as well as the convener of the meeting deems it necessary to submit to the fund unit holders
Other matters discussed at the meeting.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than half (including half) of the voting rights held by the agent shall elect a fund share holder
As the host of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or
The General Meeting of Fund Unitholders shall not affect the validity of the resolutions made at the General Meeting of Fund Unitholders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except as provided in the second item below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Unless otherwise agreed in the fund contract,
Change the operation mode of the fund, change the fund manager or fund custodian, terminate the fund contract
The merger of other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
Written voting opinions conforming to the provisions of the notice of meeting shall be deemed as valid voting, and the voting opinions are ambiguous or contradictory
The fund share represented by the fund share holder who issued the written opinion shall be counted as abstention from voting
total.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of written voting opinions, it shall not affect the counting and voting results.
8、 Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the designated media within 2 days from the effective date. If using
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the full text of the notarial certificate
The name of the certification authority and the notary shall be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
9、 This part deals with the causes, conditions, procedures and voting of the general meeting of fund share holders
Conditions and other provisions, which directly refer to laws, regulations or regulatory rules, such as future laws, regulations or regulations
If the amendment of the rules results in the cancellation or change of the relevant contents, the fund manager may directly report to the Head Office after making an announcement in advance
It is not necessary to convene a general meeting of fund share holders to review and adjust the contents.
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution shall be made by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: the resolution of the general meeting of fund share holders to select the fund manager must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
Announcement shall be made in the designated media within 2 days after the resolution of the general meeting of shareholders takes effect;
6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner
The Fund Manager or the new Fund Manager shall take over in a timely manner. The new Fund Manager shall check with the Fund Custodian
Total value of fund assets;
7. Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for record
The expenses shall be disbursed from the fund assets;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
Announcement shall be made in the designated media within 2 days after the resolution of the general meeting of shareholders takes effect;
6. Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and appoint a new fund custodian or temporarily
The Fund Custodian shall take over in a timely manner. The new Fund Custodian checks the total value of the Fund's assets with the Fund Manager;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for record
The expenses shall be disbursed from the fund assets.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian.
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and Fund Custodian shall change the Fund Manager and Fund Custodian
A joint announcement shall be made on the designated media within 2 days after the resolution of the general meeting of fund unit holders of the custodian takes effect.
（4） The new fund manager accepts the fund management business or the new fund custodian accepts the fund assets and funds
Prior to the custody business, the original fund manager or fund custodian shall continue to perform relevant duties and ensure that no
The act of harming the interests of fund share holders. The original fund manager or fund custodian continues to perform
During the period of relevant duties, he still has the right to collect fund management fees or fund custody fees in accordance with the provisions of this Fund Contract.
3、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
References to laws, regulations or regulatory rules, such as the relevant contents caused by the modification of laws, regulations or regulatory rules in the future
In case of cancellation or change, the Fund Manager and the Fund Custodian can directly compare with each other after reaching an agreement and making an announcement in advance
The contents shall be modified and adjusted without convening a general meeting of fund share holders for deliberation.
Part X Custody of the Fund
The Fund Custodian and the Fund Manager enter into a trust agreement in accordance with the Fund Law, the Fund Contract and other relevant provisions
Management agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
Obligations and responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
Part XI Registration of Fund Units
1、 Fund share registration business
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf of others, establishing and keeping the register of fund share holders and handling non trading transfer.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
Handling. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall sign an entrustment agreement with the agent
Management agreement to clarify the fund manager and agency's management of the investor's fund account, fund share registration
The right to liquidate and confirm fund transactions, distribute dividends, establish and keep the register of fund share holders and other matters
And obligations to protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the designated media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration business of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institutions recognized by the CSRC. Its retention period shall not start from the date of cancellation of the fund account
Less than 20 years;
4. Having the obligation to keep confidential the fund account information of the fund share holder
Investors or funds shall bear corresponding compensation liability for losses incurred, but judicial compulsory inspection and laws
Other circumstances stipulated by laws and regulations, the CSRC and the fund contract are excluded;
5. Handle non trading transfer business and provide other services for investors according to the fund contract and prospectus
Necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Part XII Investment of the Fund
1、 Investment objectives
The Fund, through the organic combination of various investment strategies and under the premise of strict control of portfolio risk,
Strive to realize the long-term steady appreciation of fund assets.
2、 Investment scope
The investment objects of the Fund are financial instruments with good liquidity, including those issued and listed in China according to law
Stocks (including SMEs, GEM and other stocks approved by the CSRC for listing), mainland and Hong Kong
Stocks listed on the Stock Exchange of Hong Kong (hereinafter referred to as "the Stock Exchange") that are allowed to be traded under the stock market trading interconnection mechanism
"Hong Kong stocks"), bonds (including government bonds, central bank bills, local government bonds, short-term financing bonds
Ultra short-term financing bonds, medium-term notes, financial bonds, corporate bonds, corporate bonds, subordinated bonds, convertible bonds
Corporate bonds (including separable convertible bonds), exchangeable corporate bonds, etc.), asset-backed securities, bond repurchase
Bank deposits, inter-bank certificates of deposit, money market instruments, stock index futures, treasury bond futures, laws and regulations or China Securities
Other financial instruments permitted by the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform appropriate
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's stock investment in the Fund's assets is 0-95% (of which
The proportion shall not exceed 50% of the stock assets). The proportion of the Fund's investment in interbank deposit receipts shall not exceed the Fund's assets
20%. At the end of each trading day, after deducting the trading deposits required to be paid for stock index futures and treasury bond futures contracts,
Cash or government bonds with a maturity of less than one year shall not be less than 5% of the net asset value of the fund. Including cash
It does not include settlement provisions, deposits, purchase receivables, etc.
The investment proportion of stock index futures and treasury bond futures shall be implemented in accordance with laws and regulations or the provisions of regulatory agencies. If
When laws and regulations or the CSRC change the investment proportion limit of investment varieties, the fund manager is performing appropriate procedures
After that, you can adjust the investment proportion of the above investment varieties.
3、 Investment strategy
1. Asset allocation strategy
The fund manager will form a major category of assets based on various economic operation indicators and typical index valuation status
To determine the expected return and risk, and then determine the stocks, bonds, money market instruments and other funds in the portfolio
The specific proportion of financial instruments.
Specific indicators include:
(1) Macroeconomic indicators, including GDP growth rate, industrial added value, PPI, CPI, and market interest rate
Changes, import and export trade data, financial policies, etc. to judge the impact of economic fluctuations on the market;
(2) Micro economic indicators, including profit changes and profit expectations of major enterprises in various industries;
(3) Market indicators, including the rise and fall of stock and bond markets, expected yield, and the overall market
Valuation level and comparison with foreign markets, market capital supply and demand relationship and changes;
(4) Policy factors, the impact of various policies closely related to the securities market on the market, etc.
When the Fund invests in equity assets, it assesses the systematic risk according to the overall valuation level of the CSI 500 Index
Insurance, so as to determine the investment proportion of equity assets.
At the end of last month, the percentile of the daily P/B ratio P/B of the CSI 500 Index in the past 10 years, the lower limit of the proportion of stock assets in fund assets this month, the upper limit of the proportion of stock assets in fund assets this month
90th percentile and above 0% 45%
70th percentile (inclusive) to 90th percentile 20% 65%
20 (inclusive) to 70 30% 75%
50% and 95% below the 20th percentile
2. Stock investment strategy
(1) Industry allocation strategy: the Fund's industry allocation will comprehensively consider various factors
Analyze the macro-economy, industrial policies and industry prosperity, and select the development prospects from both qualitative and quantitative perspectives
The key allocation shall be carried out for industries with good or better prosperity. At the qualitative analysis level, the Fund focuses on the macro economy
On the basis of operation and economic cycle monitoring, from the economic cycle factors, industrial development policy factors, industrial structure
Construct multiple indicators such as change trend factors and industry's own boom cycle factors to grasp the boom degree of different industries
Changes and performance growth trend. In terms of quantitative analysis, the Fund plans to adopt various financial indicators and valuation indicators
Multidimensional comprehensive judgment of industry prosperity. Based on the results of qualitative and quantitative analysis, the Fund will determine different industries
And dynamically adjust through continuous tracking of economic cycle, industry cycle and industry prosperity
Industry allocation proportion.
(2) Individual stock investment strategy: on the basis of industry determination, the Fund conducts quantitative analysis and qualitative analysis
Analysis, the bottom-up selection of A-shares and Hong Kong shares with sustainable innovation and growth potential and reasonable valuation
Investment by municipal companies.
1) Quantitative analysis: A series of valuation indicators of the Fund analyze the internal value of listed companies. Mining
The specific financial indicators used mainly include growth rate of main business income, growth rate of net profit and return on net assets
And other financial indicators, as well as PE, PB, PEG and other valuation indicators.
2) Qualitative analysis: the sustainability of the company's profit growth mainly depends on the company's core competitiveness. Therefore,
On the basis of quantitative screening, the Fund will grasp the advantages of technology, resources and business model
The quality and sustainability of the company's innovation ability and profitability, and then judge the sustainability of the company's growth.
(3) Hong Kong stock investment strategy
The Fund will only invest in the Hong Kong stock market through the Shanghai Hong Kong stock market trading interconnection mechanism. Base
Jin will focus on:
1) High quality Chinese companies with industry representation, as well as local listing in Hong Kong, which is rare in A-share market
Companies and foreign companies.
2) Thematic industry stocks in line with mainland policies and investment logic;
3) Compare the quality, valuation level and other factors of similar companies in the individual stock market and A-share market, and optimize the quality
A company with excellent land and prosperous industry.
The Fund may, according to the needs of its investment strategy or the changes in the market environment of different allocation places, choose to integrate some of the
Gold assets invest in Hong Kong stocks or choose not to invest fund assets in Hong Kong stocks. Fund assets are not necessarily invested in Hong Kong stocks.
3. Bond investment strategy
Security and liquidity are the main concerns of the Fund when investing in bonds. Through in-depth distribution, the Fund
Analysis of macroeconomic data, monetary policy and interest rate trends, as well as yield levels of different categories
Considering factors such as liquidity and credit risk, construct a portfolio of bonds and money market instruments that can provide stable returns.
The Fund's investment in convertible corporate bonds and exchangeable corporate bonds will be based on the following three aspects of analysis:
Value analysis, debt equity analysis and company fundamentals analysis. Through the above analysis, we strive to select the bond value of
Invest in varieties with certain support, good security and liquidity, and good growth of the issuer.
4. Derivatives investment strategy
The derivatives investment of the Fund will strictly comply with the restrictions of the CSRC and relevant laws and regulations, with reasonable profits
Use derivative instruments such as treasury bond futures and stock index futures to explore possibilities with quantitative methods for hedging purposes
Arbitrage opportunities. The investment principle is to be conducive to the appreciation of fund assets, control the downside risk, and realize the preservation and locking
profit.
5. Asset backed securities investment strategy
Asset backed securities mainly include asset-backed securities (ABS) and residential mortgage loan support
Securities (MBS) and other securities. The Fund will focus on the structure of market interest rate, issuance terms and supporting assets
Price and quality, prepayment rate, risk compensation income and market liquidity that affect the value of asset-backed securities
Factors are analyzed, and the quantitative pricing model is used to evaluate the relative investment value of asset-backed securities
And make corresponding investment decisions.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's stock assets in the Fund's assets is 0% - 95% (including investment in Hong Kong Stock Standard
The proportion of the shares shall not exceed 50% of the stock assets);
(2) At the end of each trading day, the Fund deducts the transactions required to pay for stock index futures and treasury bond futures contracts
After the deposit, the cash or government bonds with maturity within one year shall not be less than 5% of the net asset value of the fund; his
Among them, cash does not include provisions for settlement, deposits and subscription receivables;
(3) The market value of securities issued by one company held by the Fund (if the Fund also holds securities issued by one company
The total market value of A shares and H shares shall not exceed 10% of the net asset value of the Fund;
(4) All funds under the management of the Fund Manager hold securities issued by a company (if held at the same time
A share and H share issued by a company is the total market value of A share and H share), which does not exceed
10％；
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All of them will be sold within 3 months from the date of release of the level report;
(10) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(11) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed
40% of the net asset value of gold, and the maximum term of bond repo in the national inter-bank market is one year,
No extension is allowed after the maturity of bond repurchase;
(12) The total value of the Fund's assets shall not exceed 140% of the Fund's net asset value;
(13) The Fund's participation in the trading of stock index futures and treasury bond futures shall comply with the following provisions:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of net asset value;
2) At the end of any trading day, the value of the purchased stock index futures and treasury bond futures contracts held by the Fund
The sum of market values of securities shall not exceed 95% of the net asset value of the fund. Among them, marketable securities refer to stocks and bonds
Securities (excluding government bonds with maturity of less than one year), asset-backed securities, redemptory financial assets for sale (not
Including pledge repurchase), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed that of the Fund
20% of the total market value of the shares held;
4) The transaction amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 20% of the net asset value of the Fund on the previous trading day;
5) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold, total (netting
Calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment;
6) At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed
15% of net asset value;
7) At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed that of the Fund
30% of the total market value of bonds held;
8) Market value and purchase
The total value of the sold treasury bond futures contract (calculated by netting) should conform to the proportion of bond investment in the fund contract
Relevant agreements of;
9) Transaction amount of treasury bond futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 30% of the net asset value of the Fund on the previous trading day;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
15% of; Due to fluctuations in the securities market, suspension of listed company shares, changes in fund size, etc
If the Fund does not meet the proportion limit specified in the preceding paragraph due to other factors, the Fund Manager shall not actively add new funds
Investment in restricted liquidity assets;
(15) All open-ended funds managed by the Fund Manager hold tradable funds issued by a listed company
Shares shall not exceed 15% of the tradable shares of the listed company; All investment groups managed by the Fund Manager
The number of tradable shares jointly held by a listed company shall not exceed 30% of the tradable shares of the listed company;
(16) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the Fund contract
Keep the enclosure consistent;
(17) The proportion of the Fund's investment in interbank deposit receipts shall not exceed 20% of the Fund's assets;
(18) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Except for items (2), (9), (14) and (16), due to fluctuations in securities and futures markets, merger of listed companies
The fund investment proportion does not meet the above requirements due to factors other than the fund manager, such as fund size change
The fund manager shall adjust the proportion within 10 trading days, but the special
Except in this case.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or in accordance with the adjusted provisions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
If laws, administrative regulations or regulatory authorities cancel the above prohibitive provisions, if applicable to the Fund
The administrator may not be subject to the above provisions after performing the appropriate procedures.
5、 Performance Benchmark
Yield of China Securities 500 Index × 60%+yield of Hang Seng Index × 10%+yield of Shanghai Securities National Debt Index ×
30%。
The CSI 500 Index was developed by CSI Index Co., Ltd. The stocks in its sample space are all A
Excluding the constituent stocks of the CSI 300 Index and the top 300 stocks in terms of total market value, the total market value ranked top
500 shares, comprehensively reflecting the stock price list of a group of small and medium-sized companies in China's A-share market
Now.
The Hang Seng Index is compiled by Hang Seng Index Services Limited and listed on 50 Hong Kong stock markets
The stock is a sample of constituent stocks. The weighted average stock price index weighted by its issuance reflects the price of the Hong Kong stock market
The stock index with the most influential amplitude trend. The Fund selects this index to measure the performance of Hong Kong stock investment.
The Shanghai Securities Bond Index is prepared and released by the China Securities Index Company and listed on the Shanghai Stock Exchange
The fixed rate national debt is a sample, weighted according to the issuance. Its compilation method draws lessons from the international mature market owners
The compilation method and characteristics of the current bond index have fully considered the current situation of the development of the domestic bond market
It has the advantages of learning, rationality, simplicity and easy replication. It has a good representation of the bond market.
Based on the investment scope and investment proportion restrictions of the Fund, it is better to select the above performance benchmark
Reflect the risk return characteristics of the Fund.
If the laws and regulations change in the future, or there are other more representative or scientific customers in the securities market
When the benchmark of performance comparison is applicable to the Fund, the Fund Manager can compare the performance according to the actual situation
The benchmark shall be adjusted accordingly. The adjustment of performance benchmark shall be approved by the fund custodian and reported to the CSRC for filing
And make an announcement in advance without convening a general meeting of fund share holders.
6、 Risk return characteristics
The Fund is a hybrid fund with higher expected risks and returns than bond funds and money market funds,
However, it is lower than equity funds.
The Fund can invest in Hong Kong Stock Connect, except that it needs to bear market waves similar to domestic securities investment funds
In addition to general investment risks such as dynamic risks, the Fund also faces foreign securities such as exchange rate risk and Hong Kong market risk
Special investment risks faced by market investment.
7、 Principles and methods for the Fund Manager to exercise the rights of shareholders or creditors on behalf of the Fund
1. The Fund Manager shall independently exercise the rights of shareholders or creditors on behalf of the Fund in accordance with the relevant provisions of the State, and ensure that
Protect the interests of fund share holders;
2. Do not seek to control the listed company;
3. It is conducive to the safety and appreciation of fund assets;
4. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to the value of various securities and notes purchased, the principal and interest of bank deposits and the amount receivable by the fund
The total value of fund subscription and other investments.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
And other special accounts required for investment. Special fund account opened, fund manager and fund custody
The property accounts owned by the fund sales agency, the fund registration agency and other fund property accounts are independent.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Some assets bear their own legal liabilities, and their creditors shall not apply for freezing or withholding of the Fund's assets
Pledge or other rights. The Fund property may not be disposed of except in accordance with laws and regulations and the Fund Contract.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Stocks, stock index futures contracts, treasury bond futures contracts, bonds and principal and interest of bank deposits owned by the Fund
Assets and liabilities such as receivables and other investments.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with
Accounting Standards and relevant regulations of regulatory authorities.
（1） For investment varieties with an active market and the same quoted price of assets or liabilities
If there is a quotation on a daily basis, the quotation shall be applied to the fund without adjustment, except for the exceptions specified in the accounting standards
Fair value measurement of assets or liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the latest trading day
In case of major events, the quoted price on the latest trading day shall be used to determine the fair value. There is sufficient evidence to indicate the valuation
If the quoted price on the latest trading day cannot truly reflect the fair value, the quoted price shall be adjusted to determine the fair value
Value.
The fair value of the same assets or liabilities shall be used if they are similar to the above investment varieties but have different characteristics
And consider the influence of different characteristic factors in the valuation technology. Feature refers to the sale or use of assets
If the limit is for the asset holder, the limit should not be made in the valuation technology
Consider the characteristics. In addition, the fund manager should not consider the risk of
Premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable for the current situation and have enough
The fair value can be determined by using valuation techniques supported by data and other information. Use valuation techniques to determine fair price
The observable input value should be used preferentially, only when the observable input value of relevant assets or liabilities cannot be obtained
The unobservable input value can be used only when it is impracticable.
（3） In case of major changes in the economic environment or major events affecting the securities price of the securities issuer,
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%, the valuation should be
Adjust and determine the fair value.
4、 Valuation method
1. Valuation of securities listed on stock exchanges
(1) Securities (including stocks, etc.) listed on the stock exchange shall be listed on the stock exchange on the valuation date
Valuation of market price (closing price); There is no transaction on the valuation date, and there is no significant economic environment after the most recent transaction date
In case of change or no major event affecting the securities price occurs to the securities issuer, the market price of the latest trading day shall be used
(closing price) valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer has
In case of major events affecting the securities price, the current market price and major change factors of similar investment varieties can be referred to,
Adjust the market price of the latest transaction and determine the fair price;
(2) For the non equity fixed income varieties listed or transferred by the Exchange, select the third one on the valuation date
Party A's valuation agency provides the net valuation price of the corresponding varieties on the current day for valuation;
(3) The third party on the valuation date shall be selected for the types of fixed income with rights listed or transferred by the Exchange
The only net valuation price or the recommended net valuation price of the corresponding variety provided by the valuation agency on the day of valuation;
(4) For convertible bonds listed and traded on the Exchange, the full valuation price shall be the daily closing price;
(5) The fair value of the securities listed on the Exchange without an active market shall be determined by valuation techniques.
The fair value of asset-backed securities listed and transferred in the exchange market shall be determined by valuation techniques;
(6) For unlisted or unlisted bonds issued in the exchange market
Under such circumstances, the unadjusted quotation in the active market shall be taken as the fair value on the valuation date; For active markets
If the quotation fails to represent the fair value on the valuation date, the market quotation shall be adjusted to confirm the
Fair value; In the case of no or few market activities, valuation techniques should be used to determine
Its fair value.
2. The securities in the unlisted period shall be handled according to the following circumstances:
(1) The shares issued for dividend, conversion, allotment and public issuance shall be listed on the stock exchange on the valuation date
The valuation method of the same stock; If there is no transaction on that day, the market price (closing price) of the latest day shall be used for valuation;
(2) The initial public offering of unlisted or unlisted transferred stocks and bonds shall be determined by valuation techniques
Fair value: if it is difficult to reliably measure the fair value by valuation technology, it shall be valued at cost;
(3) The shares with a certain period of restricted sale shall be specified at the time of issuance, including but not limited to non-public issuance of shares
During the initial public offering of shares, the company's shareholders offered shares to the public, and obtained shares with limited sales period through block trading
Notes, excluding tradable restricted stocks such as suspended trading, newly issued unlisted, pledged bonds in repurchase transactions, etc
The fair value is determined according to the relevant regulations of the governing body or industry association.
3. Valuation of transaction varieties in the national inter-bank market
(1) For the fixed income varieties without rights in the national inter-bank market, it shall be withdrawn according to the third-party valuation agency
The estimated net price of the corresponding varieties provided on the current day. For the types of fixed income with rights in the inter-bank market
The only or recommended net valuation price of the corresponding variety provided by the third-party valuation agency on the current day. about
Fixed income varieties including the investor's right to sell back have not exercised the right to sell back after the deadline of the registration period (including the date)
The valuation is based on the price corresponding to the long outstanding period.
(2) For bonds that are not listed in the inter-bank market and the third-party valuation agency does not provide valuation prices
There is no significant difference between the issuance interest rate and the secondary market interest rate, and the market interest rate has not changed significantly during the unlisted period
In case of any change, it shall be valued at cost.
4. If the same security is traded in two or more markets at the same time, it shall be separately evaluated according to the market in which the security is located
Value.
5. The Fund's investment in stock index futures and treasury bond futures contracts is valued at the settlement price on the valuation day
If there is no settlement price on the value day, and there is no significant change in the economic environment after the latest trading day, the latest transaction shall be adopted
Valuation of daily settlement price. If laws and regulations provide otherwise in the future, such provisions shall prevail.
6. In case of large purchase or redemption, the Fund Manager may adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
7. If the exchange rate between Hong Kong dollar and RMB is involved in the valuation calculation, it will be based on the information provided by the following information provider
Based on the central parity rate between RMB and Hong Kong dollar published by the People's Bank of China on that day.
8. If there is conclusive evidence that the original method of valuation cannot objectively reflect the above assets or liabilities
In case of allowable value, the Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances
Value.
9. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between relevant parties
The Fund Manager shall publish the calculation results of the net asset value of the Fund.
5、 Valuation procedures
1. The net value of various fund units is calculated by dividing the net asset value of such fund by the current
The daily balance of such fund units shall be calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place.
If the subscription or redemption of investors is confirmed according to the net value of shares with the above reserved digits, the fund may
If the net value of units fluctuates sharply, in order to safeguard the interests of fund unit holders, the Fund Manager and the Fund Custodian shall consult
After the agreement is reached, the reserved digits of the net value of fund units can be temporarily increased and confirmed accordingly, and after confirmation
It will be recovered after completion, and the specific number of reserved digits shall be subject to the announcement at that time. If the state has other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net value of various fund units on each working day, and shall publish
Notice.
2. The Fund Manager shall evaluate the assets of the Fund every working day. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. After the fund manager evaluates the fund assets every working day,
The net value results of various fund units shall be sent to the Fund Custodian, and after the Fund Custodian has verified that there is no error, the fund shall be managed by the Fund
The manager shall be announced to the public.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When a valuation error occurs within 4 decimal places (including the 4th decimal place) of the net value of fund units
It shall be deemed that the net value of fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
"Valuation error handling principle" shall pay compensation and bear compensation liability.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the liability for valuation error
Party A shall compensate the loss of the injured party, and shall, within the scope of the amount of compensation paid
People have the right to demand the delivery of unjust enrichment; If the party who has obtained the unjust enrichment has wronged this part
If the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of unjust gains it has received
The difference between the total return of interest and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the registration authority according to the method of valuation error processing, the registration authority shall
Make corrections and confirm the correction of valuation errors to relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses.
(2) When the error deviation reaches 0.25% of the net value of fund units, the fund manager shall notify the fund trust
And report to the CSRC for filing; When the error deviation reaches 0.50% of the net value of fund units, the fund manager
It shall be announced and reported to the CSRC for record.
(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions. If line
In other general practice, the Fund Manager and the Fund Custodian shall act on the basis of equality and protect the interests of Fund Unitholders
The principle of benefit shall be consulted.
7、 Suspension of valuation
1. The securities/futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After recognition, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by the CSRC and the fund contract.
8、 Recognition of net fund value
The net asset value of the fund used for fund information disclosure and the net value of fund units of various fund units are determined by the fund
The Manager is responsible for calculation and the Fund Custodian is responsible for review. The Fund Manager shall settle the transaction on each open day
The net value of the fund assets and the net value of the fund units of various fund units on the current day are calculated after the bundle and sent to the fund depository
Manage people. The fund custodian shall review and confirm the net value calculation result and send it to the fund manager, who shall
Publish the net value of the fund.
9、 Handling of special cases
1. Errors caused by the Fund Manager or the Fund Custodian when conducting valuation according to Item 8 of the valuation method
The difference is not treated as an error in the valuation of fund assets.
2. Due to force majeure, or data errors sent by securities and futures exchanges and their registration and clearing companies
And other reasons, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection
Check, but fail to find the error, resulting in fund asset valuation error, fund manager and fund
The trustee may be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures
Eliminate or mitigate the impact caused thereby.
Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Sales service fees for Class C fund units;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect;
6. Expenses for the general meeting of fund share holders;
7. Securities and futures trading expenses of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. All reasonable expenses arising from investment in Hong Kong stocks;
11. Other expenses that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the provisions of the fund contract.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at an annual fee rate of 0.60% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H ＝ E × 0.60% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the custodian has checked the consistency, it shall withdraw the funds from the fund assets within 5 working days from the first day of the next month in a manner agreed by both parties
One time payment to the fund manager. If the payment cannot be made on time due to legal holidays, public holidays or force majeure
If the payment is made, the date of payment shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.10% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.10% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the custodian has checked the consistency, it shall withdraw the funds from the fund assets within 5 working days from the first day of the next month in a manner agreed by both parties
One time withdrawal. If the payment cannot be made on time due to legal holidays, public holidays or force majeure, the payment date
The period shall be postponed.
3. Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the sales service fee for Class C fund units is
The annual fee rate is 0.30%.
The sales service fee for Class C fund units shall be 0.30% of the net asset value of Class C fund units on the previous day
Accrual of annual fee rate. The calculation method is as follows:
H ＝ E × 0.30% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The sales service fee for Class C fund units is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Manager and the Fund Custodian have checked the consistency, they shall, within 5 working days from the first day of the next month, in a manner agreed by both parties
The fund property shall be paid to the registration authority in a lump sum, and the registration authority shall pay to each fund sales agency separately.
If the payment cannot be made on time due to legal holidays, public holidays or force majeure, the payment date shall be postponed.
The sales service fee for Class C fund units will be used exclusively for the promotion and sale of the Fund and the holding of fund units
Human service.
Items 4-11 of the above "I. Types of Fund Fees" shall be paid in accordance with relevant regulations and corresponding agreements
It shall be included in the current expenses according to the actual amount of expenses, which shall be paid by the Fund Custodian from the Fund assets.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
As for the balance after expenses, the realized income of the fund refers to the balance of the fund profit minus the income from changes in fair value.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose,
The Fund's default income distribution method is cash dividends;
2. After the distribution of fund income, the net value of fund units cannot be lower than the par value, that is
The net value of various fund units less the amount of income distribution per unit of such fund units cannot be lower than the par value;
3. Since Class A fund units of the Fund do not charge sales service fees, while Class C fund units are charged for cancellation
Selling service fee, the distributable profits corresponding to each fund unit category will be different, and the fund is in the same category
Each fund unit has the same right of distribution;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In the case of no material adverse effect on the interests of fund share holders, the Fund Manager may
Adjust the above fund returns as appropriate after performing appropriate procedures as required by the regulatory authorities, provided that regulations permit
Distribution principle, this adjustment does not need to convene a general meeting of fund share holders, but should be made before the change implementation date
Determine the media announcement.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian within 2 days
Announce on the designated media.
6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. When
When the investor's cash dividend is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund
The registration institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. Bonus
The investment shall be calculated in accordance with the Business Rules.
Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the fund contract takes effect for less than 2 months, it can be incorporated into the next accounting year
Degree;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
And confirmed in writing.
2、 Annual audit of the Fund
1. The fund manager hires securities and futures that are independent of the fund manager and the fund custodian
Certified public accountants with relevant business qualifications and their certified public accountants shall review the annual financial statements of the Fund
Count.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced by designated media within 2 days.
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, fund contracts and other relevant regulations.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Fund Unitholders and other laws and regulations of the General Meeting and natural persons, legal persons and groups of non legal persons as stipulated by the CSRC
Woven.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and in accordance with the law
Disclose fund information in accordance with regulations and the provisions of the CSRC, and ensure the authenticity, accuracy
Completeness, timeliness, simplicity and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
The information is collected through the national newspapers and periodicals designated by the CSRC (hereinafter referred to as "designated newspapers and periodicals") and the designated Internet network
Website (hereinafter referred to as "designated website"), including fund manager website, fund custodian website, China Securities Regulatory Commission
Fund electronic disclosure website) and other media, and ensure that fund investors can
The time and method of consulting or copying publicly disclosed information.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If a foreign language text is used at the same time, the fund
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The text shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Yuan.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund contract, custody agreement, prospectus, summary of fund product information
1. The fund contract defines the rights and obligations of the parties to the fund contract and defines the fund shares
The rules and specific procedures for the holding of the general meeting of the holders, stating that the characteristics of the fund products, etc., involve major issues of the fund investors
Legal documents on matters of interest.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders. After the Fund Contract comes into effect, the information in the Fund Prospectus occurs
In case of major changes, the Fund Manager shall update the Fund Prospectus within three working days and publish it in the
On the website; If other information in the prospectus changes, the fund manager shall update it at least once a year.
If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information of the fund. After the fund contract takes effect, the information in the fund product information summary has changed significantly,
The fund manager shall, within three working days, update the summary of fund product information and publish it on the designated website and
Website or business outlet of fund sales agency; In case of any change in other information of the fund product information summary
The manager shall be updated at least once a year. If the fund terminates its operation, the fund manager will no longer update the fund product information
Yes.
After the application for fund raising has been registered by the CSRC, the fund manager shall, within three days of the sale of the fund units
The announcement of the sale of fund units, the indicative announcement of the prospectus and the indicative announcement of the fund contract
It shall be published in the designated newspapers and periodicals, and shall include the fund unit offering announcement, fund prospectus, fund product information summary
The fund contract and fund custody agreement are published on the designated website, and the summary of fund product information is published on the fund
Website or business outlet of sales agency; The fund custodian shall simultaneously publish the fund contract and the fund custody agreement
On the website.
（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units on the specific matters concerning the sale of fund units, and
The prospectus was published on the designated media on the day of disclosure.
（3） Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC, publish the Fund on the designated media
Announcement of the effectiveness of the Contract.
（4） Net fund value information
After the Fund Contract comes into force and before starting to handle the subscription or redemption of fund units, the Fund Manager shall
Disclose the net value of various fund units and the accumulated net value of fund units less than once a week on the designated website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of, disclose all kinds of funds on the open day through designated websites, fund sales agency websites or business outlets
Net value of units and cumulative net value of fund units.
The Fund Manager shall disclose the semi annual report on the designated website no later than the next day after the last day of the semi annual report and the annual report
Net value of various fund units and accumulated net value of fund units on the year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall upload the application for fund shares in the fund contract, prospectus and other information disclosure documents
Calculation method of purchase and redemption price and relevant purchase and redemption rate, and ensure that investors can sell funds
The website or business outlet of the institution looks up or copies the above information.
（6） Regular reports of the Fund, including annual reports, semi annual reports and quarterly reports of the Fund
The Fund Manager shall complete the annual report of the Fund within three months from the end of each year
The annual report is published on the designated website, and the advisory announcement of the annual report is published on the designated newspaper. Fund year
The financial accounting report in the report shall be approved by an accounting firm with securities and futures related business qualifications
Audit.
The Fund Manager shall, within two months from the end of the first half of the year, prepare the interim report of the Fund and
The interim report is published on the designated website, and the indicative announcement of the interim report is published on the designated newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter,
Publish the quarterly report on the designated website, and publish the prompt announcement of the quarterly report on the designated newspaper.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the rights and interests of other investors, the Fund Manager shall at least report "impact on investment" on a regular basis
The investor's category, held shares and proportion at the end of the reporting period
Changes in shares held during the reporting period and the unique risks of the Fund, except for special circumstances recognized by the CSRC
Outside.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
（7） Interim report
If a major event occurs to the Fund, the relevant information disclosure obligor shall prepare an interim report within 2 days,
And published on the designated newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. Fund contract termination and fund liquidation;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation, review and other matters of the Fund on its behalf;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The Fund Manager changes the actual control of shareholders holding more than 5% of the equity and the Fund Manager
Person change;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior management of the fund manager, fund manager and special fund custody department of the fund custodian
The person in charge changes;
10. If the directors of the Fund Manager have changed by more than 50% in the last 12 months, the Fund Manager
The main business personnel of the Fund Custodian's Fund Custody Department have changed by more than 30% in the last 12 months;
11. Litigation or arbitration involving fund property, fund management business and fund custody business;
12. The fund manager or its senior managers and fund managers are subject to
Major administrative punishment and criminal punishment, and the fund custodian or the head of its special fund custody department
Business related behaviors are subject to major administrative and criminal penalties;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Management fee, custody fee, subscription fee, redemption fee, sales service fee of Class C fund units, etc
Changes in accrual standard, accrual method and rate;
16. The valuation error of the net value of fund units reaches 0.5% of the net value of fund units;
17. The Fund begins to handle subscription and redemption;
18. The Fund is redeemed in large amount and postponed;
19. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
20. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
21. Add or adjust the setting of the fund unit category;
22. Major events involving adjustment of fund subscription and redemption events or potential impact on investors' redemption occur;
23. The Fund Manager adopts the swing pricing mechanism for valuation;
24. Number of fund unit holders for 30 consecutive working days, 40 working days and 45 working days
The number is less than 200 or the net asset value of the fund is less than 50 million yuan;
25. The price that the Fund Information Disclosure Obligor believes may be paid to the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact or other matters specified by the CSRC.
（8） Clarification announcement
During the duration of the Fund Agreement, any news appearing in any public media or circulating in the market may
Can have a misleading impact on the price of fund units or cause major fluctuations, and may damage fund units
If the rights and interests of the holder are known, the relevant information disclosure obligor shall immediately make public clarification on the information, and
Immediately report relevant information to the CSRC.
（9） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to conduct a review of the fund assets in accordance with the law
Bank liquidation and make liquidation report. The fund assets liquidation team shall publish the liquidation report on the designated website,
And publish the suggestive announcement of the liquidation report on the designated newspaper.
（10） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund unit holders shall be reported to the CSRC for record and announced in accordance with the law.
（11） Information disclosure of investment asset-backed securities
The Fund Manager shall disclose the total amount of asset-backed securities held by it
The proportion of the market value of asset-backed securities in the net assets of the fund and the details of all asset-backed securities during the reporting period.
The Fund Manager shall disclose the total amount of asset-backed securities and asset-backed securities held by it in the quarterly report of the Fund
The proportion of the market value of securities in the net assets of the fund and the ranking by the proportion of the market value in the net assets of the fund at the end of the reporting period
Details of the top 10 asset-backed securities.
（12） Information disclosure of fund investment in stock index futures
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
New) and other documents disclose the trading of stock index futures, including investment policies, positions, profits and losses, and risks
And fully reveal the impact of stock index futures trading on the overall risk of the fund and whether it conforms to the established
Investment policies and investment objectives.
（13） Information disclosure of investment in treasury bond futures
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
New) and other documents, including investment policies, positions, profits and losses, and risks
And fully reveal the impact of treasury bond futures trading on the overall risk of the fund and whether it conforms to the established
Investment policies and investment objectives.
（14） Information disclosure of investment in Hong Kong stocks
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
New), etc.
（15） Other information specified by the CSRC.
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
The disclosure content and format standards and other regulations.
The Fund Custodian shall, in accordance with the relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract,
The net asset value of the fund, the net value of various fund units, the purchase and redemption price of fund units
Fund periodic report, updated prospectus, summary of fund product information, fund liquidation report, etc
The disclosed relevant fund information shall be reviewed and verified, and confirmed in writing or electronically to the fund manager.
The Fund Manager and the Fund Custodian shall choose one of the designated newspapers to disclose the information of the Fund.
The fund manager and the fund custodian shall submit the funds to be disclosed to the fund electronic disclosure website of the CSRC
Information, and ensure the authenticity, accuracy, integrity and timeliness of the information submitted.
In addition to disclosing information on designated media according to law, the Fund Manager and the Fund Custodian may also, as required
Disclose information in other public media, but other public media shall not disclose information earlier than the designated media, and
The content of the same information disclosed on different media shall be consistent.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on investment
From the perspective of providing useful information when making decisions, we should ensure that investors are treated fairly, not mislead investors, and not affect the
Under the premise of normal investment operation, independently improve the quality of information disclosure services. The specific requirements shall meet the requirements of
Relevant provisions of the CSRC and self regulatory rules. In case of information disclosure fees arising from the aforesaid independent disclosure, such fees shall not
It may be disbursed from the fund assets.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
The business institution shall prepare working papers and keep relevant files for at least 10 years after the termination of the fund contract.
7、 Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
Regulations require that information be kept at the company's domicile for public reference and reproduction.
8、 Suspension or delay of disclosure of fund information
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
(1) Force majeure;
(2) Valuation suspension occurs;
(3) Other circumstances stipulated by laws and regulations, the CSRC or the fund contract.
Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Change of Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian shall make an announcement of the change upon their consent, and report it to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it comes into effect
The resolution shall be announced in the designated media within two days after it takes effect.
2、 Reasons for termination of the Fund Agreement
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the fund contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation group: established within 30 working days from the date of termination of the fund contract
The liquidation group and the fund manager shall organize the fund assets liquidation group and conduct the fund under the supervision of the CSRC
Liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers qualified to engage in securities related businesses, and persons designated by the CSRC
Member composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund contract, the Fund Assets Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
4、 Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid from the fund assets by the fund assets liquidation group in priority.
5、 Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is approved by the accounting firm
After auditing, the law firm shall issue a legal opinion and report it to the CSRC for filing and announcement. Fund asset liquidation
The announcement shall be made within 5 working days after the fund assets liquidation report is submitted to the CSRC for filing
Group.
7、 Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
Where the provisions of laws and regulations or the fund contract stipulate that damage is caused to the fund assets or fund unit holders,
They shall be liable for compensation for their respective acts according to law; Fund assets or fund shares due to joint actions
If the holder causes damage, he shall bear joint and several liability for compensation, and compensation for losses shall be limited to direct losses.
However, the parties may be exempted from liability under the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the then effective laws and regulations or the regulations of the CSRC
Losses caused by acts or omissions;
3. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss caused, etc.
2、 To protect the interests of fund share holders to the greatest extent in the event of breach of contract by one or more parties
If the fund contract can continue to be performed, it shall continue to be performed. Duty of non defaulting party
The enclosure is obliged to take necessary measures in time to prevent the expansion of losses. Loss due to failure to take appropriate measures
In case of further expansion, no claim shall be made for compensation for the expanded losses. Expenses incurred by the non defaulting party to prevent the loss from expanding
The reasonable expenses shall be borne by the defaulting party.
3、 Due to factors beyond the control of the Fund Manager and the Fund Custodian, business errors occur
Although the Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they fail to
The Fund Manager and the Fund Custodian will be exempted from compensation for the loss of the Fund property or investors caused by the discovery of errors
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate the impact caused thereby
Sound.
Part XXI Dispute Settlement and Applicable Law
Disputes arising from or related to the Fund Contract shall be settled by both parties through consultation and mediation,
If no settlement can be reached through consultation or mediation, either party has the right to submit the dispute to Guangzhou Arbitration Commission for arbitration,
The arbitration shall be conducted in accordance with the Commission's arbitration rules in effect at that time, and the place of arbitration shall be Guangzhou. The arbitral award is final,
It shall be binding on all parties to the arbitration. Unless otherwise specified in the arbitration award, arbitration fees and attorney fees shall be paid by
The losing party shall bear the responsibility.
During the dispute settlement period, the parties to the fund contract shall abide by their respective duties and continue to be faithful, diligent and responsible
To perform the obligations specified in the Fund Contract and safeguard the legitimate rights and interests of the Fund Unitholders.
The Fund Contract is applicable to the laws of the People's Republic of China (excluding Hong Kong Special Administrative Region for the purpose of this Fund Contract
Administrative Region, Macao Special Administrative Region and Taiwan Region).
Part XXII Effect of Fund Contract
A fund contract is a legal document that stipulates the rights and obligations between the parties to the fund contract.
1. The Fund Contract is sealed by the Fund Manager and the Fund Custodian and authorized by the legal representatives of both parties
The authorized representative shall sign and seal and go through the fund filing formalities with the CSRC through the fund manager after the end of the offering, and
It shall come into force upon the written confirmation of the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the date when the liquidation results of the Fund assets are reported to the CSRC for recordation
The case shall be announced at the same time.
3. The Fund Contract shall, as of the effective date, hold shares of the Fund Manager, the Fund Custodian and the Fund Units
The parties to the fund contract, including the person, shall have the same legal binding force.
4. The original of the fund contract is in sextuplicate. In addition to submitting it to the relevant regulatory authority in sextuplicate, the fund manager
The Fund Custodian shall each hold two copies, each of which shall have the same legal effect.
5. The fund contract can be printed in a volume for investors to register with the fund manager, fund custodian and sales agency
For office and business premises.
Part XXIII Other Matters
Any matters not covered in the fund contract shall be settled by the parties to the fund contract through consultation in accordance with relevant laws and regulations.
Part XXIV Summary of the Fund Contract
1、 Rights and obligations of the parties to the fund contract
（1） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Agreement, the Fund shall be independently used and managed in accordance with laws, regulations and the Fund Agreement
Gold property;
(3) Collect fund management fees in accordance with the fund contract and those prescribed by laws and regulations or approved by the CSRC
other expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If the fund contract and relevant national laws and regulations are violated, it shall be reported to the CSRC and other regulatory authorities, and
Necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the fund contract;
(10) Decide on the distribution plan of fund income in accordance with the fund contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription and redemption applications within the scope agreed in the fund contract;
(12) Exercising shareholders' rights against the invested company for the benefit of the fund in accordance with laws and regulations, and for the benefit of the fund
To exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(16) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion and non trading transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Agreement, the Fund shall be managed and applied in the principle of good faith, prudence and diligence
Gold property;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund property shall not be used to
They or any third party shall not entrust any third party to operate the fund property for their own benefit;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the fund contract and other legal documents. The net value of the fund shall be calculated and announced in accordance with the relevant provisions
To fix the price for subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure and reporting in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
Obligation to sue;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the fund contract and other relevant provisions, the fund information shall be kept confidential before public disclosure
Personal disclosure;
(13) Determine the fund income distribution plan as agreed in the fund contract and distribute the fund income to fund share holders in a timely manner
Fund allocation income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene a general meeting of fund unit holders in accordance with the Fund Law, the Fund Contract and other relevant provisions
Or cooperate with the Fund Custodian and the Fund Unitholders to convene a general meeting of the Fund Unitholders in accordance with the law;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
Ensure that investors can check the disclosure related to the fund at any time according to the time and method specified in the fund contract
Materials, and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and change of fund assets
Present and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss of fund assets or damage to the legitimate rights and interests of fund share holders due to violation of the fund contract
Shall be liable for compensation, and his liability for compensation shall not be exempted by his retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the custodian violates the fund contract and causes losses to the fund property, the fund manager shall pay
Fund custodian recovery;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions for the Fund during the offering period, and the Fund Contract cannot take effect,
The Fund Manager shall bear all the raising expenses and raise the raised funds in the Fund together with the bank deposit interest for the same period
Return to the fund subscriber within 30 days after the end of the set period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) The Fund shall be safeguarded in accordance with laws, regulations and the provisions of the Fund Contract as of the effective date of the Fund Contract
Property;
(2) Obtaining fund custody fees, laws and regulations or regulatory approval in accordance with the fund contract
other expenses;
(3) Supervise the investment operation of the Fund Manager in the Fund. If the Fund Manager is found to have violated the Fund
The contract and national laws and regulations have caused heavy losses to the fund property and the interests of other parties,
It shall report to the CSRC and take necessary measures to protect the interests of fund investors;
(4) According to relevant market rules, open securities accounts and other investment accounts for the fund
Clearing of securities and futures trading funds;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund property shall not be used to
If they or any third party seeks benefits, they shall not entrust a third party to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager;
(7) To keep fund business secrets, unless otherwise stipulated in the Fund Law, the Fund Contract and other relevant regulations
In addition, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Agreement; If the fund
If the manager fails to implement the provisions of the fund contract, it shall also state whether the fund custodian has taken appropriate measures
measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Establish and maintain the register of fund unit holders;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund manager and fund unit holders;
(16) To supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And bank regulators, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract,
When the Fund Manager causes losses to the Fund's assets due to violation of the Fund Agreement, it shall, for the benefit of the Fund Unitholders
Recovery by the fund manager;
(21) Implement the effective decisions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and fund contract.
（3） Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the fund contract
The fund shares obtained by the fund investor according to the fund contract become the fund share holder and the fund contract
Until they no longer hold the fund shares of the Fund. The fund share holder shall act as the fund contract
The parties do not take the written signature or seal on the fund contract as a necessary condition.
Each fund unit of the same category has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Agreement;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription funds and the fees prescribed by laws, regulations and the fund contract;
(5) It is limited to bear fund losses or terminate fund contracts within the scope of fund units held by it
Responsibility;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund contract;
(7) Implement the effective decisions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Comply with relevant transactions and businesses of the Fund Manager, Fund Custodian, Sales Agency and Registration Agency
Business rules;
(10) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights.
The General Meeting of Fund Unitholders does not have a daily body. During the duration of the Fund, according to the operation of the Fund
If necessary, the general meeting of fund share holders can set up daily institutions, and the establishment and operation of daily institutions should be based on
According to relevant laws and regulations and the provisions of the CSRC.
（1） Reason for convening
1. A general meeting of fund unit holders shall be held when one of the following events occurs or needs to be decided:
(1) Terminate the fund contract, unless otherwise agreed in the fund contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standard of the fund manager and the fund custodian or raise the sales service fee, but
Except that the laws and regulations require to adjust such remuneration standard or increase the sales service fee;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund shares that individually or collectively hold more than 10% (including 10%) of the total fund shares
The amount holder (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) writes about the same matter
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Holding of fund units shall be held as required by laws and regulations, fund contracts or other provisions of the CSRC
Matters of the General Meeting.
2. Within the scope specified by laws and regulations and agreed by the fund contract, and has no real interests for fund share holders
Under the premise of qualitative adverse effects, the following circumstances may be modified after consultation between the Fund Manager and the Fund Custodian
To convene a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the redemption rate, sales service fee, change the charging method
Adjust the setting of the fund unit category of the Fund;
(3) The Fund Contract shall be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment does not
The rights and obligations of the parties involved in the fund contract change;
(5) The fund manager adjusts the fund subscription, subscription, redemption, conversion, non trading transfer and transfer
Trusteeship and other business rules;
(6) Launch new business or service;
(7) Other circumstances under which it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the fund contract
Shape.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or in the fund contract, the general meeting of fund share holders shall be managed by the fund
The manager calls.
2. In the event that the Fund Manager fails to convene or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the Fund Manager decides to convene the meeting, it shall issue a written decision 60
Held within the day; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, the Fund Custodian shall
The fund custodian shall convene the meeting on its own and notify the fund manager within 60 days from the date of issuing the written decision,
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the announcement, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
Form The fund share holders with more than 10% (including 10%) of the fund shares have the right to convene at least 30 days in advance
Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. The convener shall, 30 days before the convening of the general meeting of fund unit holders
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for sending and receiving written voting opinions.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the Manager or the Fund Custodian refuses to send representatives to supervise the counting of written votes, the voting will not be affected
Vote counting effect of opinions.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
Other methods allowed by the institution shall be adopted, and the convening method of the meeting shall be determined by the convener. Fund Manager, Fund Manager
The Fund Custodian shall facilitate the Fund Unitholders to exercise their voting rights.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws, regulations and fund contract
And the provisions of the notice of the meeting, and the vouchers for holding fund units are consistent with the registration materials held by the fund manager;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） ; If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, and the convener may hold the fund unit holders' meeting at 3/3 of the time as originally announced
The General Meeting of Fund Unitholders shall be reconvened within six months after six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other methods agreed in the fund contract shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other ways agreed in the fund contract.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the fund contract, it shall publish the notice of the meeting within 2 working days
Prompting announcement;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of written votes. The convener of the meeting is Zaiji
Under the supervision of the fund custodian (or the fund manager if the fund custodian is the convener) and the notary organ
Receive the written voting opinions of fund share holders in the manner specified in the notice of the meeting; Fund Custodian or Fund
If the administrator is notified not to participate in the collection of written voting opinions, the voting effect will not be affected;
(3) If I directly issue a written opinion or authorize another representative to issue a written opinion
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; If I directly issue written opinions or authorize others to issue written opinions on behalf of fund share holders
If the fund units held are less than half of the total fund units on the equity registration date, the convener may make an announcement in the original
Within three months and six months after the convening of the general meeting of fund unit holders of
Convene a new general meeting of fund unit holders. The reconvened general meeting of fund unit holders shall have one-third of the representatives
One or more (including one third) of the fund share holders directly issue written opinions or authorize others to issue them on behalf
Written opinions;
(4) Fund share holders or entrusted representatives who directly issue written opinions in Item (3) above
The agent who gives written opinions, the certificate of holding fund units submitted at the same time, and the trustee who gives written opinions
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with the provisions of laws and regulations, fund contract and meeting notice, and conform to the records of the fund registration authority.
3. With the permission of laws, regulations and regulatory authorities, the notice of the meeting states that the funds of the Fund
Unit holders may also authorize their agents to attend the general meeting of fund unit holders by other non written means. stay
In terms of the way of holding the meeting, the Fund can also adopt other off-site ways or on-site and off-site ways
The general meeting of fund share holders shall be held in a combined manner, and the meeting procedures shall be in accordance with on-site meetings and communication methods
The procedure of. Fund share holders may vote in writing, online, telephone or other ways,
The specific method shall be determined by the convener of the meeting and listed in the meeting notice.
（5） Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the fund contract
Decide to terminate the fund contract, change the fund manager, change the fund custodian, merge with other funds
Other matters stipulated in the laws and regulations and the fund contract, as well as the convener of the meeting deems it necessary to submit to the fund unit holders
Other matters discussed at the meeting.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than half (including half) of the voting rights held by the agent shall elect a fund share holder
As the host of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or
The General Meeting of Fund Unitholders shall not affect the validity of the resolutions made at the General Meeting of Fund Unitholders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except as provided in the second item below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Unless otherwise agreed in the fund contract,
Change the operation mode of the fund, change the fund manager or fund custodian, terminate the fund contract
The merger of other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
Written voting opinions conforming to the provisions of the notice of meeting shall be deemed as valid voting, and the voting opinions are ambiguous or contradictory
The fund share represented by the fund share holder who issued the written opinion shall be counted as abstention from voting
total.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of written voting opinions, it shall not affect the counting and voting results.
（8） Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the designated media within 2 days from the effective date. If using
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the full text of the notarial certificate
The name of the certification authority and the notary shall be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
（9） This part deals with the causes, conditions, procedures and tables of the general meeting of fund unit holders
Prerequisites and other provisions, which directly refer to laws, regulations or regulatory rules, such as future laws, regulations or regulatory rules
If the relevant contents are cancelled or changed due to the modification of the management rules, the fund manager can directly
Some contents are modified and adjusted without the need to convene a general meeting of fund share holders for deliberation.
3、 Fund income and distribution
（1） Principle of fund income distribution
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose,
The Fund's default income distribution method is cash dividends;
2. After the distribution of fund income, the net value of fund units cannot be lower than the par value, that is
The net value of various fund units less the amount of income distribution per unit of such fund units cannot be lower than the par value;
3. Since Class A fund units of the Fund do not charge sales service fees, while Class C fund units are charged for cancellation
Selling service fee, the distributable profits corresponding to each fund unit category will be different, and the fund is in the same category
Each fund unit has the same right of distribution;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In the case of no material adverse effect on the interests of fund share holders, the Fund Manager may
Adjust the above fund returns as appropriate after performing appropriate procedures as required by the regulatory authorities, provided that regulations permit
Distribution principle, this adjustment does not need to convene a general meeting of fund share holders, but should be made before the change implementation date
Determine the media announcement.
（2） Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund income as of the base date of income distribution
Distribution object, distribution time, distribution amount and proportion, distribution method, etc.
（3） Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian within 2 days
Announce on the designated media.
（4） Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. Dang Tou
When the cash dividend of the investor is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund shall register
A bookkeeping institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. Dividend reinvestment
The calculation method of capital shall be in accordance with the Business Rules.
4、 Fund expenses
1. Management fee of fund manager
The management fee of the Fund is accrued at an annual fee rate of 0.60% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H ＝ E × 0.60% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the custodian has checked the consistency, it shall withdraw the funds from the fund assets within 5 working days from the first day of the next month in a manner agreed by both parties
One time payment to the fund manager. If the payment cannot be made on time due to legal holidays, public holidays or force majeure
If the payment is made, the date of payment shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.10% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.10% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the custodian has checked the consistency, it shall withdraw the funds from the fund assets within 5 working days from the first day of the next month in a manner agreed by both parties
One time withdrawal. If the payment cannot be made on time due to legal holidays, public holidays or force majeure, the payment date
The period shall be postponed.
3. Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the sales service fee for Class C fund units is
The annual fee rate is 0.30%.
The sales service fee for Class C fund units shall be 0.30% of the net asset value of Class C fund units on the previous day
Accrual of annual fee rate. The calculation method is as follows:
H ＝ E × 0.30% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The sales service fee for Class C fund units is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Manager and the Fund Custodian have checked the consistency, they shall, within 5 working days from the first day of the next month, in a manner agreed by both parties
The fund property shall be paid to the registration authority in a lump sum, and the registration authority shall pay to each fund sales agency separately.
If the payment cannot be made on time due to legal holidays, public holidays or force majeure, the payment date shall be postponed.
The sales service fee for Class C fund units will be used exclusively for the promotion and sale of the Fund and the holding of fund units
Human service.
5、 Investment direction and investment restrictions of the Fund assets
（1） Investment objectives
The Fund, through the organic combination of various investment strategies and under the premise of strict control of portfolio risk,
Strive to realize the long-term steady appreciation of fund assets.
（2） Investment scope
The investment objects of the Fund are financial instruments with good liquidity, including those issued and listed in China according to law
Stocks (including SMEs, GEM and other stocks approved by the CSRC for listing), mainland and Hong Kong
Stocks listed on the Stock Exchange of Hong Kong (hereinafter referred to as "the Stock Exchange") that are allowed to be traded under the stock market trading interconnection mechanism
"Hong Kong stocks"), bonds (including government bonds, central bank bills, local government bonds, short-term financing bonds
Ultra short-term financing bonds, medium-term notes, financial bonds, corporate bonds, corporate bonds, subordinated bonds, convertible bonds
Corporate bonds (including separable convertible bonds), exchangeable corporate bonds, etc.), asset-backed securities, bond repurchase
Bank deposits, inter-bank certificates of deposit, money market instruments, stock index futures, treasury bond futures, laws and regulations or China Securities
Other financial instruments permitted by the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform appropriate
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's stock investment in the Fund's assets is 0-95% (of which
The proportion shall not exceed 50% of the stock assets). The proportion of the Fund's investment in interbank deposit receipts shall not exceed the Fund's assets
20%. At the end of each trading day, after deducting the trading deposits required to be paid for stock index futures and treasury bond futures contracts,
Cash or government bonds with a maturity of less than one year shall not be less than 5% of the net asset value of the fund. Including cash
It does not include settlement provisions, deposits, purchase receivables, etc.
The investment proportion of stock index futures and treasury bond futures shall be implemented in accordance with laws and regulations or the provisions of regulatory agencies. If
When laws and regulations or the CSRC change the investment proportion limit of investment varieties, the fund manager is performing appropriate procedures
After that, you can adjust the investment proportion of the above investment varieties.
（3） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's stock assets in the Fund's assets is 0% - 95% (including investment in Hong Kong Stock Standard
The proportion of the shares shall not exceed 50% of the stock assets);
(2) At the end of each trading day, the Fund deducts the transactions required to pay for stock index futures and treasury bond futures contracts
After the deposit, the cash or government bonds with maturity within one year shall not be less than 5% of the net asset value of the fund; his
Among them, cash does not include provisions for settlement, deposits and subscription receivables;
(3) The market value of securities issued by one company held by the Fund (if the Fund also holds securities issued by one company
The total market value of A shares and H shares shall not exceed 10% of the net asset value of the Fund;
(4) All funds under the management of the Fund Manager hold securities issued by a company (if held at the same time
A share and H share issued by a company is the total market value of A share and H share), which does not exceed
10％；
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All of them will be sold within 3 months from the date of release of the level report;
(10) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(11) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed
40% of the net asset value of gold, and the maximum term of bond repo in the national inter-bank market is one year,
No extension is allowed after the maturity of bond repurchase;
(12) The total value of the Fund's assets shall not exceed 140% of the Fund's net asset value;
(13) The Fund's participation in the trading of stock index futures and treasury bond futures shall comply with the following provisions:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of net asset value;
2) At the end of any trading day, the value of the purchased stock index futures and treasury bond futures contracts held by the Fund
The sum of market values of securities shall not exceed 95% of the net asset value of the fund. Among them, marketable securities refer to stocks and bonds
Securities (excluding government bonds with maturity of less than one year), asset-backed securities, redemptory financial assets for sale (not
Including pledge repurchase), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed that of the Fund
20% of the total market value of the shares held;
4) The transaction amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 20% of the net asset value of the Fund on the previous trading day;
5) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold, total (netting
Calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment;
6) At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed
15% of net asset value;
7) At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed that of the Fund
30% of the total market value of bonds held;
8) Market value and purchase
The total value of the sold treasury bond futures contract (calculated by netting) should conform to the proportion of bond investment in the fund contract
Relevant agreements of;
9) Transaction amount of treasury bond futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 30% of the net asset value of the Fund on the previous trading day;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
15% of; Due to fluctuations in the securities market, suspension of listed company shares, changes in fund size, etc
If the Fund does not meet the proportion limit specified in the preceding paragraph due to other factors, the Fund Manager shall not actively add new funds
Investment in restricted liquidity assets;
(15) All open-ended funds managed by the Fund Manager hold tradable funds issued by a listed company
Shares shall not exceed 15% of the tradable shares of the listed company; All investment groups managed by the Fund Manager
The number of tradable shares jointly held by a listed company shall not exceed 30% of the tradable shares of the listed company;
(16) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the Fund contract
Keep the enclosure consistent;
(17) The proportion of the Fund's investment in interbank deposit receipts shall not exceed 20% of the Fund's assets;
(18) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Except for items (2), (9), (14) and (16), due to fluctuations in securities and futures markets, merger of listed companies
The fund investment proportion does not meet the above requirements due to factors other than the fund manager, such as fund size change
The fund manager shall adjust the proportion within 10 trading days, but the special
Except in this case.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or in accordance with the adjusted provisions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
If laws, administrative regulations or regulatory authorities cancel the above prohibitive provisions, if applicable to the Fund
The administrator may not be subject to the above provisions after performing the appropriate procedures.
6、 Calculation method and announcement method of fund net asset value
（1） Calculation method of fund net asset value
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
（2） Announcement method of fund net asset value
After the Fund Contract comes into force and before starting to handle the subscription or redemption of fund units, the Fund Manager shall
Disclose the net value of various fund units and the accumulated net value of fund units less than once a week on the designated website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of, disclose all kinds of funds on the open day through designated websites, fund sales agency websites or business outlets
Net value of units and cumulative net value of fund units.
The Fund Manager shall disclose the semi annual report on the designated website no later than the next day after the last day of the semi annual report and the annual report
Net value of various fund units and accumulated net value of fund units on the year and the last day of the year.
7、 Change and Termination of Fund Contract and Liquidation of Fund Assets
（1） Change of Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree to make changes and make public announcements, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it comes into effect
The resolution shall be announced in the designated media within two days after it takes effect.
（2） Reasons for termination of the Fund Agreement
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the fund contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation group: established within 30 working days from the date of termination of the fund contract
The liquidation group and the fund manager shall organize the fund assets liquidation group and conduct the fund under the supervision of the CSRC
Liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers qualified to engage in securities related businesses, and persons designated by the CSRC
Member composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund contract, the Fund Assets Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid from the fund assets by the fund assets liquidation group in priority.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is approved by the accounting firm
After auditing, the law firm shall issue a legal opinion and report it to the CSRC for filing and announcement. Fund asset liquidation
The announcement shall be made within 5 working days after the fund assets liquidation report is submitted to the CSRC for filing
Group.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
8、 Dispute resolution and applicable law
Disputes arising from or related to the Fund Contract shall be settled by both parties through consultation and mediation,
If no settlement can be reached through consultation or mediation, either party has the right to submit the dispute to Guangzhou Arbitration Commission for arbitration,
The arbitration shall be conducted in accordance with the Commission's arbitration rules in effect at that time, and the place of arbitration shall be Guangzhou. The arbitral award is final,
It shall be binding on all parties to the arbitration. Unless otherwise specified in the arbitration award, arbitration fees and attorney fees shall be paid by
The losing party shall bear the responsibility.
During the dispute settlement period, the parties to the fund contract shall abide by their respective duties and continue to be faithful, diligent and responsible
To perform the obligations specified in the Fund Contract and safeguard the legitimate rights and interests of the Fund Unitholders.
The Fund Contract is applicable to the laws of the People's Republic of China (excluding Hong Kong Special Administrative Region for the purpose of this Fund Contract
Administrative Region, Macao Special Administrative Region and Taiwan Region).
9、 Depository of fund contracts and ways for investors to obtain contracts
The fund contract can be printed in a volume for investors to conduct business in the fund manager, fund custodian and sales agency
Inspection of public places and business places.
(This is the signature page of the Contract of Zhongrong Xinyouchuang Flexible Allocation Hybrid Securities Investment Fund, without text)
Fund manager: Zhongrong Fund Management Co., Ltd. (seal)
Legal representative or authorized representative:
Fund Custodian: Guangzhou Rural Commercial Bank Co., Ltd. (seal)
Legal representative or authorized representative:
Signed at:
Signed on: