Important tips
1. The raising of Guodu Juhe Hybrid Securities Investment Fund (hereinafter referred to as "the Fund") has been registered and raised by the China Securities Regulatory Commission (hereinafter referred to as "the CSRC") in the Reply on Approving the Registration of Guodu Juhe Hybrid Securities Investment Fund (ZJXK [2020] No. 330). The registration of the Fund by the CSRC does not mean that the CSRC makes substantive judgments, recommendations or guarantees on the risks and returns of the Fund.
2. The Fund is a hybrid securities investment fund, and its operation mode is contractual open-ended
3. The Fund Manager of the Fund is Guodu Securities Co., Ltd. (hereinafter referred to as "the Company", "Guodu Securities" or "the Fund Manager"), the Fund Custodian is Industrial Bank Co., Ltd. (hereinafter referred to as "Industrial Bank"), and the registration authority is China Securities Depository and Clearing Co., Ltd. (hereinafter referred to as "Zhongdeng Company").
4. The raising period of the Fund will be from August 24, 2020, and the Fund will be publicly sold to the public through over-the-counter means. The Fund Manager may appropriately terminate or shorten the time for the sale of Fund units in advance according to the situation of the sale of the Fund, and make an announcement in a timely manner, but it shall not exceed the Fund raising period of three months from the date of the sale of Fund units at the latest.
5. The Fund will be publicly offered through the branches and other sales institutions of the Company (see the relevant business announcements of the sales institutions and their branches or call the relevant customer service hotline for specific business hours).
6. The Fund is sold to individual investors, institutional investors and qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, as well as other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
7. Within three months from the date of sale of the Fund units, the Fund Manager may decide to stop the sale of the Fund units in accordance with laws and regulations and the Prospectus, on the condition that the total amount of the Fund units raised is not less than 200 million, the amount of the Fund raised is not less than 200 million yuan and the number of Fund unit holders is not less than 200, and employ a legal capital verification agency to verify the capital within 10 days, Within 10 days from the date of receiving the capital verification report, submit the capital verification report to the CSRC and handle the fund filing procedures. The CSRC shall give a written confirmation within three working days from the date of receiving the capital verification report of the fund manager and the fund filing materials; The Fund Contract shall come into force upon the completion of the Fund filing procedures as of the date of the written confirmation of the CSRC.
8. Investors shall use the open-ended fund account of Zhongdeng Company to purchase the Fund. If an investor has opened an open-ended fund account with Zhongdeng Company, it is unnecessary to open another fund account, and the application for subscription can be handled directly with this fund account. An investor who has not opened a fund account may go through the procedures for opening a fund account at each sales institution and its branches.
9. The investor's account opening and subscription application can be completed at the same time, but if the account opening is invalid, the subscription application is also invalid.
10. The minimum amount of each subscription of the Fund is 10 yuan, and the minimum amount of additional subscriptions is 10 yuan. The Fund Manager may adjust the minimum subscription standards of the sales institutions according to the market conditions and the needs of investors, and make timely announcements.
The number of fund units held by a single investor of the Fund shall not reach or exceed 50% of the total number of fund units, except for those passively reaching or exceeding 50% due to redemption of fund units during the operation of the Fund. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds 50% of the total fund units, the Fund Manager may restrict the subscription application of such investor by means of proportion confirmation. If the Fund Manager's acceptance of a certain subscription application or some subscription applications may lead investors to evade the above 50% ratio requirement in disguised form, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
An investor may subscribe repeatedly during the offering period. In addition to the restrictions mentioned in the preceding paragraph, there are no other restrictions on the proportion or quantity of fund units held by a single fund unit holder in aggregate during the subscription period, unless otherwise stipulated by laws and regulations or required by the regulatory authority. For multiple subscriptions, the subscription amount shall be calculated based on the corresponding rate grade of the single subscription amount. Once the application for subscription is accepted by the sales agency, it cannot be revoked.
11. The interest of subscription funds during the raising period shall be included in the subscription amount of investors at the end of the raising period, converted into fund units and owned by investors. The amount of interest on the raised funds shall be subject to the records of the fund registration authority.
12. The acceptance of the subscription application by the sales agency does not represent the successful confirmation of the application, but only represents the sales agency's confirmation of receipt of the subscription application. The successful confirmation of the application shall be subject to the confirmation result of the fund registration agency. After the Fund Contract comes into effect, investors can print the subscription transaction confirmation voucher or inquire about the subscription transaction confirmation information at the sales institution.
13. This announcement only explains the relevant matters and regulations on the sale of the Fund units. For details of the Fund, please read the publicly disclosed Prospectus of Guodu Juhe Hybrid Securities Investment Fund (hereinafter referred to as "Prospectus").
14. The fund contract, prospectus and this announcement of the Fund will be published on the Company's website (www.guodu. com) at the same time. Investors can also download the fund application form and learn about the fund raising through the company's website.
15. If there is no branch of the Company in the investor's location, please call the Company's customer service hotline (400-818-8118) for subscription matters.
16. During the raising period, the Company may add new sales agencies. Investors can pay attention to the relevant announcement information or call the Company's customer service telephone for consultation.
17. The Company may make appropriate adjustments to the raising arrangements based on various circumstances (including but not limited to fund sales, emergencies, etc.).
18. Risk warning
(1) Investment is risky. When subscribing or subscribing for fund units, investors should carefully read the fund contract, prospectus and other information disclosure documents of the Fund, understand the risk return characteristics of the Fund, independently judge the investment value of the Fund, and judge whether the Fund is consistent with the risk tolerance of investors according to their own investment purpose, investment period, investment experience, asset status, etc, Make investment decisions and bear investment risks independently.
The Fund invests in the securities market, and the net value of the Fund will fluctuate due to the fluctuation of the securities market and other factors. Before investing in the Fund, investors should fully understand the product characteristics of the Fund, fully consider their own risk tolerance, and bear all kinds of risks arising from the investment of the Fund, including political, economic The systematic risk caused by the impact of social and other environmental factors on the price of securities, the unique non systematic risk of individual securities, the management risk, technical risk and other risks of the fund itself.
The Fund operates in an open contract mode. After the Fund Contract comes into effect, the Fund will enter a closed period of no more than three months. During the closing period, the Fund will not accept the subscription and redemption of fund units, nor will it be listed for trading. Therefore, during the closing period, fund share holders will face liquidity constraints due to their inability to redeem or sell fund shares.
(2) The Fund Manager reminds investors of the principle of "buyer's responsibility" for fund investment. After investors make investment decisions, the investment risks caused by changes in the operation status of the fund and the net value of the fund shall be borne by the investors themselves.
(3) The Fund's past performance and its net worth do not predict its future performance; The past investment performance of the Fund Manager does not constitute a guarantee for the performance of the Fund.
(4) The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence, but does not guarantee that the Fund will be profitable or the minimum return.
19. The Company has and reserves the final right to interpret the announcement of the sale of the Fund units.
1、 Basic information of this offering
（1） Fund name
Guodu Juhe Hybrid Securities Investment Fund (fund abbreviation: Guodu Juhe; fund code: 009996, please note).
（2） Fund type
Hybrid securities investment fund
（3） Start date of fund subscription and redemption
The Fund Manager shall begin to apply for subscription within three months from the effective date of the Fund Contract, and the specific business processing time shall be specified in the announcement of the Fund's opening subscription.
The Fund Manager shall handle the redemption within three months from the effective date of the Fund Contract, and the specific business handling time shall be specified in the Fund Opening Redemption Announcement.
After determining the starting time of subscription and redemption, the Fund Manager shall publicly disclose the announcement of subscription and redemption of the Fund on the designated media in accordance with the relevant provisions of the Measures for Information Disclosure of Securities Investment Funds before the opening day of subscription and redemption.
（4） Duration of the Fund
Irregular
（5） Initial par value of fund units
The initial face value of each fund unit is RMB 1.00, which is sold at the initial face value.
（6） Investment objectives
Through diversified active investment management, while giving consideration to high liquidity and low credit risk, we strive to obtain relatively smooth and stable returns, and strive to achieve long-term and stable investment returns that exceed performance benchmarks.
（7） Investment scope
The investment scope of the Fund is financial instruments with good liquidity, specifically stocks (including SMEs, GEM and other legally issued and listed stocks), stock index futures Bonds (including treasury bonds, central bank bills, financial bonds, local government bonds, corporate bonds, short-term financing bonds, ultra short-term financing bonds, medium-term notes, subordinated bonds, convertible bonds), inter-bank certificates of deposit, bond repurchase, bank deposits (including negotiated deposits, time deposits, call deposits), asset-backed securities Treasury bond futures and other financial instruments permitted by laws and regulations or 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 may include them into the investment scope after performing appropriate procedures.
The proportion of the Fund's investment portfolio is:
The proportion of the Fund's investment in stock assets shall not exceed 35% of the Fund's assets. At the end of each trading day, after deducting the trading deposits required to pay for stock index futures and treasury bond futures contracts, the cash held by the Fund or government bonds with a maturity date of less than one year shall not be less than 5% of the Fund's net asset value, of which cash does not include settlement provisions Deposit and subscription receivable, etc.
（8） Raising objects
Individual investors, institutional investors, qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
（9） Sales organization
1. Guodu Securities Co., Ltd
Website: www.guodu.com
Customer service telephone: 400-818-8118
2. Industrial Bank Co., Ltd
Website: www.cib.com.cn
Customer service hotline: 95561
3. For details of other fund sales agencies, please refer to the list of sales agencies published on the fund manager's website or relevant announcements issued by the fund sales agency.
（10） Fund raising period and effectiveness of fund contract
According to the provisions of relevant laws, regulations and fund contracts, the raising period of the Fund shall be from the date of the sale of fund units to the date of the cessation of the sale of fund units, and shall not exceed 3 months at most.
The raising period of the Fund will be from August 24, 2020, and it will be offered to individual investors, institutional investors, qualified foreign institutional investors and other investors who are allowed by laws and regulations or the CSRC to purchase securities investment funds. The Fund Manager may appropriately terminate or shorten the time for the sale of Fund units in advance according to the situation of the sale of the Fund, and make an announcement in a timely manner, but it shall not exceed the Fund raising period of three months from the date of the sale of Fund units at the latest. The Fund Manager may make appropriate adjustments to the raising arrangements in light of various circumstances (including but not limited to fund sales, emergencies, etc.).
The Fund Manager may decide to stop the sale of Fund units in accordance with laws and regulations and the Prospectus, provided that the total amount of Fund units raised by the Fund is not less than 200 million, the amount of Fund units raised is not less than 200 million yuan and the number of Fund unit holders is not less than 200 within three months from the date of the sale of Fund units. The Fund Manager shall, within 10 days from the end of the Fund raising, employ a statutory capital verification institution to verify the capital, submit a capital verification report to the CSRC within 10 days from the date of receipt of the capital verification report, and go through the fund filing procedures.
If the fund raising meets the conditions for fund filing, the Fund Contract shall come into force as of the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC; Otherwise, the Fund Contract will not take effect. The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC. The Fund Manager shall deposit the funds raised during the fund raising into a special account, and no one may use them before the end of the fund raising.
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 the investors within 30 days after the expiration of the fund raising period, plus the interest of the current deposit of the bank for the same period;
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.
2、 Offering method and relevant regulations
（1） During the raising period, the Fund will be publicly offered to qualified investors.
（2） Subscription method
The Fund shall be subscribed in amount.
（3） Subscription rate
1. Initial par value of fund units: the initial par value of each fund unit is RMB 1.00
2. Subscription price: initial face value
3. During the raising period, investors can subscribe to the Fund for many times, and the subscription rate is calculated separately for each subscription application.
Investors are required to pay front-end subscription fees when subscribing for fund units, as follows:
Subscription amount (including subscription fee) subscription rate
0.4% below 1 million yuan
0.2% above 1 million yuan (inclusive) and below 5 million yuan
1000 yuan/transaction above 5 million yuan (inclusive)
The subscription expenses of the Fund shall be borne by the investors and shall not be included in the fund assets. The subscription expenses shall be used for various expenses incurred during the raising period such as the marketing, sales and registration of the Fund.
（4） Calculation of subscribed shares
The selling face value of the Fund units is 1.00 yuan.
When investors choose to subscribe for fund units, the calculation method of subscribed units is as follows:
1. When the subscription fee is applicable to the proportional rate:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=subscription amount - net subscription amount
Subscription unit=(net subscription amount+interest of subscription fund)/1.00 yuan
2. When the subscription fee is a fixed amount:
Subscription fee=fixed amount
Net subscription amount=subscription amount - subscription fee
Subscription unit=(net subscription amount+interest of subscription fund)/1.00 yuan
The calculation result of the subscribed shares shall be kept to two decimal places, and the part after two decimal places shall be rounded off. The gains or losses caused by the error shall be borne by the fund property.
Example 1: An investor invests 10000 yuan to subscribe for the Fund units of the Fund. If the interest of his subscription fund is 10 yuan, the number of fund units he can obtain is calculated as follows:
Net subscription amount=10000/(1+0.4%)=9960.15 yuan
Subscription fee=10000 – 9960.15=39.85 yuan
Subscription shares=(9960.15+10)/1.00=9970.15
That is, investors can get 9970.15 fund shares by investing 10000 yuan to subscribe for fund shares of the Fund, and the interest is 10 yuan.
Example 2: An investor invests 10000000 yuan to subscribe for fund units of the Fund. If the interest of his subscription fund is 10 yuan, the number of fund units he can obtain is calculated as follows:
Subscription fee=1000 yuan
Net subscription amount=10000000 － 1000=9999000 yuan
Subscription shares=(9999000+10)/1.00 yuan=9999010.00 shares
That is, investors who invest 10000000 yuan to subscribe for fund shares of the Fund can get 9999010.00 shares if the interest is 10 yuan.
（5） Subscription restrictions
(1) When subscribing, investors shall pay in full in the way specified by the sales agency.
(2) Investors can subscribe for fund units several times during the raising period, and their subscription amount is calculated based on the corresponding rate grade of the single subscription amount. Once the application for subscription is accepted by the sales agency, it cannot be revoked.
(3) The minimum amount of each subscription of the Fund is 10 yuan, and the minimum amount of additional subscriptions is 10 yuan. The Fund Manager may adjust the minimum subscription standards of the sales institutions according to the market conditions and the needs of investors, and make timely announcements.
(4) The number of fund units held by a single investor of the Fund shall not reach or exceed 50% of the total number of fund units, except for those passively reaching or exceeding 50% due to redemption of fund units during the operation of the Fund. In addition to the restrictions mentioned in the preceding paragraph, the Fund does not set a ceiling on the proportion or number of fund units held by a single fund unit holder, unless otherwise stipulated by laws and regulations or required by the regulatory authority.
3、 Account opening and subscription procedures for individual investors
（1） Sales banks
The relevant procedures for the opening and subscription of each sales bank shall be subject to the relevant regulations of the bank.
（2） All securities dealers
The relevant procedures for opening accounts and subscription of each securities dealer shall be subject to the relevant provisions of the securities dealer.
（3） Independent fund sales agencies
The relevant procedures for the opening and subscription of each independent fund sales agency shall be subject to the relevant provisions of the agency.
4、 Account opening and subscription procedures of institutional investors
（1） Sales banks
The relevant procedures for the opening and subscription of each sales bank shall be subject to the relevant regulations of the bank.
（2） All securities dealers
The relevant procedures for opening accounts and subscription of each securities dealer shall be subject to the relevant provisions of the securities dealer.
（3） Independent fund sales agencies
The relevant procedures for the opening and subscription of each independent fund sales agency shall be subject to the relevant provisions of the agency.
5、 Clearing and settlement
1. The funds raised during the fund raising shall be deposited in the special fund raising account opened by the fund manager and shall not be used by anyone before the end of the fund raising.
The interest of subscription funds during the raising period shall be included in the subscription amount of investors at the end of the raising period, converted into fund units and owned by investors. The amount of interest on the raised funds shall be subject to the records of the fund registration authority.
2. The registration of the Fund's rights and interests shall be completed by the registration authority after the Fund Contract takes effect.
6、 Capital Verification of the Fund and Effectiveness of the Fund Contract
1. Within three months from the date of sale of the Fund units, the Fund Manager may decide to stop the sale of the Fund units in accordance with laws and regulations and the Prospectus, on the condition that the total amount of the Fund units raised is not less than 200 million, the amount of the Fund raised is not less than 200 million yuan and the number of subscribers of the Fund is not less than 200, and employ a statutory capital verification agency to verify the capital within 10 days, Within 10 days from the date of receiving the capital verification report, submit the capital verification report to the CSRC and handle the fund filing procedures. The CSRC shall give a written confirmation within three working days from the date of receiving the capital verification report of the fund manager and the fund filing materials; The Fund Contract shall come into force upon the completion of the Fund filing procedures as of the date of the written confirmation of the CSRC. The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
2. 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 amount paid by the investor within 30 days after the expiration of the fund raising period, plus the interest of the current deposit of the bank for the same period;
(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.
7、 Parties or intermediaries of this offering
（1） Fund manager
Name: Guodu Securities Co., Ltd
Registered address: 9/F, 10/F, Guohua Investment Building, 3 Dongzhimen South Street, Dongcheng District, Beijing
Office address: 9/F, 10/F, Guohua Investment Building, 3 Dongzhimen South Street, Dongcheng District, Beijing
Legal representative: Weng Zhenjie
Tel.: 010-84183333
Fax: 010-84183311
Website: www.guodu.com
（2） Fund Custodian
Legal Chinese name of the company: Industrial Bank Co., Ltd
Registered address: No.154, Hudong Road, Fuzhou, Fujian
Office address: No.154, Hudong Road, Fuzhou, Fujian
Legal representative: Tao Yiping (acting as the legal representative)
Contact: Li Bo
Customer service telephone: 95561
Tel.: 021-52629999
Fax: 021-62159217
Website: www.cib.com.cn
（3） Fund unit selling institution
1. Guodu Securities Co., Ltd
Website: www.guodu.com
Customer service telephone: 400-818-8118
2. For details of other fund sales agencies, please refer to the list of sales agencies published on the fund manager's website or relevant announcements issued by the fund sales agency.
（4） Registration authority
Name: China Securities Depository and Clearing Corporation Limited
Address: No. 17, Taipingqiao Street, Xicheng District, Beijing
Office address: No. 17, Taipingqiao Street, Xicheng District, Beijing
Legal representative: Zhou Ming
Tel.: 010-58598853
Fax: 010-58598907
Contact: Ren Ruixin
（5） Law firm issuing legal opinion
Name: Shanghai Tongli Law Firm
Registered address: 19/F, 68 Yincheng Middle Road, Shanghai
Office address: 19/F, 68 Yincheng Middle Road, Shanghai
Person in charge: Yu Weifeng
Tel: 021-31358666
Fax: 021-31358600
Contact: Lu Qi
Handling lawyers: Liming, Lu Qi
（6） Accounting firm auditing fund assets
Name: Zhongshenhua Certified Public Accountants (Special General Partnership)
Registered address: Room E7106, Binhai Financial Street, No. 20, Guangchang East Road, Tianjin Development Zone
Office address: Floor 5, Building 2, Yard 22, Baiwanzhuang Street, Xicheng District, Beijing
Executive partner: Huang Qinglin
Tel: 010-62378528
Fax: 010-62378010
Contact: Gao Hongwei
Handling CPA: Huang Qinglin
8、 Selling expenses
The fund manager shall bear the legal information disclosure fees, accountant fees, attorney fees and other issuance fees related to the fund incurred in the sale of the fund, and shall not pay them from the fund assets. If the fund raising fails, the raising expenses shall be borne by the fund manager.
Guodu Securities Co., Ltd
August 18, 2020
Fund Manager: Guodu Securities Co., Ltd
Fund Custodian: Industrial Bank Co., Ltd