Fund manager: ABC Huili Fund Management Co., Ltd
Fund Custodian: China Minsheng Bank Co., Ltd
September, 2020
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
Important tips
Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund (hereinafter referred to as "the Fund" or "the Fund")
Securities Regulatory Commission (hereinafter referred to as "CSRC") Securities Regulatory Approval [2019] 483 on March 2, 2019
No., and in accordance with the "Approval of ABC Huili Jinshuo Bond Securities" issued by the CSRC on March 12, 2020
Reply to Change of Registration of Investment Funds (ZJXK [2020] No. 417).
The Fund Manager guarantees that the contents of this Prospectus are true, accurate and complete. This prospectus is in the middle of
Registered with China Securities Regulatory Commission. The registration of the Fund raising application by the CSRC does not indicate its investment in the Fund
Substantive judgment or assurance of the asset value and market prospect does not mean that there is no risk in investing in the Fund.
The Fund invests in the securities market. The net value of the Fund will fluctuate due to factors such as fluctuations in the securities market
Investors enjoy the return of the fund according to their shares, but also bear the corresponding investment risks. Fund investment
Risks in capital include: changes in the overall political, economic, social and other environmental factors have an impact on securities prices
The systematic risk, which is unique to individual securities, is due to the continuous
Liquidity risk caused by massive redemption of funds, and funds generated by fund managers during the implementation of fund management
Management risk, specific risk of a fund, etc. The Fund is a bond fund with expected risks and expected income
The profit level is higher than that of monetary funds and lower than that of equity funds and hybrid funds. The investment is risky, and investors subscribe (Shen
When purchasing) the Fund, you should carefully read the Prospectus and Fund Contract of the Fund.
The Fund may invest in asset-backed securities traded in the national inter-bank bond market or stock exchange,
The Fund Manager will invest in asset-backed securities in the principle of prudence and risk control, but due to the
Holding securities has certain credit risk, interest rate risk, liquidity risk, prepayment risk and other risks
It can lead to various risks including the fluctuation of fund net value.
When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager shall perform corresponding
After the procedure, the side pocket mechanism can be enabled. See the relevant sections of the fund contract and prospectus for details. pocket
During the implementation of the mechanism, the fund manager will mark the fund abbreviation specially and will not apply for the side pocket account
Purchase and redemption. Please read the relevant content carefully and pay attention to the special features of the Fund when using the side pocket mechanism
Determine the risk.
After the Fund Contract comes into force, the number of fund share holders is less than 200 for 20 consecutive working days
Or if the net asset value of the 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 Manager shall terminate the Fund Contract and
Liquidation shall be carried out according to the agreed procedures in the Gold Contract without convening a general meeting of fund share holders for deliberation. Laws and regulations or
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
Where the CSRC has other provisions, such provisions shall prevail. Therefore, investors may face automatic termination of fund contracts
Risk.
The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence,
However, it does not guarantee that the fund will be profitable, nor does it guarantee the minimum return. The Fund's past performance does not predict its future business
Performance. The performance of other funds managed by the Fund Manager does not constitute a guarantee for the performance of the Fund.
The Fund Manager reminds investors to pay attention to the principle of "buyer's conceit" in fund investment. After making investment decisions
The investors shall bear the investment risks caused by the changes in the operating conditions of the fund and the net value of the fund.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
catalog
Part I Introduction one
Part II Definitions two
Part III Fund Manager seven
Part IV Fund Custodian eighteen
Part V Relevant Service Organizations twenty-four
Part VI Fund Raising twenty-six
Part VII Effectiveness of the Fund Contract thirty
Part VIII Purchase and Redemption of Fund Units thirty-one
Part IX Investment of the Fund forty-two
Part X Assets of the Fund fifty
Part XI Valuation of Fund Assets fifty-one
Part XII Income and Distribution of the Fund fifty-seven
Part XIII Fund Fees and Taxes fifty-nine
Part XIV Accounting and Audit of the Fund sixty-one
Part XV Information Disclosure of the Fund sixty-two
Part XVI Side pocket mechanism sixty-two
Part XVII Risk Disclosure sixty-nine
Part XVIII Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-six
Part XIX Summary of Fund Contract seventy-eight
Part XX Summary of Escrow Agreement ninety-six
Part XXI Services for Fund Unitholders one hundred and sixteen
Part XXII Storage and Reference Methods of Prospectus one hundred and nineteen
Part XXIII Documents for future reference one hundred and twenty
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one
Part I Introduction
This Prospectus is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as "the Fund")
Law of the People's Republic of China on Public Offering of Securities Investment Funds (hereinafter referred to as the "Operation Measures")
Administrative Measures for Sales of Securities Investment Funds (hereinafter referred to as "Sales Measures"), Public Offering of Securities
Administrative Measures for Information Disclosure of Investment Funds (hereinafter referred to as "Information Disclosure Measures"), Securities Investment Funds
Gold Information Disclosure Content and Format Standard No. 5<Content and Format of Prospectus>, Public Offering
Provisions on Liquidity Risk Management of Open ended Securities Investment Funds (hereinafter referred to as "Provisions on Liquidity Risk Management")
And other relevant laws and regulations, as well as the Fund Contract of Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
(hereinafter referred to as the "Fund Contract").
This Prospectus shall be subject to the above relevant laws and regulations
The content of this Prospectus is inconsistent with the provisions of the laws and regulations in effect at that time
The effective laws and regulations shall prevail, and corresponding changes and adjustments shall be made in a timely manner.
The Fund Manager undertakes that this Prospectus does not contain any false records, misleading statements or material omissions
And bear legal responsibility for its authenticity, accuracy and integrity.
The Fund is applied for raising in accordance with the information specified in this Prospectus. This prospectus is prepared by
The gold manager explains. The Fund Manager has not entrusted or authorized any other person to provide information that is not included in this Prospectus
Or make any explanation or explanation to this Prospectus.
This Prospectus is prepared in accordance with the Fund contract of the Fund and registered with the CSRC. Fund contract
It is a legal document that stipulates the rights and obligations between the fund parties. Fund investors acquire funds according to the fund contract
Fund units, that is to say, the fund unit holders and the parties to the fund contract, whose behavior of holding fund units
That is to say, they acknowledge and accept the Fund Contract, and in accordance with the Fund Law, the Fund Contract and other relevant regulations
Stipulate rights and obligations. If investors want to know the rights and obligations of fund share holders, they should
Check the fund contract.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
two
Part II Interpretation
In this prospectus, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
2. Fund manager: Agricultural Bank of China Huili Fund Management Co., Ltd
3. Fund Custodian: China Minsheng Bank Co., Ltd
4. Fund contract: refers to the Fund Contract of Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund and the fund
Any valid amendment and supplement to the contract
5. Custody Agreement: refers to the Agreement between the Fund Manager and the Fund Custodian on the Fund signed by the Agricultural Bank of China Huishuo
Bond Securities Investment Fund Custody Agreement and any effective amendments and supplements to the Custody Agreement
6. Prospectus or this Prospectus: refers to the "ABC Huili Jinshuo Bond Securities Investment Fund"
Prospectus and its updates
7. Announcement on the sale of fund shares: Refers to the issuance of fund shares of the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
Sales Announcement
8. Summary of fund product information: refers to the fund product fund of Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
Information Summary and its update (the preparation, disclosure and update of the fund product information summary in the fund contract,
Will be implemented no later than September 1, 2020)
9. 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
10. 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 session of the National People's Congress and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the membership committee, implemented since June 1, 2013, and approved by the
Standing Committee of the National People's Congress
The People's Republic of China revised the Decision on Amending Seven Laws Including the Port Law of the People's Republic of China
Heguo Securities Investment Fund Law and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the CSRC on March 15, 2013 and implemented on June 1 of the same year
Administrative Measures for the Sale of Securities Investment Funds issued by the Ministry of Finance of the People's Republic of China and amendments made by the promulgating authority from time to time
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
The Administrative Measures for the Information Disclosure of Publicly Offered Securities Investment Funds, implemented on January 1, 2006, and the promulgating authority made to it from time to time
Revision of
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
three
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Administrative Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017, the same year
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1 and promulgated
As amended from time to time by the Authority
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, re custody and fixed investment of fund units
25. Sales agency: refers to ABC Huili Fund Management Co., Ltd. and conforms to the Sales Measures and China
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund sales contract with the fund manager
Service agreement, the institution handling fund sales business
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
four
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 ABC Huili Fund Management
Management Co., Ltd. or institution entrusted by ABC Huili 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
Changes and balances of fund units caused by the agency's handling of subscription, subscription, redemption, conversion and custody transfer
Current account
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
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 Business Rules of the Open ended Fund of ABC Huili Fund Management Co., Ltd,
It is a business rule regulating the registration of open-ended securities investment funds managed by the fund manager, and is managed by the fund
Both the manager and the investor shall abide by
40. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
five
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. Fund conversion: refers to the Fund Unitholders' effective announcement at that time in accordance with the Fund Agreement and the Fund Manager
To apply for converting the fund units of a fund managed by the fund manager into funds
Behavior of other fund units managed by the manager
44. Custody transfer: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
45. 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
46. Massive redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units
Add the total number of transferred out application units in fund conversion and deduct the total number of subscription application units and transferred in in fund conversion
The balance after the total number of applied shares) exceeds 10% of the total fund shares on the previous open day
47. RMB: refers to RMB
48. Fund income: refers to the bond interest obtained from fund investment, the price difference between buying and selling securities, bank deposit interest
Other legal income realized and cost and expense savings arising from the use of fund assets
49. 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
50. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
51. 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
52. 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
53. Designated media: national newspapers and periodicals designated by the CSRC for information disclosure
Internet website (including fund manager website, fund custodian website, CSRC fund electronic disclosure
Website) and other media
54. 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
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
six
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
Traded bonds, etc
55. Swing pricing mechanism: when the Fund is subject to large purchase and redemption, the net amount of fund units will be adjusted
The market shock cost of the fund's adjusted portfolio is allocated to the investors who actually subscribe and redeem,
So as to reduce the adverse impact on the interests of stock fund unit holders and ensure that the legitimate rights and interests of investors are not damaged
Harm and get fair treatment
56. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of account settlement is to effectively isolate and defuse risks and ensure that investors are treated fairly,
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account
The account is called side pocket account
57. Specific assets: including: (I) There is no active market price to refer to and the valuation technology is still adopted
Assets with significant uncertainty in fair value; （2） Measured at amortized cost and provision for asset impairment
Assets that still lead to significant uncertainty of asset value; （3） Significant inaccuracy in the value of other assets
Qualitative assets
58. Force majeure: refers to the objective that the parties to the Fund contract cannot foresee, avoid and overcome
event
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seven
Part III Fund Manager
1、 Company Profile
Name: ABC Huili Fund Management Co., Ltd
Domicile: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Xu Jinchao
Date of establishment: March 18, 2008
Approved by: China Securities Regulatory Commission
Establishment Approval No.: ZJXK [2008] No. 307
Organizational form: limited liability company
Registered capital: RMB 1750000001
Duration: continuous operation
Contact person: Zhai Aidong
Tel: 021-61095588
Equity structure:
Contribution proportion of shareholders (yuan)
Agricultural Bank of China Limited 904218334 51.67%
Credit Agricole Asset Management Company 583281667 33.33%
Chinalco Capital Holdings Limited 262500000 15%
Total 1750000001 100%
2、 Key personnel
1. Board members:
Mr. Xu Jinchao: Chairman
Master of Economics, senior economist. Mr. Xu Jinchao joined the Agricultural Bank of China in July 1983,
He has successively served as the Deputy Director, Director and Vice President of the Office of the Agricultural Bank of China Henan Branch, and Shanxi Province of the Agricultural Bank of China
Deputy Secretary of the Party Committee of the Branch, Secretary and President of the Party Committee of the Inner Mongolia Autonomous Region Branch of Agricultural Bank of China, Agricultural Bank of China
General Manager of the Bank's Procurement Management Department and General Manager of the Agricultural Bank of China's Custody Business Department. Agricultural Bank of China since December 2014
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eight
Director of Huili Fund Management Co., Ltd. Since May 28, 2015, he has been working for ABC Huili Fund Management Co., Ltd
general manager. Chairman of ABC Huili Fund Management Co., Ltd. from March 4, 2019.
Mr. Bernard De Wit, Vice Chairman
Master of Business Administration. Mr. Bernard de Wit joined BNP Paribas in 1983,
From 1992 to 2000, he worked in KPMG, France, and joined the asset management of Credit Agricole in 2009
He served as the chief risk officer of Credit Agricole Asset Management Group in 2010 and Credit Agricole in 2013
Deputy Chief Executive Officer and Chief Operating Officer of Asset Management Group, served as the business support and control officer of Credit Agricole Orient in 2017
The person in charge of the manufacturing department. He is now the Deputy CEO of Credit Agricole Asset Management Group.
Mr. Shi Wei: Director
Master of Economics, Master of Science in Finance, Senior Economist. Agricultural Bank of China since July 1992
Shanghai Pudong Branch International Department Manager, Office Director, Assistant President, China Agriculture since July 2002
Deputy General Manager of Corporate Business Department of Industrial Bank Shanghai Branch, Hong Kong Branch of Agricultural Bank of China since March 2004
Deputy General Manager of the Bank, Deputy General Manager and Marketing Director of ABC Huili Fund Management Co., Ltd. since March 2008,
Head of Preparatory Group of Agricultural Bank of China Tokyo Branch since October 2010, and Agricultural Bank of China Huihui since December 2012
Deputy General Manager and Marketing Director of Management Fund Management Co., Ltd. From May 7, 2019, acting as the Agricultural Bank of China Huili Fund
General Manager of Management Co., Ltd. From August 27, 2019, he served as the chief of ABC Huili Fund Management Co., Ltd
Rest the official.
Mr. Zhong Xiaofeng: Director
Doctor of Political Science. In May 1996, he joined Credit Agricole in France and successively worked in Credit Agricole in France
Li Bank (Paris), Credit Agricole Guangzhou Branch, Hong Kong Branch and Beijing Representative Office. two thousand and five
He has been the General Manager of Credit Agricole Bank Beijing Branch since December. From November 2011, he took the post of Oriental Credit Union
Deputy Chief Executive Officer, North Asia, Asset Management Hong Kong Co., Ltd. Since September 2012, he has been working as the asset manager of Credit Agricole
Chief Executive Officer, North Asia, Hong Kong Limited.
Mr. Ge Xiaolei: Director
Master of Business Administration, senior economist. Since June 1995, he has successively served as the deputy office of the Planning Office of Zhongzhou Aluminum Plant
Chief, Manager of Finance Department and Deputy Chief Accountant of Aluminum Corporation of China Zhongzhou Branch, Qinghai Huanghe Hydropower
Chief Financial Officer of Recycled Aluminum Co., Ltd., Deputy General Manager of Chinalco Finance Co., Ltd., Chinalco Finance Leasing Co., Ltd
Director and General Manager of the Company. Now he is the general manager of Chinalco Finance Co., Ltd. and Chinalco Capital Holdings Co., Ltd
Member of the Party Committee.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
nine
Mr. Feng Yancheng: Director
Bachelor's degree, senior economist. In July 1981, he joined the Agricultural Bank of China Shandong Branch.
Served as Deputy Secretary of the Business Department of Shandong Branch of Agricultural Bank of China in January 2000, and moved to China in June 2004
Shandong Branch of Agricultural Bank of China acted as the Vice President, and in July 2009, he went to Heilongjiang Branch of Agricultural Bank of China to
Served as the Vice President and President, and served as the General Manager of the "Three Rural" Policy Planning Department of the Agricultural Bank of China in April 2014.
Mr. Wang Xiaozhu: Independent Director
Doctor of Economics. Former assistant professor of City University of Hong Kong, consultant of the World Bank, consultant of the United Nations, and Korean
Visiting Professor, Seoul National University, China. He is currently a professor in the Department of Finance of the School of Management of Fudan University, and also serves as the University of Hong Kong
Honorary professor of the School of Business and part-time professor of the Norwegian School of Management.
Mr. Fu Jijun: Independent Director
Doctor of economics, senior economist. Since 1981, he has been teaching staff of Jiangsu Yancheng Motor Transport Company
Teacher, member of the Research Center of Jiangsu Provincial People's Government. From March 1991, he served as the department manager of China Financial Consulting Corporation
Manager, Deputy General Manager, General Manager and Chairman. Part time professor of Shenzhen College of Harbin Institute of Technology.
Mr. Xu Xinzhong: Independent Director
Doctor and professor of finance. Former financial economist of the Bank of England Monetary Policy Bureau;
Professor of Finance, School of Management, Lancaster University, UK; Vice Dean of Guanghua School of Management, Peking University, Finance
Professor, Dean of Lingnan (University) College of Sun Yat sen University, Professor of Finance. Currently, Guanghua Management, Peking University
Professor, Vice President of Peking University Shenzhen Graduate School.
2. Company supervisor
Ms. Wang Hongxia: Chairman of the Board of Supervisors
Bachelor of Economics, senior economist. He joined the Agricultural Bank of China in August 1984 and successively worked in China
Deputy Director and Director of the Fund Planning Department and Asset Liability Management Department of Agricultural Bank of China. Since May 2004
Preparatory work with the Bill Business Department of the Agricultural Bank of China, from June 2005 to November 2017
Vice President of the Bill Business Department under the Fund Operation Department of Agricultural Bank of China, Vice General Manager of the Financial Market Department and Bill Business Department
General Manager of the Department, President of Interbank Business Center/Bill Business Department. From November 29, 2017, acting as the Agricultural Bank of China Huili Foundation
Chairman of the Board of Supervisors of Gold Management Co., Ltd. Since November 29, 2017, he has been working for ABC Huili Fund Management Co., Ltd
Chairman of the Board of Supervisors.
Mr. Jean Yves Glain: Supervisor
Master. In 1995, he joined Credit Agricole Asset Management Co., Ltd. and served successively as head of sales department and head of marketing department
Person in charge, Deputy Head of International Affairs Coordination and Sales Department. The current international coordination and
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ten
Head of Support Department.
Mr. Liu Yingkai: Supervisor
Doctor of engineering, senior economist. From March 2006 to June 2010, he served as a member of Focus Technology (Hangzhou)
Department manager of a limited company, joined Chinalco International Trade Co., Ltd. in June 2010, and successively served as national
Business Manager of International Cooperation Department, Deputy General Manager of Business Development Department, Deputy General Manager and General Manager of Futures Department. April 2019
From January to now, he has served as General Manager of Strategic Development Department, General Manager of Investment Operation Department and Yun Chen of Chinalco Capital Holding Co., Ltd
Director of Futures Co., Ltd. and Director of Chinalco Finance Leasing Co., Ltd.
Ms. Hu Huilin: Supervisor
Master of Business Administration. Since 2004, he has entered the fund industry and successively worked in Changxin Fund Management Co., Ltd
Fuguo Fund Management Co., Ltd. In 2007, he participated in the preparatory work of ABC Huili Fund Management Co., Ltd,
In March 2008, he served as the general manager of the marketing department after the establishment of the company.
Mr. Song Jinju: Supervisor
Master of Law. Since 2009, he has entered the fund industry and worked in Galaxy Fund Management Co., Ltd. two thousand and fifteen
He joined Agricultural Bank of China Huili Fund Management Co., Ltd. in September 2006 and is now the General Manager of the Supervision and Audit Department.
Ms. Chen Shuai: Supervisor
Master of Business Administration. Joined ABC Huili Fund Management Co., Ltd. in October 2019, and now serves as the general manager
Senior manager of the Management Department and head of the Office of the Board of Supervisors of the Company.
3. Senior management of the company
Mr. Xu Jinchao: Chairman
Master of Economics, senior economist. Mr. Xu Jinchao joined the Agricultural Bank of China in July 1983,
He has successively served as the Deputy Director, Director and Vice President of the Office of the Agricultural Bank of China Henan Branch, and Shanxi Province of the Agricultural Bank of China
Deputy Secretary of the Party Committee of the Branch, Secretary and President of the Party Committee of the Inner Mongolia Autonomous Region Branch of Agricultural Bank of China, Agricultural Bank of China
General Manager of the Bank's Procurement Management Department and General Manager of the Agricultural Bank of China's Custody Business Department. Agricultural Bank of China since December 2014
Director of Huili Fund Management Co., Ltd. Since May 28, 2015, he has been working for ABC Huili Fund Management Co., Ltd
general manager. Chairman of ABC Huili Fund Management Co., Ltd. from March 4, 2019.
Mr. Shi Wei: General Manager, Chief Information Officer
Master of Economics, Master of Science in Finance, Senior Economist. Agricultural Bank of China since July 1992
Shanghai Pudong Branch International Department Manager, Office Director, Assistant President, China Agriculture since July 2002
Deputy General Manager of Corporate Business Department of Industrial Bank Shanghai Branch, Hong Kong Branch of Agricultural Bank of China since March 2004
Deputy General Manager of the Bank, Deputy General Manager and Marketing Director of ABC Huili Fund Management Co., Ltd. since March 2008,
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eleven
Head of Preparatory Group of Agricultural Bank of China Tokyo Branch since October 2010, and Agricultural Bank of China Huihui since December 2012
Deputy General Manager and Marketing Director of Management Fund Management Co., Ltd. From May 7, 2019, acting as the Agricultural Bank of China Huili Fund
General Manager of Management Co., Ltd. From August 27, 2019, he served as the chief of ABC Huili Fund Management Co., Ltd
Rest the official.
Mr. Liu Zhiyong: Deputy General Manager
PhD candidate. Since 1995, he has successively worked in the Personnel and Education Department, Market Development Department
Served in the Construction Business Department and the Agricultural Bank of China Office. Participated in ABC Huili Fund Management Co., Ltd. since 2007
Division preparations. Since March 2008, he has served as the deputy director and agent of operation in ABC Huili Fund Management Co., Ltd
Marketing director, etc. From April 3, 2018, served as the Deputy General Manager and concurrently the Deputy General Manager of ABC Huili Fund Management Co., Ltd
Deputy Director of Operations.
Mr. Zhai Aidong: Inspector General
Senior MBA, senior economist. Since 1988, he has successively worked in the "Chinatown" of Agricultural Bank of China
Rural Financial News, International Department, London Representative Office and Bank Card Department. Participated in Agricultural Bank of China since November 2004
Preparations for Huili Fund Management Co., Ltd. Since March 2008, he has been working for ABC Huili Fund Management Co., Ltd
Secretary of the Board of Directors, General Manager of the Supervision and Audit Department, since January 2012, has been working for ABC Huili Fund Management Co., Ltd
Inspector General.
Ms. C é line Zhang (Zhang Qing): Deputy General Manager
Master of Economics. Since July 1995, he has been the derivatives broker of China International Future Corporation, July 1996
Since January 1999, he has been serving as the business consultant of the French Trade Commission of the French Embassy in China, and PPP Group since January 1999
Financial analyst, senior consultant of financial industry services of ANDERSEN CONSULTING since January 2000, 2002
He has been the senior manager of Societe Generale since July 2018, and he has been working for Credit Agricole (Hong Kong) Limited since February 2018
He is the senior manager of the company and has been the chief operating officer of ABC Huili Fund Management Co., Ltd. since April 2019. September 2019
Deputy General Manager and Chief Operating Officer of ABC Huili Fund Management Co., Ltd. since October 10.
4. Fund Manager
Mr. Yao Zhen, Master of Economics. Successively served as assistant researcher of fixed income department of Jin Yuan Shun'an Fund Management Co., Ltd
Researcher, researcher of Fixed Income Department of ABC Huili Fund Management Co., Ltd. Current Agricultural Bank of China Huili Credit and Interest Increasing Bonds
Fund manager of bond securities investment fund, Agricultural Bank of China Huili Jinsui pure bond, 3-month regular opening bond origination certificate
Fund manager of securities investment fund, Agricultural Bank of China Huili Jin An 18 month regular open bond securities investment fund
Manager, ABC Huili Yongsheng Regular Open Hybrid Securities Investment Fund Fund Manager, ABC Huili China Securities National Debt
And fund managers of 1-5 year index securities investment funds for policy financial bonds.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twelve
5. Members of the Investment Decision making Committee
The Fund adopts a collective investment decision-making system.
The Investment Decision making Committee is composed of the following members:
Mr. Shi Wei, Director of the Investment Decision making Committee, is the General Manager and Chief Executive of ABC Huili Fund Management Co., Ltd
Serve as information officer;
Ms. Shi Xiangming, member of the Investment Decision making Committee, Deputy Director of Investment, General Manager of Fixed Income Department, Agricultural Bank of China
Fund manager of Li Hengjiu bond fund, fund manager of ABC Huili enhanced yield bond fund, and ABC
Huili 7-day financial bond fund manager, ABC Huili Jinfeng one-year fixed open bond fund
Manager, Agricultural Bank of China Huili One year Fixed Open Bond Fund Manager, Agricultural Bank of China Huili Jintai One year Fixed
Open bond fund manager, Agricultural Bank of China Huili Tiantianli money market fund manager, Agricultural Bank of China Huili Fund
Xin 3-month regular open bond promoter fund manager;
Mr. Zhang Feng, member of the Investment Decision making Committee, General Manager of the Investment Department, and the leading hybrid foundation of ABC Credit
Gold Fund Manager, ABC Huili Strategy Selection Hybrid Securities Investment Fund Manager, ABC Huili SOE Reform Spirit
Active allocation hybrid securities investment fund manager, ABC Huili strategy trend hybrid securities investment fund manager
Reason;
Mr. Zhao Wei, member of the Investment Decision making Committee, deputy general manager of the Research Department, and mixed growth model of ABC Credit
Fund manager of securities investment fund, fund manager of medium and small cap hybrid securities investment fund of ABC Huili, and fund manager of ABC Huili
Fund manager of medical care equity securities investment fund, ABC Huili China advantage hybrid securities investment base
Gold Fund Manager, Fund Manager of Agricultural Bank of China Huili Innovative Medical Hybrid Securities Investment Fund.
6. There is no close relative relationship between the above personnel.
3、 Responsibilities of the Fund Manager
1. Raise funds according to law, handle or entrust other institutions recognized by the CSRC as the basis for handling
Sale, subscription, redemption and registration of gold units;
2. Handling the fund filing procedures;
3. To manage different funds under management separately, keep separate accounts and make securities investment;
4. Determine the fund income distribution plan in accordance with the provisions of the fund contract, and distribute the funds to fund share holders in a timely manner
Allocation income;
5. Conduct fund accounting and prepare fund financial accounting reports;
6. Prepare regular reports of the Fund;
7. Calculate and announce the net value of the fund, and determine the subscription and redemption prices of fund units;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirteen
8. Perform information disclosure and reporting in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
Service;
9. Convene the general meeting of fund unit holders in accordance with the provisions;
10. Keep records, account books, statements and other relevant materials of fund property management business activities;
11. In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise their litigation rights or enforce their rights
Other legal acts;
12. Other duties stipulated by relevant laws and regulations, the CSRC and the fund contract.
4、 Commitment of the Fund Manager
1. The Fund Manager will abide by the Securities Law, the Fund Law, the Operating Measures, the Sales Measures, and the Credit
Measures for Information Disclosure and other laws and regulations, and establish and improve the internal control system, take effective measures,
Prevent the occurrence of violations.
2. The Fund Manager shall not engage in the following acts:
(1) Mix its own property or other people's property with the fund property to engage in securities investment;
(2) Unfairly treat different fund assets under its management;
(3) Seeking benefits for a third party other than the fund unit holders by taking advantage of the fund property or position;
(4) Committing gains or bearing losses to fund share holders in violation of regulations;
(5) Embezzlement and misappropriation of fund assets;
(6) Disclose the unpublished information obtained for the convenience of his position, use the information to engage in or express or imply
Others engaged in relevant trading activities;
(7) Neglect of duty and fail to perform duties according to regulations;
(8) Other acts prohibited by laws, administrative regulations and the CSRC.
3. Fund manager commitment
(1) In accordance with the relevant laws and regulations and the provisions of the Fund Agreement, the Fund shall hold
Someone seeks the best interests;
(2) Not taking advantage of his position for himself, agent, representative, employee or any other third party
Seeking improper interests;
(3) Do not disclose the business secrets related to securities and funds that are known during the term of office, and have not been disclosed according to law
Information such as fund investment content and fund investment plan;
(4) Do not conduct securities trading for other organizations or individuals in any form.
5、 Risk management and internal control system of fund manager
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fourteen
1. Risk management system
The risks faced by the Fund in its operation mainly include market risk, liquidity risk, credit risk
Investment style risk, operational risk, management risk, compliance risk and other risks.
Risk control is an important cornerstone to realize value return. Learn from Credit Agricole's
With mature experience, the company has established a sound risk control system and a sound risk control process. Through science
Four risk control lines of effectiveness, clear hierarchy, unified authority and responsibility, and clear supervision ensure the risk from the organizational system
Effectiveness and authority of insurance control.
(1) The first line of defense: staff self-discipline, self-control and mutual control
Positions directly in contact with business systems, funds, securities, important blank vouchers, business seals, etc,
The system of two people taking responsibility must be implemented. The business handled by a single person and a single position is supervised by its superior supervisor
Responsibility; Regular job rotation system shall be implemented for qualified posts.
(2) The second line of defense: internal control of departments and mutual control between departments
Each department should check all kinds of potential risks of the department, strictly follow the business operation process, and improve the internal control measures
And bear direct responsibility for risk events of the department. Research, investment, centralized trading, operation and other departments
Independent operation to achieve inter departmental power constraints and risk mutual control.
(3) The third line of defense: interaction and cooperation between the Risk Control Department and other departments
Each department shall timely report the risk events occurred in the department to the Risk Control Department. The risk control personnel shall
Under the guidance of the Risk Management Committee, assist each department to identify and assess risks and formulate corresponding preventive measures
Supervise the implementation of the Risk Control System and processes, and regularly measure the risks faced by the company
Assessment and reporting.
(4) The fourth line of defense: regular and irregular audit of the Supervision and Audit Department and the Risk Management Committee
Supervision and management of the meeting
2. Internal control system
(1) Principles of internal control
1) Principle of soundness. Internal control shall include all businesses, departments and personnel at all levels of the company,
It covers decision-making, implementation, supervision, feedback and other aspects.
2) Principle of effectiveness. Establish reasonable internal control procedures and maintain
Effective implementation of internal control system.
3) The principle of independence. The responsibilities of each institution, department and post of the fund manager shall remain relatively independent,
The operation of fund assets, self owned assets and other assets of the fund manager shall be separated.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifteen
4) The principle of mutual restriction. The internal departments and positions of the fund manager shall be set up with clear rights and responsibilities and mutual benefits
Check and balance.
5) Cost effectiveness principle. Fund managers use scientific management methods to reduce operating costs,
Improve economic efficiency and achieve the best internal control effect with reasonable control cost.
(2) Main contents of internal control
1) Control environment
The Board of Directors has an Audit and Risk Control Committee, which is mainly responsible for the operation and management of the company and the fund investment industry
Conduct compliance control, review and supervise the results of the Company's internal audit and report to the Board of Directors
Notice; The Remuneration and Human Resources Committee under the Board of Directors is responsible for drafting the salaries of directors and senior managers of the Company
Remuneration policy, drafting the performance evaluation plan for the company's directors and senior managers, and reviewing the company's overall staffing
Make plans and salary policies, and be responsible for reviewing the employment and training policies of employees.
The company implements the general manager responsibility system under the leadership of the board of directors. The general manager presides over the general manager office meeting and is responsible for
Important decisions in the daily operation and management activities of the company. The company has an investment decision-making committee, a risk management committee and
The product committee gives professional opinions and suggestions on fund investment, risk control and product design, and makes investment decisions
The Policy Committee is the highest investment decision-making body of the company.
The company sets up an inspector general who is responsible for the board of directors and is mainly responsible for the legal compliance of the company and fund operation
Supervise and inspect the situation and internal control, and report to the chairman of the board of directors and China Securities Regulatory Commission when major risk events are found
Will report.
2) System of internal control
The company has developed a reasonable, complete, effective and easy to implement system. The company's management system is in accordance with regulations
Fan's object is divided into four levels: the first level is the articles of association; The second level is the company's internal control
The outline, corporate governance system and basic management system of the company are the basis for the company to formulate various rules and regulations
basis; The third level is the department and business management system; The fourth level is that each department of the company should
Various procedures, implementation rules and department business manuals to be formulated. Their formulation, revision, implementation and abolishment
The corresponding procedures shall be followed, and the contents of each level shall not be inconsistent with those of the above levels. Supervisory audit
The department regularly carries out continuous inspection on the company's systems, internal control methods, methods and implementation, and issues special
Item report.
3) Risk assessment
A、 The Audit and Risk Control Committee and the Chief Inspector under the Board of Directors evaluate the internal and external risks of the Company
Estimation;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixteen
B、 The company's risk management committee is responsible for major emergencies and major risks in the company's operation and management
Evaluate the situation, formulate crisis treatment plan and supervise the implementation; Responsible for the investment and operation of the fund
Risk assessment of major problems and events;
C、 Departments at all levels are responsible for identifying and evaluating risks faced by businesses within their scope of responsibility.
4) Internal control activities
In order to reflect the principle of clear responsibilities and mutual restriction, the company has established Shun according to the characteristics of fund management business
Three strict and effective monitoring lines of progressive order, clear rights and responsibilities:
A、 Establish the first monitoring defense line based on the target responsibility system of each post. All posts are specified
The specific job responsibilities and detailed operation procedures are formulated for each business, and the personnel in each position must declare that they know
Acknowledge and promise to abide by, and assume their respective responsibilities within the scope of authorization;
B、 Establish the second monitoring defense line for mutual supervision between relevant departments and posts. The company
Establish important business processing voucher transfer and information communication system between departments and relevant posts, and follow-up departments and posts
Responsible for supervising the previous department and post;
C、 The Chief Inspector and the Supervision and Audit Department shall be established to comprehensively supervise all posts, departments and businesses
The third monitoring defense line of feedback. The company's chief inspector and internal supervision and audit department are independent of other departments
The implementation of the department control system shall be strictly checked and fed back.
5) Information and communication
The company has established a two-way information exchange channel, forming a top-down information dissemination channel and bottom-up
Information reporting channels. Through the establishment of effective information exchange channels, the company's employees and managers at all levels are ensured
The staff can fully understand the information related to their duties and timely send it to the appropriate personnel for processing. Company root
According to the organizational structure and authorization system, a clear business reporting system has been established.
6) Internal control supervision
The Board of Supervisors, the Audit and Risk Control Committee of the Board of Directors, the Chief Inspector and the Company's risk management
The Committee, the Supervision and Audit Department and other departments shall carry out the work within their respective terms of reference. The company has set up an independent
The supervision and audit department of the financial department performs the internal audit function, checks and evaluates the rationality of the company's internal control system
Completeness and effectiveness, supervise the implementation of the company's internal control system, and reveal the company's internal management and funds
For risks in operation, timely propose suggestions for improvement, and promote the effective implementation of the company's internal management system.
3. Statement of the Fund Manager on Internal Control
(1) The Fund Manager knows that the establishment, implementation and maintenance of the internal control system is the responsibility of the Board of Directors and
Management's responsibilities;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventeen
(2) The above disclosure of internal control is true and accurate;
(3) The company promises to continuously improve the internal control system according to the changes of market environment and the development of the company.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighteen
Part IV Fund Custodian
1、 Overview of the Fund Custodian
1. Basic information
Name: China Minsheng Bank Co., Ltd. (hereinafter referred to as "China Minsheng Bank")
Address: No. 2, Fuxingmennei Street, Xicheng District, Beijing
Office address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Legal representative: Gao Yingxin
Time of establishment: February 7, 1996
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2004] No. 101
Organizational form: other limited liability companies (listed)
Registered capital: RMB 28365585227
Duration: continuous operation
Tel.: 010-58560666
Contact: Luo Feifei
China Minsheng Bank is the first national joint-stock commercial bank mainly invested by non-public enterprises
At the same time, it is a standardized joint-stock financial enterprise established in strict accordance with the Company Law and the Commercial Bank Law
Industry. The involvement of various economic sectors in China's financial industry and the realization of a standardized modern enterprise system have helped China's people's livelihood
Different from state-owned banks and other commercial banks, banks are concerned by economic and financial circles at home and abroad. China
Since its establishment 20 years ago, Minsheng Bank has continuously expanded its business, expanded its scale, increased its benefits year by year, and maintained
It has developed rapidly and healthily.
On December 19, 2000, China Minsheng Bank A share (600016) was listed in Shanghai Stock Exchange
Listed. On March 18, 2003, China Minsheng Bank's 4 billion convertible corporate bonds were listed on the Shanghai Stock Exchange
Form listing transaction. On November 8, 2004, China Minsheng Bank successfully issued
RMB 5.8 billion in subordinated bonds, becoming China's first successful private placement in the national inter-bank bond market
Subordinated bonds of commercial banks. On October 26, 2005, Minsheng Bank successfully completed the share trading reform,
To become the first commercial bank in China to complete the non tradable share reform, providing support for the non tradable share reform in China's capital market
A successful example. On November 26, 2009, China Minsheng Bank was listed on the Hong Kong Stock Exchange.
Since its listing, China Minsheng Bank has followed the principle of "unity, pioneering and innovation, talent cultivation and strict management"
Rationality, standardizing behavior, being professional and law-abiding; The operation and development policy of "pay attention to quality, improve efficiency and develop healthily",
We have carried out beneficial exploration in reform, development and management, and successively launched the "big centralized" science and technology platform
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
nineteen
Rate "assessment mechanism," three card "project, independent review system, eight basic management systems, centralized processor
Institutional innovations such as the reform of the business model and the Division have achieved the strategic objectives of low risk, rapid growth and high efficiency,
It has established a brand new commercial bank image full of vitality and vigor.
Minsheng Bank won the "Golden Round Table" Award of Excellent Board of Directors of the 13th Board of Directors of Listed Companies;
Minsheng Bank won the "2017 microenterprise" award in the 11th Golden Cicada Award held by Huaxia Times
Financial Services Bank ";
Minsheng Bank was awarded the title of "2016 Best Wealth Management Private in China" by Asian Currency magazine
Bank "award;
Minsheng Bank was awarded the "Best E-bank of the Year" and "Top 10 Direct Banks of the Year" by Sina Finance
Awards;
Minsheng Bank won the "Best Product Design Innovation Award" issued by VISA;
Minsheng Bank won the "Annual Outstanding Capital Award" in the "China Outstanding Finance Award" held by the Economic Observer
Property Management Bank ";
Minsheng Bank was awarded the "2016 Inter bank Local Currency Market" by the National Interbank Funding Center
Excellent dealer "," 2016 excellent derivatives dealer in inter-bank local currency market "and" 2016 excellent derivatives dealer "
Excellent Bond Dealers in the Inter bank Local Currency Market;
Minsheng Bank was awarded the "2016 Excellent Comprehensive Market Making Institution" by China Inter bank Transaction Consultation
And the award of "2016 Excellent Credit Bond Market Maker";
Minsheng Bank was awarded the "Best in 2017" award by WPP (one of the largest media groups in the world)
Top 100 valuable Chinese brands ";
Minsheng Bank was awarded the "2016 Special Contribution Award" at the annual meeting of China Asset Securitization Forum.
2. Key personnel
Mr. Zhang Qing, General Manager of Asset Custody Department of China Minsheng Bank, PhD candidate, has a fund custodian
Senior management qualification, engaged in financial leasing, securities investment, bank management and other work, with
With 26 years of financial experience, he has not only rich front-line practical experience, but also solid headquarters management experience.
He has successively served as the Vice President of China Minsheng Bank Xi'an Branch, the Head and President of the Preparatory Group of China Minsheng Bank Shenyang Branch
Secretary of the Party Committee.
3. Operation of fund custody business
China Minsheng Bank Co., Ltd. obtained the fund custody qualification on July 9, 2004, and became the "China Minsheng Bank"
The first bank approved to engage in fund custody business after the promulgation of the Securities Investment Fund Law of the People's Republic of China. in order to
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty
Give better play to the advantage of backwardness, vigorously develop custody business, and China Minsheng Bank Co., Ltd. asset custody
Since its establishment, the Ministry of Finance has been fully protecting the interests of fund holders and providing customers with high-quality custody services
In principle, establish systems, improve systems and organize personnel from a high starting point. The Asset Custody Department currently has 72 employees
People, the average age is 38 years old, 100% of employees have bachelor's degree or above, 64% of employees have master's degree or above
Diploma.
China Minsheng Bank insists on customer demand orientation and adheres to the principle of "integrity, preciseness, efficiency and pragmatism"
Business philosophy, relying on rich asset custody experience, professional custody business services and advanced custody business
Taiwan, to provide safe, accurate, timely and efficient professional custody services for customers at home and abroad. By 2020
On March 31, China Minsheng Bank had 238 securities investment funds under custody. Asset Custody of China Minsheng Bank
On February 6, 2018, the Ministry of Finance and Industry released the brand of "Love Trusteeship"
Representatives were invited to attend the launching ceremony. The Asset Custody Department has always been customer-centric and committed to providing
For comprehensive and integrated financial services. Vigorously integrate intra bank resources internally and extensively build customer service platforms externally,
To provide professional and value-added custody comprehensive financial services to various custody customers, which has been fully recognized by all walks of life,
It has also established a good brand image in the market and become a distinctive custodian bank in the market. Since 2010
Since, China Minsheng Bank has been awarded the "Most Promising Trusteeship Bank", "Most Promising Trusteeship Bank"
"Best Innovative Trusteeship Bank", "Gold Medal Innovative Trusteeship Bank" and "Annual Gold Medal Trusteeship Bank"
Won the "Best Financial Service Custodian Bank" award issued by 21st Century Economic Report, especially in 2019
The "Best Custodian Bank of the Year" award is jointly awarded by the Financial Times and the National Finance and Development Laboratory.
2、 Internal control system of fund custodian
1. Internal risk control objectives
(1) Establish a complete, rigorous and efficient risk control system to form a scientific decision-making mechanism and executive mechanism
System and supervision mechanism, prevent and resolve operational risks, and ensure the stable operation of asset custody business and custody property
Is safe and complete.
(2) Vigorously cultivate the culture of compliance, and consciously form the management idea and management theory of law-abiding operation and standardized operation
Read, strictly control compliance risks, and ensure that asset custody business complies with relevant national laws and regulations and industry regulatory regulations
Then.
(3) With mutual checks and balances, a sound and effective risk control organizational structure as the guarantee, and a sound system as the basis,
Focusing on the implementation of process control, and relying on advanced information technology, establish a comprehensive and systematic system
Unified, dynamic, proactive, conducive to error prevention, plugging loopholes, eliminating hidden dangers, and ensuring the steady operation of business
Risk control system to ensure the trusteeship business information is true, accurate, complete and timely.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-one
2. Organizational structure of internal risk control
The senior management of the Head Office is responsible for deploying the risk management work of the whole bank. The Head Office Risk Management Committee is the head office
The risk management professional committee under the senior management is responsible for the senior management and supports the senior management in its performance
Perform duties. Risk control of asset custody business is under the unified deployment and guidance of the Head Office Risk Management Committee
develop.
Each department of the Head Office cooperates closely to jointly control the risks in the operation of asset custody business, and the specific responsibilities are as follows:
The risk management department of the head office, as the secretary of the risk management committee of the head office, is responsible for the risk management of the whole bank
The overall planning department shall guide the risk control work of the Asset Custody Department; Head Office Legal Affairs Department is responsible for asset custody
Examination and approval of relevant contracts, agreements and other documents under the management of business; The Head Office's Internal Control&Compliance Department is responsible for this business and management
Compliance review, inspection and supervision of rectification; The Head Office Audit Department conducts internal audit on the bank wide custody business. package
Including regular internal audit, on-site and off-site inspection, etc; Head Office Office and Asset Custody Department jointly develop reputation
Risk response plan. Conduct targeted public opinion on reputation risk events caused by custody business as required by the Asset Custody Department
Situation monitoring, emergency disposal of reputation risks caused by custody business, including communication with national media
Pass, avoid negative reports, organize positive responses, etc.
3. Internal risk control principle
(1) Principle of legality and compliance. Risk control shall comply with and reflect national laws, regulations, rules and various policies
Policy.
(2) Principle of comprehensiveness. Risk control covers all business centers, positions and people at all levels of the Custody Department
And covers all aspects of asset custody business.
(3) Principle of effectiveness. The practitioners of asset custody business should spare no effort to maintain the effective implementation of the internal control system
Yes, no one has the right to exceed the system constraints.
(4) The precautionary principle. The management concept of "prevention first" must be established to control the asset custody business
The source of risk is to prevent problems before they occur and try to avoid problems in business operation.
(5) Timeliness principle. The formulation of the risk control system for asset custody business should be forward-looking, and
With the change of the internal environment of the Trusteeship Department, such as business strategy, business policy, business philosophy, and national laws and regulations
Timely modify or improve the external environment such as policies and systems. If problems are found, they should be solved in time
Plug holes.
(6) The principle of independence. Each business center and each post maintains relative independence in function. Risk monitoring
Heart is the executive agency under the Asset Custody Department and is not subject to interference from other business centers and individuals. Business operators
It is strictly separated from the inspectors to ensure that the work of the risk control organization is not disturbed.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-two
(7) The principle of mutual restriction. Each business center and each post has clear rights and responsibilities and checks each other
To eliminate the blind spot of risk control, the banks should take measures to check and balance each other.
(8) Firewall principle. The custody bank's own finance is strictly separated from the custody asset finance; Custody business day
The regular operation department is isolated from the administrative, R&D and marketing departments.
4. Internal risk control system and measures
(1) System construction: clear job responsibilities, scientific business processes, detailed operation manuals
A series of rules and regulations such as strict code of conduct for personnel.
(2) Establish a sound organizational management structure: separate front and rear offices, and check each other between different departments and positions.
(3) Risk identification and assessment: the risk supervision center guides the business center to conduct risk identification and assessment
Determine and implement risk control measures.
(4) Relatively independent business operation space: the business operation area is relatively independent, and access control management and audio and video are implemented
monitor.
(5) Personnel management: conduct regular business and professional ethics training to enable employees to establish risk prevention and control
And sign a letter of commitment.
(6) Emergency plan: prepare a complete Emergency Plan and organize employees to exercise regularly; Set up off-site
The disaster recovery center ensures uninterrupted business.
5. Internal risk control of Asset Custody Department
China Minsheng Bank Co., Ltd
The risk control system of custody business has been established in five aspects, including monitoring.
(1) Adhere to the concept that risk management is as important as business development. Custody business is emerging in commercial banks
Intermediate business, the Asset Custody Department of China Minsheng Bank Co., Ltd. has put special emphasis on standardization since its establishment
In operation, we have always focused on establishing a systematic and efficient risk prevention and control system. With the city
Changes in market environment and rapid development of custody business, new problems and new situations continue to emerge, China Minsheng Banking Co., Ltd
The Asset Custody Department of the Company has always put risk management at the same important position as business development, depending on the risk
Prevention and control are the lifeline for the survival and development of the trusteeship business.
(2) Implement risk management for all employees. Perfect risk management system needs the cooperation of every employee from top to bottom
Participation. Only in this way can the risk control system and measures be comprehensive and effective. China Minsheng Bank Co., Ltd
The Asset Custody Department of the Company implements risk management for all employees and assigns risk control responsibilities to specific business centers and businesses
Each employee is responsible for the risks within the scope of his/her job responsibilities.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-three
(3) Establish a risk control organizational structure with clear division of labor and mutual restraint. The Trusteeship Department has established a vertical double
The internal organizational structure of personnel system and horizontal multi center system forms an organization of checks and balances between different centers and positions
Structure.
(4) Take system construction as the core of risk management. Asset Custody of China Minsheng Bank Co., Ltd
The Ministry of Finance attaches great importance to the construction of the internal control system and has established a set of internal risk control systems, including
Business management measures, internal control system, employee behavior norms, job responsibilities and all backstage operation links
Operation manual of. The above systems will continue to increase and improve with the development of the external environment and business.
(5) The implementation and supervision of the system is the key to risk control. System implementation is more important than system preparation
Degree implementation inspection is a strong guarantee for risk control management. Asset Custody Department of China Minsheng Bank Co., Ltd
A full-time risk supervision center is set up internally to conduct regular audit and inspection of business operation in accordance with relevant laws and regulations
Check. The Head Office Audit Department also conducts audit and inspection on the Asset Custody Department from time to time.
(6) Apply advanced technical means to risk control. In risk management, technical control risk ratio
The system control risk is more reliable, which can minimize the human uncertainty. The requirements of the hosting business system are not only
The trusteeship business technology system has a strong ability to be demonstrated by many parties in terms of business and risk control
Automatic risk control function of.
3、 Methods and procedures for the Fund Custodian to supervise the Fund Manager's operation of the Fund
In accordance with the Fund Law, the Operation Measures, the Fund Contract and relevant laws and regulations
Investment object, investment portfolio proportion of fund assets, accounting of fund assets, calculation of net value of fund assets
The withdrawal and payment of the remuneration of the Fund Manager, the withdrawal and payment of the remuneration of the Fund Custodian, and the purchase of funds
Supervise and check the legality and compliance of the transfer and payment of funds received and redeemed, and the distribution of fund income.
The Fund Custodian finds that the Fund Manager violates the Fund Law, the Operating Measures, the Fund Contract and
The Fund Manager shall be notified in writing to correct the acts prescribed by relevant laws and regulations within a time limit
After receiving the notice, the Manager shall check and confirm in a timely manner and send a reply to the Fund Custodian in writing. At the deadline
The Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections. fund management
If the Fund Custodian fails to correct the violations notified by the Fund Custodian within the time limit, the Fund Custodian shall report to the CSRC
The Supervisory Commission.
If the Fund Custodian finds that the Fund Manager has major violations, it shall immediately report to the CSRC
Notify the fund manager to make corrections within a time limit.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-four
Part V Relevant Service Organizations
1、 Fund unit selling institution
1. Direct selling organization:
Name: ABC Huili Fund Management Co., Ltd
Domicile: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Xu Jinchao
Contact: Ye Bingqin
Customer service hotline: 4006895599, 021-61095599
Tel: 021-61095610
Website: www.abc-ca.com
2. Agency:
Ant (Hangzhou) Fund Sales Co., Ltd
Address: Room 599, Floor 5, Building 3, No. 969, Wenyi West Road, Wuchang Street, Yuhang District, Hangzhou, Zhejiang Province
Office address: 6F, Block B, Huanglong Times Square, No. 18, Wantang Road, Xihu District, Hangzhou, Zhejiang
Legal representative: Zu Guoming
Contact: Han Aibin
Customer service hotline: 4000-766-123
Website: www.fund123.cn
The names and information of other selling institutions on a commission basis shall be listed on the fund manager's website.
2、 Registration Authority
ABC Huili Fund Management Co., Ltd
Domicile: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Xu Jinchao
Tel.: 021-61095588
Fax: 021-61095556
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-five
Contact: Ding Yuqiong
Customer service telephone: 4006895599
3、 Law firm issuing legal opinion
Name: Shanghai Yuantai Law Firm
Address: Room 1405, Huaxia Bank Building, 256 Pudong South Road, Shanghai
Office address: Room 1405, Huaxia Bank Building, 256 Pudong South Road, Shanghai
Person in charge: Liao Hai
Tel: (021) 51150298
Fax: (021) 51150398
Contact: Liao Hai
Handling lawyers: Liu Jia, Xu Xin
4、 Accounting firm auditing fund assets
Name: PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership)
Address: 6/F, DBS Building, 1318 Lujiazui Ring Road, Pudong New Area, Shanghai
Office address: 11/F, PricewaterhouseCoopers Center, Building 2, Enterprise World, 202 Hubin Road, Huangpu District, Shanghai
Executive partner: Li Dan
Tel: 021-23238888
Fax: 021-23238800
Contact: Li Yinyu
Handling CPA: Xue Jing, Li Yinyu
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-six
Part VI Fund Raising
The Fund Manager shall, in accordance with the Fund Law, the Operation Measures, the Sales Measures and the Credit
Measures for Information Disclosure and other relevant laws, regulations and fund contracts
XK [2020] No. 417 approved the change of registration and raising.
1、 Fund type and duration
Fund type: bond securities investment fund
Fund operation mode: contractual open-ended
Duration of the Fund: irregular
2、 Sales methods and channels
The Fund will be publicly developed through the Fund Manager's direct sales center and the fund sales outlets of each sales agency
For the specific list of each sales agency, see the Fund Unit Offering Announcement and the Fund Manager's website.
3、 Raising period
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.
4、 Raising objects
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.
5、 Initial par value of fund units
The initial par value of the Fund units is RMB 1.00.
6、 Subscription mode and rate structure
1. Subscription schedule
The subscription schedule of investors shall be determined by the Fund Manager in accordance with relevant laws and regulations and the Fund Agreement, and
It shall be listed in the announcement on the sale of fund units.
2. Subscription rate
The Fund charges subscription fees at the time of subscription. The subscription fee of the Fund adopts the front-end charging method
The subscription rate shall be determined by the Fund Manager. If the investor has more than one subscription within one day, the applicable rate is per order
The pen is calculated separately.
Table I: Subscription Rate Structure of the Fund
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-seven
Subscription amount (including subscription fee) rate
M<500000 0.6%
500000 ≤ M ＜ 1000000 0.4%
1 million ≤ M ＜ 5 million 0.2%
M ≥ 5 million 1000 yuan/transaction
The fund subscription fee is not included in the fund property and is mainly used to pay for the marketing, sales and registration of the fund
Various expenses incurred during the raising period such as registration.
3. Calculation of Fund Subscription Units
The subscription units of the Fund will be based on the subscription amount paid by the investor at the time of subscription (plus the subscription amount)
The interest incurred in the period of concentration shall be subject to the records of the registration authority) divided by the initial fund share after deducting the subscription expenses
The face value is determined. The initial face value of the Fund units is RMB 1.00. The calculation method of subscribed shares is as follows:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=subscription amount - net subscription amount
Subscription unit=(net subscription amount+interest)/initial face value of fund unit
For subscription with fixed amount subscription fee: net subscription amount=subscription amount - subscription fee
The subscription fee is in RMB yuan, and the calculation result is rounded to the decimal point
2 bits; 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.
For example, an investor invested 5000 yuan to subscribe to the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
If the interest is 2 yuan, the fund units available are calculated as follows:
Net subscription amount=5000/(1+0.6%)=4970.18 yuan
Subscription fee=5000-4970.18=29.82 yuan
Subscription units=(4970.18 ＋ 2)/1.00=4972.18
That is, the investor invests 5000 yuan to subscribe the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund, and the subscription interest is
2 yuan, 4972.18 fund shares can be obtained.
4. Subscription procedures
The investor shall open a fund account at the registration institution of the Fund when handling the subscription
For gold account, there is no need to go through the account opening procedures again. During the sale period, the fund sales outlets will also handle for investors
Account opening and subscription procedures. During the offering period, the investor shall, in accordance with the provisions of the fund sales agency
The gold sales outlets submit the subscription application and pay the subscription amount in full.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-eight
For the documents to be submitted and the procedures to be handled by investors for subscription, please refer to the Fund Unit Offering of the Fund in detail
Notice.
5. Subscription method and confirmation
(1) The investor subscribes in the form of full payment;
(2) Before subscribing, the investor shall prepare sufficient subscription funds in the manner specified by the sales agency;
(3) During the fund raising period, investors can subscribe for fund units for many times, and the subscription fee is based on each subscription application
Calculated separately. Once the subscription is accepted, it cannot be revoked;
(4) For the subscription application submitted within the specified time on the same day (T day), investors can usually
After (including the current day), check the transaction at the outlet, and you can go online 3 working days after the deadline for raising
Click Print Transaction Confirmation.
The acceptance of the subscription application by the sales agency does not mean that the application is certain to be successful, but only means that the sales agency confirms that
Received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application and subscription
Investors shall timely inquire about the confirmation of the purchased shares.
7、 Restrictions on subscription
The minimum amount of each subscription of the Fund by the consignment outlets and direct online transaction investors is 10 yuan (including
Subscription Fee). The minimum amount for individual investors of the direct marketing center of the fund manager to subscribe the fund for the first time is
50000 yuan (including subscription fee), the minimum amount for institutional investors to subscribe the Fund for the first time is 500000 yuan (including
Subscription Fee).
If each sales agency has other provisions on the minimum subscription limit and transaction level difference
The regulations shall prevail.
During the raising period of the Fund, there is no limit on the maximum subscription amount of a single account of investors. However, such as the Fund
When the cumulative number of fund units subscribed by a single investor reaches or exceeds 50% of the total fund units, the fund manager
The subscription application of the investor can be restricted by means of proportional confirmation. The fund manager accepts a certain transaction
Or if some subscription applications may lead investors to evade the above 50% ratio requirement in disguised form, the fund manager
Have the right to reject all or part of such subscription applications.
8、 Treatment method of raised fund interest
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 specific amount of interest transferred to shares shall be subject to the records of the registration authority.
9、 Custody of raised funds
The fund manager shall deposit the funds raised during the fund raising period into a special account, and shall settle the fund raising
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
twenty-nine
No one is allowed to use it before restraint.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty
Part VII Effectiveness of the Fund Contract
1、 Conditions for Fund Filing
The total number 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,
If the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200
The offering period expires or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and
Engage a legal capital verification institution to verify the capital within 10 days, and report to the CSRC within 10 days from the date of receiving the capital verification report
It will handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall complete the fund filing procedures and obtain
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not take effect. base
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 upon the completion of the fund raising
No one is allowed to 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
Current 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 takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; The Fund Manager shall terminate the Fund Contract if the above circumstances occur for 50 consecutive working days,
Liquidation shall be carried out in accordance with the agreed procedures in the Fund Contract, without the need to convene a general meeting of fund share holders for deliberation.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-one
Part VIII Subscription and Redemption of Fund Units
1、 Places for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be managed by the fund manager
Listed in the prospectus or the fund manager's website. 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.
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
The trading hours of the Exchange and Shenzhen Stock Exchange on normal trading days, but the Fund Manager shall, in accordance with laws and regulations
Except for the suspension of subscription and redemption as required by the CSRC or the provisions of the fund contract.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
In other special circumstances or according to business needs, the Fund Manager has the right to enter into
Make corresponding adjustment, but it should be made on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date
Notice.
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 transfer on a date and time other than that specified in the fund contract
If the application for exchange is confirmed and accepted by the registration authority, the subscription, redemption or conversion price of the fund units will be the next opening
The daily subscription, redemption or conversion price of fund units.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices shall be based on the net value of fund units on the application date
Row calculation;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-two
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
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 an investor subscribes to fund units, he must pay the subscription amount in full, and the investor must pay the subscription amount in full,
Subscription establishment; 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 within T+7 days (including that day)
Redemption proceeds. In case of data transmission delay of stock exchange or trading market, communication system failure, bank data delivery
System failure or other factors beyond the control of the fund manager and fund custodian affect the business processing flow
During the process, the redemption money shall be transferred out on the next working day after the factor is eliminated. In case of major redemption or
In case of other circumstances specified in the gold contract, such as suspending or refusing to redeem or delaying the payment of redemption money, the payment shall be handled
Law shall be handled with reference 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 not established or none
If it is effective, the principal of the subscription amount 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-three
The investor shall timely inquire about the application for subscription and redemption and the confirmation of subscription shares and redemption amount
Good deeds exercise legal rights.
On the premise of not violating laws and regulations, the Fund registration authority may, in accordance with relevant business rules
The business processing time shall be adjusted, and the fund manager must, before the implementation of the adjustment
Relevant regulations shall be announced on the designated media.
5、 Quantity limit of subscription and redemption
1. The minimum subscription amount for each subscription of the Fund by the consignment outlets and direct online transaction investors is 10
Yuan (including subscription fee). The minimum initial subscription of the Fund by individual investors of the Fund Manager's direct marketing center
The amount is 50000 yuan (including subscription fees), and the minimum amount for institutional investors to subscribe the Fund for the first time is
500000 yuan (including subscription fee). The minimum amount of additional subscription is 10 yuan (including subscription fee), which has been
Investors with subscription records of the fund in the fund manager's direct marketing center are not subject to the minimum amount of initial subscription
System. The investors of the consignment outlets who wish to transfer to the direct marketing center of the fund manager for transactions shall be subject to the
Limit on the minimum amount of the direct sales center. The fund income distributed by the investor in the current period shall not be subject to
Limit on low subscription amount.
The Fund Manager may adjust the minimum amount of the first subscription and each subscription of the Fund according to the market conditions.
If each sales agency has other provisions on the minimum subscription limit and transaction level difference, the business of each sales agency
The regulations shall prevail.
2. When the fund unit holder redeems the fund at the sales institution, each redemption application for the fund shall not be less than
10 fund units. The minimum fund share balance of each trading account shall not be less than 10.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See related 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
System. 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、 Calculation method of subscription units and redemption amount
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-four
1. Investors may subscribe to the Fund for many times, and the subscription rate shall be calculated separately for each application.
The Fund units of the Fund adopt the front-end charging mode to collect the fund subscription fees. The subscription rate is as follows:
Table 2: Subscription rate table
Subscription amount (including subscription fee) rate
M ＜ 500000 0.8%
500000 ≤ M ＜ 1 million
0.5%
1 million ≤ M ＜ 5 million 0.3%
M ≥ 5 million 1000 yuan/transaction
Implement specific subscription rate for pension customers who subscribe to the Fund through the counter of the Company's direct marketing center:
If the fund is subscribed through the company's direct marketing center, the applicable subscription rate is the original subscription rate applicable to the corresponding subscription amount
10% of the rate; If the subscription rate is a fixed amount, the original rate shall prevail and no rate discount shall be enjoyed. his
Among them, pension clients include national social security funds, local social security funds that can invest in funds, enterprises
Single occupational pension plan and collective plan, specific customer asset management plan entrusted by the occupational pension council
Basic pension insurance fund, pension products in line with the regulations of the Ministry of Human Resources and Social Security, occupational pension plan, pension target base
Gold. For example, in the future, there will be housing provident fund that can be invested in the fund, individual pension account that can enjoy tax preference
The fund manager will accept the new pension fund type approved by the pension fund supervision department according to relevant regulations
Included in the scope of pension customers.
The subscription fees for fund units shall be borne by the investors and shall not be included in the fund property, but mainly used in the market of the Fund
Expenses for promotion, sales, registration, etc. Fund units generated by automatic reinvestment of dividends will not be charged
Take the corresponding subscription fee.
2. The redemption rate of the Fund is as follows:
Table 3: Redemption rate table
Holding time redemption rate
T ＜ 7 days 1.5%
7 days ≤ T 0%
Note: The above holding period refers to the continuous period for investors to hold fund units in the registration system.
Back end rate: The Fund adopts front end charges, and will also provide customers with options for back end charges when conditions are ripe
Choose.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-five
3. The formula for calculating the net value of fund units is: net value of fund units=total net value of fund assets/fund units
Total amount. The net value of fund units shall be calculated to 4 decimal places, and the fifth decimal place shall be rounded off,
The resulting gains or losses shall be borne by the fund property. The net value of fund units on T day is calculated after the closing of the day
And shall be announced within T+1 days. In case of special circumstances, the calculation can be postponed or
Notice.
4. Calculation of Fund Subscription Units
The subscription amount of the Fund includes subscription fees and net subscription amount. The subscription price is based on the date of subscription (T day)
Is the benchmark. The effective units of subscription are units. The above calculation results are rounded
The entry method shall be reserved to 2 decimal places, and the resulting gains or losses shall be borne by the fund property.
Calculation formula:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=Subscription amount - Net subscription amount
Subscription unit=net subscription amount/net value of fund unit on day T
For the application of fixed amount subscription fee: net subscription amount=subscription amount - subscription fee
Example: Assume that the net value of fund shares in T Japan is 1.2000 yuan, and the two subscriptions are 10000 yuan and 200 yuan respectively
10000 yuan, then the subscription fees borne by each subscription and the fund shares obtained are calculated as follows:
Subscription 1 Subscription 2
Subscription amount (yuan, A） 10,000 2,000,000
Applicable subscription rate (B) 0.8% 0.3%
Net subscription amount (C=A/(1+B)) 9920.63 1994017.95
Subscription fee (D=A-C) 79.37 5982.05
Subscription share (E=C/1.2000) 8267.19 1661681.63
5. Calculation of Fund Redemption Amount
The method of "unit redemption" is adopted, and the redemption price is based on the net value of fund units on the redemption day (T day)
The redemption amount is calculated in RMB yuan, and the above calculation results are all rounded off
It shall be left to 2 decimal places, and the resulting gains or losses shall be borne by the fund property.
Calculation formula:
Total Redemption Amount=Net Value of Fund Units Redeemed on Day T
Redemption fee=Redemption rate of net fund unit value on T day
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-six
Redemption amount=Redemption expense of net value of fund unit on T day of redeemed unit
Example: Assume that an investor redeems 10000 shares on T day, and has paid the subscription/subscription when subscribing/subscribing
Fee, if the net value of the fund unit on that day is 1.2500 yuan, and the holding period is less than 7 days, the redemption will be obtained
The amount is calculated as follows:
Total redemption amount=1.2500 × 10000=12500.00 yuan
Redemption fee=1.2500 × 10000 × 1.5%=187.50 yuan
Redemption amount=12500.00-187.50=12312.50 yuan
6. The subscription fee shall be borne by the investor and shall not be included in the fund property.
7. The redemption fee charged to investors with a continuous holding period of less than 7 days will be fully included in the fund property.
8. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract, and at the latest
Before the implementation date of the new rate or charging method, the media shall be designated in accordance with the relevant provisions of the Information Disclosure Measures
Announcement on.
9. 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.
10. The Fund Manager may, without violating the provisions of laws and regulations and the provisions of the Fund Contract
There is no material impact on the interests of fund share holders, and the fund promotion plan is formulated according to the market conditions
Investors regularly or irregularly carry out fund promotion activities. During the fund promotion activities, according to the relevant supervision department
The Fund Manager may appropriately lower the fund sales rate after the Fund Manager has required to go through the necessary procedures.
7、 Registration of subscription and redemption
Under normal circumstances, after the investor successfully subscribes to the fund on T day, the registration authority will increase the amount of funds for the investor on T+1 day
Weighted profit and go through the registration procedures, and the investor has the right to redeem this part of the fund shares from the date of T+2 (inclusive)
Eh.
After the investor successfully redeems the fund on T day, under normal circumstances, the registration institution will handle it for the investor on T+1 day
Handle the registration procedures for deduction of rights and interests.
Within the scope permitted by laws and regulations, the registration authority may adjust the above registration processing time, but
It shall not materially affect the legitimate rights and interests of investors, and the Fund Manager will give
To be announced.
8、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-seven
1. The fund cannot operate normally due to force majeure.
2. When the valuation of fund assets is suspended as stipulated in the fund contract.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
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. Accepting a certain subscription application or some subscription applications will exceed the upper limit of net subscription ratio per day set by the fund manager
The upper limit of the total size of the Fund and the upper limit of the amount of single day or single subscription of a single investor.
7. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the fund manager shall suspend accepting the application for fund subscription.
8. 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.
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, 7 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 principal of the rejected subscription will be returned to the investor.
When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner.
9、 Circumstances of suspending or refusing to redeem or delaying the payment of redemption money
Under the following circumstances, the Fund Manager may suspend or refuse to accept the redemption application of the investor or postpone the payment
Redemption payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. When the valuation of fund assets is suspended as stipulated in the fund contract.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
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.
6. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-eight
Under any of the above circumstances, the Fund Manager decides to suspend or refuse to accept the redemption of the Fund Unitholders
When returning the application or postponing the payment of redemption funds, the Fund Manager shall report to the CSRC for filing as required, and it has been confirmed that
The Fund Manager shall pay in full the redemption application of; If the payment cannot be made in full for the time being, the payable part shall be
The proportion of the application amount of a single account in the total application amount is allocated to the redemption applicant, and the unpaid part can be deferred.
In case of the situation mentioned in item 4 above, it shall be handled according to the relevant provisions of the fund contract. Fund share holders applying
Please choose to cancel the part that may not be accepted on that day in advance when redeeming. Elimination in case of suspension of redemption
The Fund Manager shall promptly resume the redemption business and make an announcement.
10、 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 that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
Under the premise of, the remaining redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on that day shall be determined; For the non redeemable part
The investor can choose to postpone or cancel the redemption when submitting the redemption application. Those who choose to postpone redemption,
Will automatically transfer to the next business day to continue redemption until all redemption; If redemption is selected, the current day
Some redemption applications that have not been accepted will be cancelled. The deferred redemption application is together with the redemption application on the next open day
Processing, no priority and the redemption amount is calculated based on the net value of fund units on the following open day, 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. Some deferred redemptions are not limited by the minimum amount of single redemption.
(3) If the Fund is redeemed in a large amount, the single fund unit holder will exceed the base on the last open day
In the case of redemption applications for more than 20% of the total fund shares, the Fund Manager may postpone the processing of redemption applications:
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
thirty-nine
Redemption of the part of the fund unit holder that exceeds more than 20% of the total fund unit on the previous business day
Upon application, the Fund Manager may postpone the handling of all applications; If the fund unit holder does not exceed the above proportion
The Fund Manager may, according to the preceding paragraph, "(1) full redemption" or "(2) partial deferred redemption"
The agreed method shall be handled together with the redemption application of other fund unit holders. However, if the fund unit holds
If the person chooses to cancel the redemption when submitting the redemption application, the part of the redemption application that has not been accepted on that day will be withdrawn
Pin.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money 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.
11、 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 suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of subscription or redemption of the reopening of funds, and publish the net value of fund units on the latest open day.
3. If the suspension occurs for more than one day, the Fund Manager may, according to the suspension of subscription or redemption
In accordance with the relevant provisions of the Information Disclosure Measures, the re publication of
Announcement of new opening subscription or redemption; You can also clearly reopen the subscription in the suspension announcement according to the actual situation
Or the time of redemption, and there will be no further announcement of reopening at that time.
12、 Fund conversion
The Fund Manager may decide to open the Fund and
For the conversion business between 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 the relevant laws and regulations and the provisions of the Fund Agreement, and
Inform the Fund Custodian and relevant institutions in advance.
13、 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
Non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations, or
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty
Conduct in accordance with relevant laws and regulations or the way required by the competent authorities of the state. Regardless of the above
Under such circumstances, the subject receiving the transfer must be the investor who can hold the fund shares of the Fund according to law or
It shall be handled in the manner required by relevant laws and regulations or national competent authorities.
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.
14、 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.
15、 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.
16、 Fund freezing, unfreezing and pledge
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. Fund account or fund share
If it is frozen, the rights and interests generated by the frozen part will be frozen together, and the frozen share will still participate in income distribution
And payment. Unless otherwise specified by laws and regulations or regulatory authorities.
If relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses,
On the premise that there is no material adverse effect on the interests of fund share holders, perform relevant procedures in the Fund Manager
After that, the Fund Manager will formulate and implement corresponding business rules.
17、 Transfer of Fund Units
Provided that laws and regulations permit and conditions are met, and there is no material adverse effect on the interests of fund share holders
Under the premise of influence, the holders of fund units may, through the legally established trading places or in accordance with laws and regulations
The Fund Manager may accept such transfer application according to law and be handled by the registration authority
Registration of transfer of fund units. If the Fund Manager intends to handle the transfer of fund units, it shall perform the following duties at the Fund Manager
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-one
After going through relevant procedures, it will be announced in advance, and the fund share holders shall follow the business rules announced by the fund manager
Handle fund share transfer business.
18、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the prospectus "Side pocket machine
System or relevant announcements.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-two
Part IX Investment of the Fund
1、 Investment objectives
The Fund mainly invests in bond varieties to strictly control risks and pursue long-term stability of fund assets
On the basis of, strive to obtain investment returns higher than the performance benchmark, and provide long-term stable returns for investors
Newspaper.
2、 Investment scope
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Government bonds, financial bonds, corporate bonds, corporate bonds, local government bonds, central bank notes, medium-term notes, assets
Supporting securities, government supported institutional bonds, short-term financing bonds, bond repurchase, time deposits, negotiated deposits
Inter bank deposit receipts and other financial instruments permitted by laws and regulations or the CSRC to be invested by the fund, provided that they meet the requirements of
Relevant regulations of China Securities Regulatory Commission.
The Fund does not invest in stocks and other assets.
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 investment portfolio is: the proportion of bond assets in the Fund's assets is not less than 80%
The proportion of government bond investment held in cash or maturing within one year is not lower than the net asset value of the fund
5%, of which, cash assets do not include settlement provisions, deposits, purchase receivables, etc.
If the relevant provisions of the laws and regulations are changed or allowed by the regulatory authority, the Fund Manager shall perform the appropriate
After the procedure, the above asset allocation proportion can be adjusted.
3、 Investment strategy
The Fund keeps track of the macroeconomic situation based on the analysis of interest rate, credit and other markets and
Prediction, comprehensive use of duration allocation strategy, term structure strategy, generic allocation strategy, credit strategy, cross market
Market investment strategy, asset-backed securities investment strategy and other strategies, and strive to achieve steady appreciation of fund assets.
1. Duration configuration strategy
The Fund judges the possible future market interest rate based on the analysis of macroeconomic, monetary policy and other factors
Change direction, and adjust flexibly in different market environments on the basis of reasonable prediction of market interest rate level
The target duration of the portfolio can improve the bond investment yield. When the expected market interest rate rises, by increasing the short holding
Reduce the duration of the portfolio by means of long-term bonds or increasing the holdings of floating interest bonds, so as to reduce the risk of portfolio price decline; In anticipation
When the market interest rate drops, increase the duration of the portfolio by increasing the holding of long-term bonds to fully share the bond price
Rising returns.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-three
2. Term Structure Strategy
After determining the portfolio duration, determine a reasonable portfolio term structure according to the morphological characteristics of the yield curve, including
Including the use of centralized strategy, two end strategy and trapezoidal strategy, etc., to make dynamic changes among long-term, medium-term and short-term bonds
Adjust and profit from the relative price changes of long-term, medium and short-term bonds.
3. Generic configuration policy
On the basis of macro analysis and duration and term structure allocation, the Fund will, according to the risk of different types of assets
Insurance source, yield level, interest payment method, interest tax treatment, income difference of generic assets, market
Preference, liquidity and other factors, and regularly optimize and adjust the portfolio assets to determine
Allocation proportion of generic assets.
4. Credit strategy
The Fund will make full use of the company's research strength and draw on external credit rating results to establish internal credit
Rating system and core library of credit bonds. According to the operating conditions and cash flow of the issuer
The credit risk of debt enterprises is assessed, and the credit rating grade of each target credit bond is given. The fund manager hereby
Select the securities from the core library and incorporate them into the portfolio.
5. Cross market investment strategy
The cross market investment strategy is based on the different operation rules and risk characteristics of the inter-bank market and the exchange market
To build and adjust the bond portfolio and improve investment returns.
6. Asset backed securities investment strategy
Based on the average duration allocation strategy and term structure allocation strategy, the Fund
Research on interest rate risk, prepayment rate, asset pool structure, boom and change of the industry in which the asset pool is located and other factors
Research, predict the future cash flow changes of the asset pool, and judge the trend of the yield and its income and risk. Be strict
Under the condition of risk control, select products with high return after risk adjustment in combination with credit research and liquidity management
Investment.
4、 Performance Benchmark
The benchmark for performance comparison of the Fund is: the yield of China Securities Total Bond Index
The China Securities Total Bond Index is a comprehensive reflection of the inter-bank bond market and Shanghai and Shenzhen
The cross market bond index of the exchange bond market, the index sample is from the inter-bank market and the Shanghai and Shenzhen Stock Exchange market
National debt, financial bonds and corporate bonds. The index covers the inter-bank and exchange bond markets, with
The broad market representation is suitable for the Fund's performance benchmark.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-four
If the future laws and regulations change, or there is a more authoritative and widely accepted performance ratio
The benchmark is launched, or the market changes so that this performance benchmark is no longer applicable or this performance benchmark
To stop publishing or change the name, the Fund Manager may, in accordance with the principle of safeguarding the legitimate rights and interests of investors
After the Fund Custodian has reached consensus through consultation and reported to the CSRC for filing, it shall appropriately adjust the performance benchmark and timely publish
Without convening a general meeting of fund share holders.
5、 Risk return characteristics
The Fund is a bond fund, and its expected risk and expected return level is higher than that of monetary fund, but lower than that of equity fund
Ticket and hybrid funds.
6、 Basis for investment decision
1. Relevant provisions of relevant national laws and regulations and fund contracts;
2. The Investment Decision making Committee holds monthly investment strategy meetings to determine the allocation proportion of major categories of assets of the Fund
And bond investment priorities;
3. The matching relationship between the expected return and the expected risk of the investment object, and the Fund will take appropriate risks
Within the scope of, choose the best variety of income risk ratio for investment.
7、 Investment Management Procedures
1. Investment research management structure
According to the requirements of the Guiding Opinions on Internal Control of Securities Investment Fund Management Companies issued by the CSRC
The actual situation of the fund manager. The investment decision-making committee
Level by level authorization system under the leadership, with investment decision-making committee, investment business principal and fund manager set up respectively
And implement the fund manager responsibility system on the basis of fully implementing the authorization system to give full play to the foundation
Manager Jin's creativity and subjective initiative; In terms of business department setting, fund managers follow the principles of investment and research
And the principle of mutual independence of transactions. Four departments have been set up, namely, the Investment Department, the Fixed Income Department, the Research Department and the Trading Office
The departments are independently engaged in relevant businesses and have established a strict firewall system between them; Specific investment products
In terms of screening, the fund manager strictly follows the securities library system to ensure that the fund manager's investment is scientific and
Robustness; The Fund Manager also sets up a risk management committee to supervise and manage investment risks, and
The Supervision and Audit Department supervises the compliance risk of investment in advance and afterwards to ensure the legal compliance and risk of investment
Controllable. The fund manager has also set up a special risk control department for risk management.
2. Investment decision-making mechanism
In accordance with the principle of level by level authorization, the investment decision-making mechanism of the Fund Manager is composed of the investment decision-making committee
The investment business principal and fund manager shall implement the following three aspects:
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-five
(1) Investment Decision making Committee
The Investment Decision making Committee is the highest decision-making body for fund investment of the fund manager, the company's funds and entrusted funds
Investment behavior must be authorized by the Investment Decision making Committee, and investment related personnel must strictly follow the Committee
Make principles and decisions to engage in investment activities. The investment decision-making committee is in the charge of the company's general manager and investment business
Personnel, heads of Investment Department, Fixed Income Department and Research Department, fund managers and other personnel (the inspector general attended the meeting as nonvoting delegates
(discussion), hold meetings regularly or irregularly to discuss and decide on major issues in fund investment, including formulating the overall plan
Investment plan, determination of asset and industry allocation principles, approval of fund manager's investment proposal, and approval of fund manager
Investment beyond authority of.
(2) Head of investment business
The main responsibility of the person in charge of investment business is to participate in the investment decision-making committee and formulate business rules for investment research
And supervise the implementation, be responsible for the daily management of investment research and other departments, and approve the investment beyond the authority of fund managers.
(3) Fund Manager
The fund manager shall implement the fund manager responsibility system under the authorization system. The fund manager formulates a system for the fund
The responsibilities and authorities of the manager shall be specified, and the investment decision-making committee shall carry out principled investment plans for the fund manager
Decision making, the fund manager is responsible for specific securities investment affairs, implementation and optimization on the premise of following the above requirements
Portfolio allocation scheme, and be responsible for its investment performance. The fund manager may authorize the fund manager under special circumstances
The assistant temporarily performs the investment duties, but must comply with the company's regulations, and cannot use unconditional and unlimited time
Authorization of.
3. Research mechanism
The fund manager sets up a research department, which is specifically responsible for the company's research business, including investment strategy research,
Provide strategic reports including macroeconomic, capital market, industrial allocation, etc., to grasp market opportunities for investment departments
Services; To carry out research on industry, listed companies, fixed income products and derivatives
Investment decision-making committee provides investment suggestions; In addition, the Fund Manager Research Department has dedicated quantitative investment research
The research team provides quantification for fund management through quantitative analysis of market data and induction of statistical laws
Investment advice.
4. Basic investment process
(1) The Investment Decision making Committee makes investment decisions
The Investment Decision making Committee holds regular or irregular meetings on the assets and industries invested by the Fund in the next stage
The allocation is discussed, the composition and latest changes of the stock pool are clarified, and the overall investment plan is finally determined.
(2) Research department conducts research and analysis
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-six
The research department will extensively refer to and use the external research results of the company to timely understand the national macro-economy
Trend and industry development, and use field research, continuous tracking and other methods to carry out in-depth research on listed companies
Investigation and research, and finally form an in-depth research report on the macro-economy, investment strategy and company fundamentals, and submit it
The investment decision-making committee and the investment department serve as the basis for decision-making and investment. Fixed income product research of research department
On the basis of in-depth analysis of the macro-economy, fiscal and monetary policies and market capital supply and demand,
Form bond investment strategy and submit it to the investment department. In addition, research departments and investment departments hold regular or irregular meetings
Joint meeting of investment research to discuss macroeconomic, industry, listed companies, bonds and other issues as investment decisions
One of the important bases for policy making.
(3) Investment department implements investment
The fund manager and investment team shall, according to the overall investment plan determined by the investment decision-making committee
The research results provided by the door make judgments on the macro-economy, industry development, style changes and individual stock trends
Improve asset allocation and industry allocation plans, build and optimize investment portfolio, and specifically implement and issue trading instructions.
For the investment beyond the scope of authority, the fund manager shall submit it to the competent investment manager according to the company's authority approval process
Guide or review by the Investment Decision making Committee.
(4) Centralized trading room executes transactions
The centralized trading room accepts the trading instructions issued by the fund manager. After receiving instructions, the centralized trading room should first
The instructions are reviewed and then executed. The trading instructions issued by the fund manager are unclear, non-standard or
In case of non-compliance, the centralized trading room may suspend the execution of the order and notify the fund manager or relevant personnel in a timely manner.
The centralized trading room shall notify the fund manager of the implementation of the trading instructions and the implementation of the trading instructions according to the market conditions at any time
Judgments and suggestions on trading so that fund managers can adjust trading strategies in a timely manner.
(5) Analysis and evaluation of investment performance
The risk control department of the fund manager will conduct quantitative analysis on the performance of the fund investment, and use relevant workers
The model evaluates the investment risk, risk adjusted returns and performance contribution of the fund
Measure and analyze, and submit it to the investment department and the investment decision-making committee as a reference for the next investment plan decision
Test.
(6) Risk control and supervision audit
The Fund Manager shall set up a risk management committee to hold regular meetings to discuss various risk issues of the Company;
The risk control department of the company is specifically responsible for the pre identification, in-process monitoring and post inspection of investment risks; common
The Chief Inspector and the Supervision and Audit Department are responsible for the post compliance supervision and inspection of investment and research links, and timely report to the public
The management and the board of directors of the company report the compliance problems found and continue to urge relevant departments to solve them.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-seven
8、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's bond assets in the Fund's assets shall not be less than 80%;
(2) Keep no less than 5% of the net asset value of the fund in cash or government bonds with maturity within one year
Securities, of which cash assets do not include provisions for settlement, deposits and purchase receivables;
(3) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund;
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(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%, except for special varieties specified by the CSRC;
(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 the 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 be re evaluated
All of them will be sold within 3 months from the date of release of the level report;
(10) 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;
(11) The total value of fund assets shall not exceed 140% of the net value of fund assets;
(12) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net assets of the Fund
15% of the value, due to factors other than fund managers such as fluctuations in the securities market and changes in fund size, the fund does not
If the proportion limit is met, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
(13) 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
bring into correspondence with;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-eight
(14) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Except for items (2), (9), (12) and (13) above
The fund investment proportion does not meet the above requirements due to factors other than fund managers such as pedestrian merger and fund size change
If the investment proportion is specified, the fund manager shall make adjustment within 10 trading days, but the CSRC
Except for special circumstances specified. Where laws and regulations provide otherwise, such provisions shall prevail.
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 the Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or change 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 the changed 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) Make capital contributions to its fund manager and fund custodian;
(5) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(6) 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 and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the Fund's investment is not subject to the above provisions or the changed provisions
Shall prevail.
9、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
forty-nine
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
2. It is conducive to the safety and appreciation of fund assets;
3. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
10、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to convene a fund
Deliberation at the general meeting of unit holders.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance comparison benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal changes of specific assets of side pocket accounts
See the "Side Pocket Mechanism" section of the Prospectus for details of cash and payments and other matters that have a significant impact on investors' rights and interests
regulations.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty
Part X Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to all kinds of securities owned by the fund, principal and interest of bank deposits, and fund receivables
And the total value of other assets.
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 people, fund sales institutions and fund registration institutions and other fund property accounts are different
stand.
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. Unless otherwise disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets shall not be disposed of
Points.
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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-one
Part XI Valuation of Fund Assets
1、 Valuation purpose
The purpose of valuation of fund assets is to objectively and accurately reflect the fair value of fund related financial assets, and
Provide valuation basis for fund units.
2、 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.
3、 Valuation object
Assets and liabilities such as bonds, bank deposit principal and interest, receivables and other investments owned by the Fund.
4、 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 the same as 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 is adjusted and the fair value is determined.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-two
5、 Valuation method
1. Valuation of securities listed on stock exchanges
(1) For non equity fixed income varieties listed on the exchange market or transferred by listing, select
The net valuation price of the corresponding varieties on the current day provided by the third-party valuation agency.
(2) For the fixed income varieties with rights listed on the exchange market or listed for transfer, select the third
The only estimated net price or the recommended estimated net price of the corresponding variety on the current day provided by the valuation agency.
(3) For asset-backed securities listed and transferred in the exchange market, when there is no active market on the valuation date
The fair value is determined by valuation techniques for valuation. If the cost can approximately reflect the fair value, it should continue
Evaluate the appropriateness of the above practices and make appropriate adjustments when the situation changes.
2. The securities in the unlisted period shall be handled according to the following circumstances:
For unlisted or unlisted bonds issued in the exchange market, for active markets
Next, the unadjusted quotation in the active market shall be taken as the fair value on the measurement date for valuation; For Active
If the market quotation fails to represent the fair value on the measurement date, the market quotation shall be adjusted to confirm the measurement
The fair value on the date; In the case of no or few market activities, valuation techniques are used
Determine the fair value.
3. The fixed income varieties without rights in the national inter-bank market are provided by third-party valuation agencies
The estimated net price of the corresponding variety 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. For with
The fixed income variety of the investor's right to sell back, and the right to sell back is not exercised after the deadline (including the date) of the registration period
The valuation is based on the price corresponding to the long outstanding period. Unlisted in the inter-bank market and third-party valuation agencies
For bonds without valuation price, there is no significant difference between the issuance interest rate and the secondary market interest rate
If there is no significant change in the inter market interest rate, it shall be valued at cost.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. Valuation method of deposits
Time deposits or call deposits held by banks are listed as principal, and the total interest listed according to the deposit agreement
Or the agreed interest rate accrues interest every natural day. In case of early withdrawal or interest rate change, account adjustment shall be carried out as required
Whole.
6. The Fund's investment in inter-bank deposit receipts is valued at the net valuation price provided by a third-party valuation agency on the valuation date;
If the selected third-party valuation agency does not provide a valuation price, it shall be valued at cost.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-three
7. The Fund may adopt the valuation provided by a third-party valuation agency in accordance with the above fair value determination principles
Price data.
8. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
9. In case of large amount subscription or redemption, the fund manager can adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
10. 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 the relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
6、 Valuation procedures
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each working day by the number of fund units on that day
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place
Errors are included in the fund assets. The fund manager can set up an emergency adjustment machine for net value accuracy in the case of large redemption
System. If the state has other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net value of the Fund assets and the net value of the Fund units on each working day and make an announcement as required.
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 contract. After the fund manager evaluates the fund assets every working day,
Send the net value result of fund units to the Fund Custodian, and the Fund Manager will
It shall be publicized as required.
7、 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-four
The parties to the 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;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-five
(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 fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the 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 0.5% 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.
8、 Suspension of valuation
1. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
9、 Recognition of net fund value
The fund manager is responsible for calculating the net value of the fund assets and the net value of the fund units, and the fund custodian is responsible for
to review. The Fund Manager shall calculate the net asset value and share of the Fund on each working day after the end of trading
The net amount shall be sent to the Fund Custodian. The fund custodian shall review and confirm the net value calculation result and send it to the fund
The Fund Manager shall publish the net value of the Fund as required.
10、 Handling of special cases
1. Errors caused by the Fund Manager and 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. The relevant accounting system changes or
Due to other force majeure reasons, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and cooperative measures
The fund asset valuation error caused by the error was not found, and the fund management
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-six
The Fund Custodian and the Fund Custodian shall be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures
To eliminate or mitigate the impact caused thereby.
11、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net fund value information of the main pocket account, and suspend the disclosure of the net fund value information of the side pocket account.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-seven
Part XII 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
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value
Eh.
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. If the Fund Contract takes effect less than 3 months ago, no income distribution is required;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or cash dividends automatically converted into fund shares for reinvestment; If the investor does not choose, the Fund will
The recognized income distribution method is cash dividends;
3. After the distribution of fund income, the net value of fund units cannot be lower than the par value; That is, on the base date of fund income distribution
The net value of fund units less the amount of income distribution per unit of fund units cannot be lower than the par value;
4. Each fund unit has the same right of distribution;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Provided that there is no material adverse effect on the interests of fund share holders, the Fund Manager may
The principle of income distribution shall be adjusted without convening a general meeting of fund share holders.
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
The relevant provisions of the Information Disclosure Measures shall be announced in 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 fund shares. Calculation of dividend reinvestment
Methods, in accordance with the Business Rules.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-eight
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the "side" of the Prospectus for details
Bag mechanism ".
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
fifty-nine
Part XIII Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Unless otherwise specified by laws and regulations and the CSRC, the Fund Contract is related to the Fund after it takes effect
The cost of information disclosure;
4. Accounting fees, attorney fees, arbitration fees and legal fees related to the Fund after the Fund Contract takes effect;
5. Expenses for the general meeting of fund share holders;
6. Securities trading fees of the Fund;
7. Bank transfer fees of the Fund;
8. Fund account opening fees and account maintenance fees;
9. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
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 the annual fee rate of 0.3% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H ＝ E × 0.3% ÷ 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
Fund management fees are accrued daily and paid monthly. Within 3 working days from the first day of the next month
Send the fund management fee transfer instruction to the fund custodian, which shall be reviewed by the fund custodian within 3 working days from
The fund property shall be paid to the fund manager in a lump sum. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, it shall be postponed to the latest payment date.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.1% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.1% ÷ 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
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty
The fund custody fee is accrued daily and paid monthly. Within 3 working days from the first day of the next month
Send the fund custody fee transfer instruction to the fund custodian, which shall be reviewed by the fund custodian within 3 working days from
The fund assets shall be paid to the fund custodian in a lump sum. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, it shall be postponed to the latest payment date.
Items 3 to 9 of the above "I. Types of fund fees" shall be subject to relevant laws and regulations and corresponding agreements
Yes, it shall be included in the current expenses according to the actual amount of expenses, and the Fund Custodian shall participate in it according to the instructions of the Fund Manager
It shall be paid from the fund property according to the industry practice.
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 expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
See the "Side Pocket Mechanism" of the Prospectus or the provisions of relevant announcements for details of fees management and other fees.
5、 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-one
Part XIV 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 less than 2 months, it can be incorporated into the next accounting year
Year;
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
It shall be confirmed in other ways agreed in the custody agreement or recognized by both parties.
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 in the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-two
Part XV Information Disclosure of the Fund
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Dynamic Risk Management Regulations, Fund Contract and other relevant regulations. Information about relevant laws and regulations
In case of any change in the disclosure provisions, the Fund shall comply with its latest provisions.
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, CSRC
Electronic disclosure website of the fund) and other media, and ensure that the fund investors can comply with the provisions of the Fund Contract
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 the foreign language text is used at the same time, the fund letter
The information disclosure obligor 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:
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-three
（1） Fund prospectus, summary of fund product information, Fund Contract, Fund Custody Agreement
Fund Unit Offering Announcement
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract
The rules and specific procedures for convening the general meeting of fund share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of major interests of the investors.
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.
The fund product information summary is the summary document of the fund prospectus, which is used to provide investors with a concise
Fund profile. The Fund Manager shall prepare, disclose and
Update the summary of fund product information.
After the Fund Contract comes into force, the information in the Fund Prospectus and the Fund Product Data Summary has changed significantly
The Fund Manager shall, within three working days, update the Prospectus and the summary of the Fund's product information,
And published on the designated website, in which the summary of fund product information shall also be published on the website of the fund sales agency or
Business outlets; Except for major changes, fund prospectus, fund product information summary and other information
In case of any change, 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 fund prospectus and fund product information summary.
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 Manager shall prepare an announcement on the sale of fund units with respect to the specific matters concerning the sale of fund units.
After the fund raising application is registered with the CSRC, the fund manager shall,
Publish the fund unit offering announcement, the indicative announcement of the fund prospectus and the indicative announcement of the fund contract on
In designated newspapers and periodicals, the fund unit sales announcement, fund prospectus, fund product information summary, fund
The contract and fund custody agreement shall be published on the designated website, and the summary of fund product information shall also be published on the
Website or business outlets of gold sales institutions; The Fund Custodian shall simultaneously transfer the Fund Agreement and the Fund Custodian Agreement
It is recommended to publish on the designated website.
（2） 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 information in the designated newspapers and websites
The announcement on the effectiveness of the Fund Contract is published on.
（3） Net fund value information
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-four
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be announced at least 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 the fund shares on the opening day through the designated website, fund sales agency website or business outlet
Net value and cumulative net value of fund units.
The Fund Manager shall make an announcement on the designated website no later than the next day after the last day of the half year and the year
Net value of fund units and cumulative net value of fund units on the year and the last day of the year.
（4） Subscription and redemption price of fund units
The Fund Manager shall upload the base fund in the Fund Contract, Prospectus and other information disclosure documents
The calculation method of amount subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the sales agency looks up or copies the above information.
（5） Regular reports of the Fund, including annual reports, interim reports and quarterly reports (including
Quarterly portfolio report)
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 regularly on "influencing investors' decisions"
The category, holding shares and proportion at the end of the reporting period, and report of the investor are disclosed under "Other important information of the policy"
Changes in shares held during the period and the unique risks of the Fund, except for special circumstances recognized by the CSRC.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-five
If the Information Disclosure Measures adjust the information disclosure requirements of the Fund's regular reports
I have the right to make corresponding adjustments in accordance with the latest regulatory requirements without convening a general meeting of fund share holders.
（6） Interim report
In case of any major event of the Fund, the relevant information disclosure obligor shall prepare an interim report as required and register
Published in 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. The Fund Contract is terminated and the Fund is liquidated;
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 management company changes the shareholders holding more than 5% of the equity, and changes the actual control of the company
People;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior managers of the Fund Manager, the Fund Manager and the Special Fund Custodian Department of the Fund Custodian
The responsible person changes;
10. The directors of the Fund Manager have changed by more than 50% in the last 12 months;
11. The main business personnel of the Fund Manager and the Fund Custodian's special fund custody department have
The change exceeds 30% within six months;
12. Litigation or arbitration involving fund property, fund management business and fund custody business;
13. 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;
14. 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;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-six
15. Fund income distribution matters;
16. Accrual standards and methods of fund management fees, fund custody fees, subscription fees, redemption fees and other fees
And rate changes;
17. The valuation error of the net value of fund units reaches 0.5% of the net value of fund units;
18. The Fund begins to handle subscription and redemption;
19. The Fund is redeemed in large amount and postponed;
20. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
21. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
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. Adjust the setting of fund share categories;
25. The Fund launches new businesses or services;
26. The Fund has held fund shares for 30 consecutive working days, 40 consecutive working days and 45 consecutive working days
If the number of people is less than 200 or the net asset value of the fund is less than 50 million yuan, the fund contract may be
Remind of the uncertainty risk at the end of life;
27. 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.
（7） Clarification announcement
During the duration of the Fund Contract, any public media or market circulation
The interest may have a misleading impact on the price of fund shares or cause major fluctuations, and may damage the fund shares
If the rights and interests of the relevant information disclosure obligor are known, it shall immediately make public clarification on the information,
And immediately report the relevant information to the CSRC.
（8） Liquidation report
The fund assets liquidation group shall publish the liquidation report on the designated website and make the liquidation report suggestive
The announcement was published in the designated newspaper.
（9） 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.
（10） Information disclosure of asset-backed securities investment
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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-seven
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.
（11） Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws, regulations and fund contracts
And the provisions of the Prospectus. See the provisions of the "side pocket mechanism" section of the Prospectus for details.
（12） 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 Fund Manager and the Fund Custodian shall strengthen the control over the undisclosed fund information and establish the fund
Sensitive information insider registration system. The fund manager, fund custodian and relevant practitioners shall not disclose
Publicly disclosed fund information.
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 comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net value of the fund, the purchase and redemption price of fund units, the regular report of the fund
Updated prospectus, fund product information summary, fund liquidation report and other publicly disclosed relevant fund letters
The interest shall be reviewed and examined, and confirmed in writing or electronically to the fund manager.
The Fund Manager and the Fund Custodian shall select the newspapers and periodicals that disclose information from the designated newspapers and periodicals
Just select a newspaper.
The Fund Manager and the Fund Custodian shall submit the information to be disclosed to the electronic disclosure website of the CSRC
Fund information, and ensure the authenticity, accuracy, integrity and timeliness of relevant information submitted.
In order to strengthen investor protection and improve the quality of information disclosure service, the fund manager shall
From the date of the regulation, provide investors with timely information that has a significant impact on their investment decisions in accordance with the provisions of the CSRC
Information.
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
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-eight
Relevant regulations of China Securities Regulatory Commission. In case of any information disclosure fee arising from the aforesaid independent disclosure, such fee shall not be transferred from the fund property
Chinese listed.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
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 information disclosure
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
1. The Fund Manager and the Fund Custodian are unable to accurately evaluate the Fund due to force majeure or other circumstances
The asset value;
2. When the securities market involved in the Fund's investment is suspended for legal holidays or other reasons;
3. Other circumstances stipulated by laws and regulations, the Fund Contract or the CSRC.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
sixty-nine
Part XVI Side pocket mechanism
1、 Implementation conditions and procedures of side pocket mechanism
When the Fund holds specific assets and there are or potential large redemption applications, according to the maximum protection basis
The Fund Manager shall consult with the Fund Custodian and consult the accountant on the principle of the interests of the gold unit holders
After the opinion of the firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to call the foundation
Deliberated by the general meeting of gold share holders. The fund manager shall report to the CSRC and
The dispatched office of the CSRC where the financial manager is located shall be put on record.
On the day when the side pocket mechanism is activated, the fund manager shall base on the original account shares of the fund share holders
And confirm the corresponding side pocket account shares.
2、 Fund operation arrangements during the implementation of the side pocket mechanism
（1） Subscription and redemption of fund units
1. Side pocket account
During the implementation of the side pocket mechanism, the fund manager will not handle the subscription, redemption and conversion of the side pocket account. fund
If the unit holder applies for subscription, redemption or conversion of fund units in the side pocket account, the subscription, redemption or conversion application
Please be rejected.
2. Main pocket account
The Fund Manager will ensure that the holders of units in the master account enjoy the redemption rights agreed in the Fund Contract in accordance with the law,
The subscription items shall be reasonably determined according to the operation of the main account, and the specific items will be listed by the fund manager
It is stipulated in the relevant public notice.
（2） Investment of the Fund
During the implementation of the side pocket mechanism, all investment operation indicators and fund performance indicators of the Fund shall be listed in the main pocket
Account assets are the benchmark.
In principle, the fund manager shall complete the investment in the main pocket account within 20 trading days after the side pocket mechanism is activated
The adjustment of the asset portfolio, except for the circumstances prescribed by the CSRC such as limited asset liquidity.
（3） Fund expenses
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
Management fees, and other fees are detailed in the relevant announcements issued at that time.
（4） Income distribution of the Fund
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy
During the implementation of the side pocket mechanism, when the shares of the main pocket account meet the conditions for income distribution of the fund contract,
The fund manager can distribute the income of the main pocket account shares. The side pocket account does not carry out income distribution.
（5） Information disclosure of the Fund
1. Net fund value information
During the implementation of the side pocket mechanism, the fund manager shall suspend the disclosure of the net value of the fund units and the base value of the side pocket account
Accumulated net value of gold shares.
2. Periodic reports
The Fund Manager shall disclose the progress of the disposal of specific assets during the reporting period in the regular report of the Fund. Drape
If the net realizable value or net value range of a specific asset at the end of the reporting period is disclosed, the net value or net value range does not represent a specific
The final realization price of assets shall not be taken as the commitment of the fund manager to the final realization price of specific assets.
3. Interim report
When the fund manager starts side pocket mechanism, disposes of specific assets, terminates side pocket mechanism and
Temporary announcements shall be issued in a timely manner after matters that can have a significant impact on the interests of investors.
The contents of the temporary announcement for the launch of the side pocket mechanism should include the reasons and procedures for the launch, specific asset liquidity and
Important information such as valuation, impact on investors' purchase and redemption, risk warning, etc.
The contents of the temporary announcement on the disposal of specific assets shall include the price and time of the disposal of specific assets, and the side pocket account
Important information such as the amount paid by the account unit holder and the occurrence of relevant expenses.
（6） Disposal and liquidation of specific assets
The Fund Manager will, in accordance with the principle of maximizing the interests of fund share holders, dispose of specific assets
The corresponding amount shall be paid to the side pocket account unit holders in a timely manner by means of realization.
（7） Audit of side pockets
The Fund Manager shall, after enabling the side pocket mechanism and terminating the side pocket mechanism, timely employ the Chinese who meet the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall audit and disclose special audit opinions.
3、 The relevant provisions of this part on the side pocket mechanism refer directly to laws, regulations or regulatory rules
Points, such as the cancellation or change of relevant contents due to the modification of laws and regulations or regulatory rules in the future, or the future law
If laws, regulations or regulatory rules further stipulate the content of the side pocket mechanism, the fund manager shall
After the custodian has reached consensus and performed appropriate procedures, there is no material adverse effect on the interests of fund share holders
Under the premise of "Yes", the content of this part can be directly modified and adjusted without the need to convene fund share holders
Deliberation by the General Assembly.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-one
Part XVII Risk Disclosure
The Fund is a bond fund, and its expected risk and expected return level is higher than that of monetary fund, but lower than that of equity fund
Ticket and hybrid funds. The portfolio risks faced by the Fund mainly include market risk, credit risk
Liquidity risk and specific risk, etc. In addition to portfolio risk, the Fund also faces operational risk and management
Risk, moral hazard, legal compliance risk and other risks. The details are as follows:
1、 Risks of the Fund
1. Portfolio risk
(1) Market risk
The price of the securities market is affected by various factors such as economic factors, political factors, investment psychology and trading system
Impact, resulting in changes in the level of fund returns and risks, mainly including:
Policy risk: due to national macro policies (such as monetary policy, fiscal policy, industrial policy, regional development
Policy, etc.), resulting in market price fluctuations and risks.
Business cycle risk: with the cyclical change of economic operation, the return level of the securities market is also cyclical
Sexual change. When the fund invests in bonds, the income level will also change accordingly, resulting in risks.
Interest rate risk: the fluctuation of interest rate in the financial market will lead to changes in the price and yield of the securities market. interest rate
It directly affects the price and yield of national debt, as well as the financing cost and profit of enterprises. Direct investment of the Fund
The income level of bonds will fluctuate due to changes in interest rates.
Exchange rate risk: changes in exchange rate may have different impacts on different sectors of the national economy, resulting in
The performance of the listed companies invested by the Fund and the price of their securities fluctuate, and the income of the Fund changes.
(2) Liquidity risk
Liquidity risk refers to the degree of difficulty in realizing the securities assets held by the fund
The risk that securities cannot be quickly and cheaply converted into cash. On the one hand, the liquidity risk of the Fund comes from
The concentrated huge redemption of investors, on the other hand, comes from the realization of their investment portfolio or some of its assets
Risks arising from the weakening of force. It mainly includes:
1) In terms of subscription and redemption arrangements, the Fund will strengthen the management of the subscription process of open-ended funds,
Reasonably control the concentration of fund share holders, prudently confirm the application for large amount subscription, and when accepting the application for subscription
When the interests of the holders of stock fund units constitute a potentially significant adverse impact, the fund manager will adopt the single setting method
The upper limit of the amount of single/single day subscription of investors or the upper limit of the net subscription proportion of the fund in a single day, the upper limit of the total size of the fund
Refusing to purchase in large amount, suspending fund purchase and other measures to control the fund size and effectively protect the stock funds
The legal rights and interests of the holder. See Part VIII of this Prospectus for details.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-two
2) The markets in which the Fund intends to invest are mainly various bonds and money market instruments. Including money market instruments
The short residual period, active market transactions and high liquidity can meet the needs of daily cash management during the opening period;
The bond market has large capacity, high turnover rate and good liquidity. The fund manager has formulated strict bond rating
The system and repurchase transaction pledge management system continuously monitor the risk status and value change of investment varieties
To prevent the liquidity risk event of the model fund.
3) The Fund is an open-ended fund, which may incur huge redemption in the process of open-ended fund transaction
Back to the situation. Due to the high volatility of China's securities market, there will be a sharp trading volume when the market price falls
In the case of dramatic decrease, huge redemption may lead to difficulties in the realization of fund assets, resulting in liquidity
Sexual risk, or even affect the net value of fund shares. In case of huge redemption of the Fund, the Fund Manager may
Full redemption or partial redemption shall be determined according to the current asset portfolio status of the fund or the proportion of large redemption units
Deferred Redemption. At the same time, if a single fund unit holder of the Fund applies for redemption of fund units on a single open day
Where the total fund shares exceed a certain proportion, the fund manager may postpone the application for redemption
measures. See Part VIII of this Prospectus for details.
4) The Fund may implement alternative liquidity risk management tools to better deal with liquidity risk.
After consultation with the Fund Custodian, the Fund Manager may, on the premise of ensuring that investors are treated fairly
The provisions of laws, regulations and fund contracts, the comprehensive use of various liquidity risk management tools, redemption applications, etc
Make appropriate adjustments as auxiliary measures for liquidity risk management of fund managers under specific circumstances, including but not limited to
Not limited to: ① postpone the application for massive redemption; ② Suspend accepting redemption application; ③ Suspend the payment of redemption money;
④ A short-term redemption fee is charged. The Fund charges investors with a continuous holding period of less than 7 days no less than 1.5%
Redemption fee; ⑤ Suspend fund valuation. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date,
After consultation and confirmation with the Fund Custodian, the Fund will suspend the valuation of the Fund; ⑥ Swing pricing.
When fund managers implement liquidity risk management tools, it may have a certain potential impact on investors
Response, including but not limited to failure to subscribe for the Fund, failure to confirm redemption application or delayed arrival of redemption funds
If the holding period is less than 7 days, a higher redemption fee will be generated, resulting in loss of income, etc. Prompt investors to understand themselves
Liquidity preference and reasonable investment arrangement.
5) Liquidity risk: the risk of changes in fund returns caused by the weak liquidity of the portfolio. When holding
When the trading of some bond varieties is not active and the trading volume is insufficient, the difficulty of asset realization may increase.
At the same time, due to the high concentration of certain assets held by the fund, it is difficult to realize them quickly in a short time
The net value of the fund may be lost.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-three
6) The risk of using the side pocket mechanism: when the Fund holds specific assets and there are or potential large redemption applications
At the time of application, the Fund Manager may, after reaching consensus with the Fund Custodian and consulting the accounting firm
The side pocket mechanism shall be activated in accordance with laws and regulations and the fund contract. During the implementation of the side pocket mechanism
The Fund will stop disclosing the information of the net value of the Fund, and may not handle subscription, redemption and conversion. The Fund Unitholders may
Can face the liquidity risk of not being able to obtain the corresponding part of the side pocket account in time. The Fund Manager will
In the principle of maximizing the interests of the holders, special assets shall be disposed and realized, and the side pocket account shall be timely
The unit holder pays the corresponding amount, but due to the uncertainty of the realization time of specific assets, the final realization price
It is also uncertain and may be significantly lower than the valuation of specific assets when the side pocket mechanism is enabled
Unit holders may suffer losses as a result.
During the implementation of the side pocket mechanism, because the Fund does not disclose the net fund value information of the side pocket account, even if the fund management
The manager shall not disclose the net realizable value or net value range of specific assets at the end of the reporting period in the regular report of the fund
It is a commitment to the final realization price of specific assets, so the fair value and final realization price of specific assets
The Fund Manager does not assume any responsibility for guarantee and commitment.
The fund manager will reasonably determine the purchase policy according to the operation of the main pocket account, so the side pocket mechanism will be implemented
It is possible to suspend the subscription of the shares in the back main pocket account.
After the side pocket mechanism is enabled, fund managers only need to calculate various investment operation indicators and fund performance indicators
Consider the assets of the main pocket account and reduce the net assets of the fund caused by splitting the assets of the side pocket account according to relevant regulations
It is treated as investment loss, so the performance indicators disclosed by the Fund cannot reflect the true value of specific assets
And changes.
(3) Credit risk
The bond issuer defaults, refuses to pay the due principal and interest, or the credit quality of the bond issuer decreases
The risk that leads to the decline of bond price, and the credit risk also includes the securities transaction caused by the default of the securities counterparty
Cut risk.
2. Operational risk
In the process of fund operation, the operation is caused by defects in the fund manager's internal control or human factors
Errors or violations of operating procedures will lead to operational risks, mainly including human errors, illegal acts, and unauthorized
Operational risks such as activities and personnel turnover, technical risks, decision-making and procedure risks, etc.
3. Managing risk
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-four
In the process of fund management and operation, the research level and investment management level of the fund manager directly affect the
If the fund manager's judgment on the economic situation and the securities market is not accurate and the information obtained is not accurate
Errors in investment decision-making will affect the return level of the fund.
4. Compliance risk
The investment compliance risk means that the investment operation of the Fund does not comply with the provisions of relevant laws and regulations and
Risks arising from the requirements of the contract.
5. Risk of asset-backed securities
The Fund may invest in asset-backed securities traded in the national inter-bank bond market or stock exchange,
The Fund Manager will invest in asset-backed securities in the principle of prudence and risk control, but due to the
Holding securities has certain credit risk, interest rate risk, liquidity risk, prepayment risk and other risks
It can lead to various risks including the fluctuation of fund net value.
6. Risk of automatic termination of contract
After the Fund Contract takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; The Fund Manager shall terminate the Fund Contract if the above circumstances occur for 50 consecutive working days,
Liquidation shall be carried out in accordance with the agreed procedures in the Fund Contract, without the need to convene a general meeting of fund share holders for deliberation.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail. As a result, investors may face
The risk of automatic termination of the contract.
7. Unique risks of the Fund
The Fund is a bond fund whose assets are mainly invested in the bond market, so changes in the bond market will affect
It affects the fund performance. The Fund Manager will give full play to the advantages of professional research to strengthen the market and listed companies
Further research on fundamentals and fixed income products, and continuous optimization of portfolio allocation to control specific risks.
8. The risk return characteristics of the Fund's legal documents may not be consistent with the fund risk assessment of the sales agency
Risk of
The statements on risk return characteristics in the investment section of the Fund's legal documents are based on the investment scope and investment ratio
Examples, general rules of the securities market, etc., represent the long term
Risk return characteristics of the period. Sales agencies (including fund manager direct sales agencies and other sales agencies)
Laws and regulations evaluate the risk of the Fund, and different sales agencies adopt different evaluation methods, so
There may be differences between the risk rating evaluation of the sales agency and the expression of risk return characteristics in the fund legal documents,
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-five
When purchasing the Fund, the investor shall complete the risk tolerance and product risk in accordance with the requirements of the sales agency
Matching test.
9. Other risks
(1) Due to the rapid development of fund business, in terms of system construction, staffing, establishment of internal control system, etc
Risk arising from imperfection;
(2) Possible risks due to reliance on key business personnel such as fund managers;
(3) Possible risks due to business competitive pressure;
(4) Force majeure such as war and natural disasters may cause losses of fund assets and affect fund income
Level, thus bringing risks;
(5) Risks caused by other accidents.
2、 Statement
The Fund is not guaranteed by any government, institution or department at any level. Investors who wish to invest in the Fund must
Take the investment risk.
In addition to the Fund Manager directly handling the sale of the Fund, the Fund is also sold through a fund sales agency
However, the fund assets are not deposits or liabilities of the sales agency, nor are they guaranteed by the fund sales agency
The sales organization cannot guarantee the safety of its income or principal.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-six
Part XVIII Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The change of the fund contract involves the provisions of laws and regulations or the fund contract shall be approved by the fund share holders
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 agreed in the Fund Agreement that may not be passed by the resolution of the general meeting of fund share holders 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 must be reported to the CSRC for filing,
The resolution shall take effect from the date of voting and shall not be implemented until it takes effect. The resolution shall be designated within two days after the resolution takes effect
Media announcements.
2、 Reasons for Termination of the Fund Contract
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. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days
Or the number of fund unit holders is less than 200 for 50 consecutive working days;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund 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 with securities and futures related business qualifications, and those designated by the CSRC
Personnel 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 Asset Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-seven
(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 contracts incurred by the fund assets liquidation team in the process of fund assets liquidation
The fund assets liquidation team shall pay the management fees and liquidation fees from the remaining assets of the fund 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 report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The fund asset liquidation group shall make an announcement within 5 working days. The fund assets liquidation group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-eight
Part XIX Summary of Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
（1） Profile of the Fund Manager
Name: ABC Huili Fund Management Co., Ltd
Domicile: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Xu Jinchao
Date of establishment: March 18, 2008
Establishment approval authority and establishment approval document number: CSRC approval
[2008] No. 307
Organizational form: limited liability company
Registered capital: RMB 1750000001
Duration: continuous operation
Tel: 021-61095588
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions
Including but not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved 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 a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take 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;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
seventy-nine
(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) Determine 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, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise relevant 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 the Fund's 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
Including 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 Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(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 shall not be used
The property shall seek benefits for itself and any third party, and shall not entrust any third party to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty
(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, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare regular reports of the Fund;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant regulations
Disclosure and reporting obligations;
(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
Disclose to others, except for circumstances required by external professional consultants such as audit and law consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene 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 in cooperation with the fund custodian and fund unit holders;
(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
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose 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
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-one
(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 of the Fund during the raising period, and the Fund Contract cannot
Effective, the fund manager shall bear all the raising costs, and add the raised funds to the current deposit interest of the bank for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising 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, CSRC and the Fund Contract.
（3） Profile of Fund Custodian
Name: China Minsheng Bank Co., Ltd
Registered address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Office address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Postal code: 100031
Legal representative: Gao Yingxin
Date of establishment: February 7, 1996
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2004] No. 101
Organizational form: other limited liability companies (listed)
Registered capital: RMB 28365585227
Duration: continuous operation
（4） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Custodian include
Including but not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-two
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with the relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund,
Clearing securities trading funds for the Fund;
(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 Operation Measures and other relevant provisions, the obligations of the Fund Custodian include
Including 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) In addition to the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions,
Do not use the fund assets to seek benefits for yourself or any third party, and do not entrust a third party to trust the fund assets
Production;
(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 and the Custody Agreement, in accordance with the investment instructions of the Fund Manager, the Fund Manager shall promptly handle the liquidation
Closing matters;
(7) Keep fund business secrets, except for the Fund Law, Fund Contract, Custody Agreement and
Unless otherwise specified in other relevant regulations, the fund information shall be kept confidential and shall not be disclosed to others,
Except for the circumstances required by external professional consultants such as audit and law consultants;
(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;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-three
(10) To issue opinions on the financial and accounting reports of the Fund and the regular reports of the Fund, stating that the Fund Manager
Whether the operation of important aspects is carried out in strict accordance with the provisions of the Fund Contract and the Custody Agreement; If the base
If the fund manager fails to implement the provisions of the Fund Contract and the Custody Agreement, it shall also explain the fund trust
Whether the administrator has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Manager and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Supervise the Fund Manager in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Investment operation;
(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
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（5） 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 investor will become the fund share holder and the fund investor will become the fund share holder
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-four
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Unless otherwise stipulated by laws and regulations or the fund contract, each fund share is equally legal
Equity.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Benefits include but are 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. In accordance with the Fund Law, the Operation Measures and other relevant provisions
Services include but are not limited to:
(1) Carefully read and abide by the Fund Contract;
(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 amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(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 resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-five
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. Unless otherwise stipulated by laws and regulations or the Fund Contract
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights.
The National People's Congress of the holders of Fund units of the Fund does not set up daily institutions.
（1） Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be convened, but
Unless otherwise stipulated by laws and regulations, the CSRC and the Fund Contract:
(1) Terminate 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 standards of the Fund Manager and the Fund Custodian;
(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) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
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) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate, lower the redemption rate, increase, cancel or adjust the fund shares
Category setting or change of charging method;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-six
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, transfer of custody, transfer of fund units, etc;
(6) The Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
3. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days
Or if the number of fund unit holders is less than 200 for 50 consecutive working days, the Fund Manager shall terminate
Gold contract, and carry out liquidation in accordance with the agreed procedures of the Fund Contract, without the need to convene fund share holders
Deliberation by the General Assembly.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting 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 start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting, but the Fund Custodian still considers it necessary,
It shall be convened by the Fund Custodian itself and notified to the Fund within 60 days from the date of issuing the written decision
The manager and 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, representing more than 10% (including 10%) of the Fund shares
If the Fund Unitholders still consider it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. fund
The custodian shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify in writing of the proposal
The representatives of the Fund Unitholders and the Fund Manager; If the Fund Custodian decides to convene the meeting, it shall issue a written document
The Fund Manager shall be convened and notified within 60 days from the date of the decision, and the Fund Manager shall cooperate.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-seven
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
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 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 submission of voting opinions and collection method.
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 fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
（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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-eight
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 and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund shares shall not be less than 50% (including 50%) of the total fund shares of the Fund on the equity registration date. if
The effective fund shares represented by the participants on the equity registration date are less than the total fund shares of the Fund on the equity registration date
50% of the amount, the convener can
The general meeting of fund unit holders shall be reconvened within 6 months on the matters originally scheduled for consideration. Funds reconvened
The effective fund units represented by the participants of the general meeting of shareholders on the equity registration date shall not be less than the current rights of the Fund
One third (including one third) of the total fund shares on the registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other forms specified in the announcement of the meeting 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 forms specified in the notice of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) The convener of the meeting shall publish the notice of the meeting in accordance with the Fund Contract, and within 2 working days
Continue to publish relevant advisory announcements;
(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 votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than 50% (including 50%) of the total fund shares on the equity registration date; if
The fund share holders who directly issue their own voting opinions or authorize others to issue their own voting opinions on their behalf
If the fund units are less than 50% of the total fund units on the equity registration date, the convener may
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
eighty-nine
The Fund shall be reconvened on the matters originally scheduled for consideration within 3 months and 6 months after the holding of the general meeting of shareholders
General meeting of unit holders. The reconvened general meeting of fund unit holders shall have more than one-third of the representatives (including
1/3) The holders of fund units directly issue voting opinions or authorize others to issue voting opinions on behalf of them;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet or telephone
Or in other ways, the fund share holders can use written, online, telephone, SMS or other ways
The specific method of voting shall be determined by the convener of the meeting and listed in the notice of the meeting.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf, the authorization may be in writing
In face, network, telephone, SMS or other ways, the specific way shall be listed in the meeting notice.
（5） Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the shareholders' meeting (laws and regulations, otherwise stipulated by the CSRC or the Fund Contract)
Unless otherwise agreed).
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 in accordance with the procedures specified in Article (7) below
And announce the scrutineers, and then the presider of the meeting reads out the proposal. After discussion, the proposal is voted and the resolution of the meeting is formed
Discussion. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
In case of presiding over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the fund manager
If neither the authorized representative nor the authorized representative of the Fund Custodian can preside over the meeting, the fund shares attending the meeting shall hold
More than 50% (including 50%) of the voting rights held by persons and agents shall elect a fund share holder to act as
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety
As the host of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or preside over the meeting
The General Meeting of Fund Unitholders shall not affect the validity of the resolutions made by 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 50% (including 50%) of the voting rights shall be valid; Except as provided in item 2 below, special decision shall be taken
Matters other than those passed by the conference 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. In addition to laws and regulations, China Securities Regulatory Commission
Or unless otherwise specified in the fund contract, change the operation mode of the fund, change the fund manager or fund custodian
The termination of the Fund Contract and the merger of the Fund with 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
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total fund shares represented by the fund share holders who issue the voting opinions
Number.
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
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-one
(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 different opinions on the voting results submitted
The number of votes demanded may 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 votes, 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-two
（9） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
50% (including 50%) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund shares held by the holder shall not be less than 50% (including 50%) of the relevant fund shares on the equity registration date;
4. If the fund unit holders who participate in the voting of the general meeting of fund unit holders hold small fund units
On the equity registration date, 50% of the relevant fund units will be called by the convener at the original announced fund unit holders' meeting
Fund unit holders reconvened within 6 months and 3 months after the opening date on the matters originally scheduled for review
There should be holders representing more than one-third (including one-third) of the relevant fund units participating in or authorizing him
Participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to 50% of the voting rights held by fund share holders or their proxies attending the meeting
More than 50% passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters to be considered at the general meeting of fund share holders involve the main pocket account and the side pocket account
The fund share holders of the main pocket account and the side pocket account shall vote respectively
Each fund share in the fund has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account
No voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The relevant provisions of this part shall apply to those not specified in this section.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-three
（10） 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 amendment of the management rules results in the cancellation or change of the relevant contents, the Fund Manager shall reach an agreement with the Fund Custodian through consultation
After the announcement in advance, the content of this part can be modified and adjusted directly without the need to convene fund share holders
Deliberation by the General Assembly.
3、 Change and Termination of Fund Contract and Liquidation of Fund Assets
（1） Changes to the Fund Contract
1. The change of the fund contract involves the provisions of laws and regulations or this contract shall be approved by the fund share holders
If a resolution is passed at the meeting, a general meeting of fund unit holders shall be convened to pass the resolution. For laws and regulations
And the Fund Contract agree that the Fund Manager shall
And the Fund Custodian, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract must be reported to the CSRC for filing,
The resolution shall take effect from the date of voting and shall not be implemented until it takes effect. The resolution shall be designated within two days after the resolution takes effect
Media announcements.
（2） Reasons for Termination of the Fund Contract
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. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days
Or the number of fund unit holders is less than 200 for 50 consecutive working days;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund 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 with securities and futures related business qualifications, and those designated by the CSRC
Personnel composition. The Fund assets liquidation team may employ necessary staff.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-four
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 Asset 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 contracts incurred by the fund assets liquidation team in the process of fund assets liquidation
The fund assets liquidation team shall pay the management fees and liquidation fees from the remaining assets of the fund 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 report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The fund asset liquidation group shall make an announcement within 5 working days. The fund assets liquidation group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
（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.
4、 Dispute resolution and applicable law
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-five
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, either party has the right to submit the dispute to China International Economic and Trade Arbitration
The Arbitration Commission shall conduct arbitration in accordance with its arbitration rules in force at that time. The place of arbitration shall be Beijing. Arbitral award
The decision is final and binding on all parties. The arbitration fee and attorney fee shall be borne by the losing party.
During the dispute settlement period, the parties concerned shall strictly abide by the responsibilities of the Fund Manager and the Fund Custodian
Continue to faithfully, diligently and responsibly perform the obligations specified in the Fund Contract and the Custody Agreement, and maintain the Fund shares
The legal rights and interests of the holder.
The Fund Contract shall be governed by the laws of China.
5、 Depository of fund contracts and ways for investors to obtain fund contracts
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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-six
Part XX Summary of Custody Agreement
1、 Parties to the Fund Custody Agreement
（1） Fund manager
Name: ABC Huili Fund Management Co., Ltd
Registered address: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Postal code: 200120
Legal representative: Xu Jinchao
Date of establishment: March 18, 2008
Establishment approval authority and establishment approval document number: CSRC approval
[2008] No. 307
Organizational form: limited liability company
Registered capital: RMB 1750000001
Duration: continuous operation
（2） Fund Custodian
Name: China Minsheng Bank Co., Ltd
Registered address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Office address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Postal code: 100031
Legal representative: Gao Yingxin
Date of establishment: February 7, 1996
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2004] No. 101
Organizational form: other limited liability companies (listed)
Registered capital: RMB 28365585227
Duration: continuous operation
Business scope: absorbing public deposits; Issue short-term, medium-term and long-term loans; Handle domestic and foreign settlement; handle
Acceptance and discount of bills and issuance of financial bonds; Issuing, cashing and underwriting government bonds as an agent; Business administration
Government bonds and financial bonds; Interbank lending; Buying and selling foreign exchange; Engaged in foreign exchange settlement and sales;
Engaging in bank card business; Provide letter of credit service and guarantee; Agency collection and payment; Concurrent insurance agency business;
Provide safe deposit box service; Other businesses approved by the banking regulatory authority under the State Council.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-seven
2、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian invests in the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Scope and investment object shall be supervised. If the fund contract clearly stipulates the fund investment style or securities selection criteria,
The Fund Manager shall provide the investment variety pool in the format required by the Fund Custodian for the Fund Custodian to use
Relevant technical systems to determine whether the actual investment of the Fund complies with the provisions of the Fund contract on the securities selection criteria
Supervise and check the doubtful matters.
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Government bonds, financial bonds, corporate bonds, corporate bonds, local government bonds, central bank notes, medium-term notes, assets
Supporting securities, government supported institutional bonds, short-term financing bonds, bond repurchase, time deposits, negotiated deposits
Inter bank deposit receipts and other financial instruments permitted by laws and regulations or the CSRC to be invested by the fund, provided that they meet the requirements of
Relevant regulations of China Securities Regulatory Commission.
The Fund does not invest in stocks and other assets.
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 investment portfolio is: the proportion of bond assets in the Fund's assets is not less than 80%, and the Fund holds
The proportion of government bond investment with cash or maturity within one year is not less than 5% of the net asset value of the fund
Among them, cash assets do not include settlement provisions, deposits, purchase receivables, etc.
If the relevant provisions of the laws and regulations are changed or allowed by the regulatory authority, the Fund Manager shall perform the appropriate
After the procedure, the above asset allocation proportion can be adjusted.
（2） The Fund Custodian invests in the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Proportional supervision. The Fund Custodian shall supervise according to the following proportion and adjustment period:
(1) The proportion of the Fund's bond assets in the Fund's assets shall not be less than 80%;
(2) Keep no less than 5% of the net asset value of the fund in cash or government bonds with a maturity of less than one year,
Among them, cash assets do not include settlement provisions, deposits, purchase receivables, etc;
(3) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund;
(4) All funds managed by the Fund Manager and managed by the Custodian hold certificates issued by one company
Securities, no more than 10% of the securities;
(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 net asset value;
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-eight
(6) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund,
Except for special varieties specified by the CSRC;
(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 and managed by the Custodian are invested in the same original equity holder
All kinds of asset-backed securities shall not exceed 10% of the total size of all kinds of asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). fund
During the period of holding asset-backed securities, if their credit rating declines and they no longer meet the investment standards, they should report in the rating report
All sales shall be made within 3 months from the date of announcement;
(10) 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, the longest term of bond repo in the national inter-bank market is one year
No extension is allowed after the maturity of the repurchase of bonds;
(11) The total value of fund assets shall not exceed 140% of the net value of fund assets;
(12) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net assets of the Fund
15% of the value; Due to factors other than the fund manager, such as fluctuations in the securities market and changes in fund size, the fund does not
If the proportion limit is met, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
(13) 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
bring into correspondence with;
(14) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Except for items (2), (9), (12) and (13) above
The fund investment proportion does not meet the above requirements due to factors other than fund managers such as pedestrian merger and fund size change
If the investment proportion is specified, the fund manager shall make adjustment within 10 trading days, but the CSRC stipulates that
Except under special circumstances. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the fund contract. During the above period, the investment scope and investment strategy of the Fund shall conform to the basic
The agreement of the gold contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or change 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 the changed provisions.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
ninety-nine
（3） The Fund Custodian, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement
On the supervision of the prohibited acts of fund investment in Article 15 (9). The Fund Custodian passes the post supervision party
To supervise the Fund Manager's prohibited acts of fund investment.
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 Fund's investment objectives and investment strategies, and follow the Fund's
The principle of giving priority to the interests of share holders, 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 and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the Fund's investment is not subject to the above provisions or the changed provisions
Shall prevail.
（4） The Fund Custodian shall manage the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Participate in supervision of inter-bank bond market. The Fund Manager shall trust the Fund before the investment operation of the Fund
We provide a carefully selected interbank bond market that complies with laws, regulations and industry standards and is applicable to the Fund
List of market counterparties, and agree on the transaction settlement method applicable to each counterparty. The fund manager shall be strict
Select counterparties in the inter-bank bond market according to the scope of the list of counterparties. The Fund Custodian supervises the Fund
Whether the manager conducts transactions according to the list of counterparties in the inter-bank bond market provided in advance. The Fund Manager may
The list of counterparties in the inter-bank bond market and the settlement method are updated semi annually
The unsettled transactions with the counterparties eliminated this time shall still be settled in accordance with the agreement. As base
The fund manager temporarily adjusts the list of counterparties in the inter-bank bond market and the settlement method according to the needs of the market situation
In case of any violation, the Fund Custodian shall explain the reasons to the Fund Custodian in a timely manner and negotiate for settlement.
The fund manager is responsible for controlling the credit standing of the counterparty, which is carried out according to the trading rules of the inter-bank bond market
Transaction, and be responsible for resolving disputes and losses caused by the counterparty's failure to perform the contract. The Fund Custodian will not accept
Bear any legal liability and loss caused thereby. If the non performing counterparty is in the custody of the fund
If the Fund Manager has not undertaken the liability for breach of contract and other relevant legal liabilities before the time determined by the Manager, the Fund Manager may
The corresponding losses shall be borne first and then recovered from the relevant counterparties. For example, the fund custodian found that
When the Fund Manager fails to conduct transactions in accordance with the counterparty or transaction method agreed in advance, the Fund Custodian shall
The Fund Manager shall be reminded that the Fund Custodian shall not bear any losses and liabilities arising therefrom.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred
（5） The Fund Custodian shall manage the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
People invest in restricted securities for supervision.
The fund manager shall, in accordance with the relevant provisions of the CSRC, specify the fund in advance when investing in restricted securities
To invest in the proportion of restricted securities in circulation, formulate strict investment decision-making process and risk control system to prevent liquidity
Various risks such as sexual risk, legal risk and operational risk. Whether the Fund Custodian complies with the relevant regulations on the Fund Manager
Supervise the relevant system, liquidity risk disposal plan and relevant investment quota and proportion. first
Before investing in tradable restricted securities, the Fund Manager shall sign a risk agreement with the Fund Custodian on investment in tradable restricted securities
Control Supplementary Agreement.
1. The circulation restricted securities invested by the Fund shall be those approved by the CSRC for a specified period at the time of issuance
The tradable securities with limited lock period, excluding the securities whose trading is temporarily suspended due to the release of major news or other reasons
Negotiable restricted securities such as bonds, issued unlisted securities, pledged bonds in repurchase transactions, etc. The Fund does not invest in
Securities with an indefinite lock up period.
The restricted negotiable securities invested by the Fund are limited to those that can be registered by China Securities Depository and Clearing Corporation Limited or the Central Government
The National Debt Registration and Clearing Co., Ltd. and the Inter bank Clearing House Co., Ltd. are responsible for registration and custody, and may
Securities traded on the stock exchange or the national inter-bank bond market.
The restricted negotiable securities invested by the Fund shall be registered and deposited in the name of the Fund, and the Fund Manager shall be responsible for
Implementation and coordination of relevant work, and ensure that the Fund Custodian can make normal inquiries. Due to the fund manager
The Fund Custodian's responsibility for failing to keep the Fund's assets safely due to the registration and custody of restricted negotiable securities
Any losses, liabilities and losses directly affecting the safety of the Fund due to the custody of restricted securities shall be managed by the Fund
The manager shall bear the responsibility.
The Fund shall not prepay any form of margin for its investment in restricted securities.
2. The Fund Manager shall be responsible for the liquidity risk of the Fund's investment in restricted securities and ensure that it is responsible for relevant risks
The insurance company shall take active and effective measures to effectively solve the liquidity problem of fund operation within a reasonable time. If due to
When the cash flow of the fund is difficult due to huge redemption of the fund or drastic market changes, the fund management
We should ensure that we provide sufficient cash to ensure the payment and settlement of the fund. Due to restricted investment and circulation of securities
The Fund Custodian shall not bear any responsibility for the liquidity risk of. If the fund manager violates the fund contract or
The first determined proportion of restricted securities in investment circulation leads to losses of the Fund and causes the Fund Custodian to bear
If it is liable for compensation, the Fund Manager shall compensate the Fund Custodian for the losses incurred therefrom.
3. If the Fund's proportion of restricted securities for investment and circulation violates relevant restrictions, it fails to
In case of timely adjustment, the Fund Manager shall prepare an interim report and make an announcement within two days.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and one
4. The Fund Custodian has the right to supervise the Fund Manager on the following matters in accordance with relevant regulations:
1) Compliance with laws and regulations when the Fund invests in restricted securities.
2) Relevant systems and liquidity risk disposal plans in the management of restricted securities of fund investment and circulation
Establishment and improvement.
3) Implementation of proportional restrictions.
4) Information disclosure.
5. Where relevant laws and regulations have new provisions on restricted securities for fund investment and circulation, such provisions shall prevail.
（6） The fund manager shall study the business of investing in medium-term notes and carefully evaluate the investment of medium-term notes
The investment business of medium-term notes shall be carried out based on the principle of prudence, diligence and responsibility. fund management
In accordance with laws, regulations and regulations of the regulatory authorities, we have formulated the medium-term fund investment approved by the Board of Directors of the Company
Bill related system (hereinafter referred to as "the system") to standardize the investment decision-making process and risk of medium-term bills
Risk control. If the contents of the System of the Fund Manager are inconsistent with this Agreement, the provisions of this Agreement shall prevail.
（7） For funds such as investment bank deposits, the Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Agreement
To supervise whether the scope of counterparties of fund investment bank deposits conforms to relevant regulations; base
Before signing the bank deposit agreement, the fund manager shall submit the draft bank deposit agreement to the fund custodian for review.
（8） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Net value calculation, net value calculation of fund shares, receipt of funds receivable, determination of fund expenses and income, fund
Income distribution, relevant information disclosure, fund performance data published in fund promotion materials, etc
Supervision and verification.
（9） The Fund Custodian finds that the above matters, investment instructions or actual investment operation of the Fund Manager violate
Anti laws and regulations, fund contract and the provisions of this Custodian Agreement shall be timely reminded by telephone or in writing
The Fund Manager shall be notified to make corrections within a time limit and report to the CSRC in a timely manner. The Fund Manager shall actively cooperate
And assist the Fund Custodian in its supervision and verification. The Fund Manager shall, after receiving the written notice
Check and send a written reply to the Fund Custodian to explain or cite the Fund Custodian's doubts
Certificate, stating the reason for the violation and the time limit for correction, and ensuring timely correction within the specified time limit. During the above specified period
The Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections. fund management
If the Fund Custodian fails to correct the violations notified by the Fund Custodian within the time limit, the Fund Custodian shall report to the CSRC
The Supervisory Commission.
（10） The Fund Manager has the obligation to cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Agreement and
This Custody Agreement shall check the fund business. The Fund Manager shall give written reminders to the Fund Custodian
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and two
Reply and correct within the specified time, or explain or provide evidence on the Fund Custodian's doubts; Custody of funds
In accordance with the requirements of laws and regulations, the Fund Contract and this Custodian Agreement, the Fund Supervision Report shall be submitted to the CSRC
The Fund Manager shall actively cooperate in providing relevant data, information and systems.
（11） If the Fund Custodian finds that the instructions of the Fund Manager that have become effective according to the trading procedures violate the law
Where laws, administrative regulations and other relevant provisions are violated, or the fund contract is violated, the fund manager shall be notified immediately
The fund manager shall bear the losses caused thereby and report to the CSRC in a timely manner.
（12） If the Fund Custodian finds that the Fund Manager has major violations, it shall report to the CSRC in a timely manner
At the same time, the Fund Manager shall be notified to correct within a time limit, and the correction results shall be reported to the CSRC. Fund manager
Refusing or obstructing the other party to exercise the supervision right according to the provisions of this Custody Agreement, or taking delay or deception without justified reasons
Fraud and other means prevent the other party from conducting effective supervision, and if the circumstances are serious or the Fund Custodian issues a warning, it still fails to correct
The fund custodian shall report to the CSRC.
（13） When the fund holds specific assets and there are or potential large redemption applications
In the principle of protecting the interests of fund share holders, the Fund Manager has reached consensus with the Fund Custodian and consulted
After the opinion of the accounting firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to
Convene a general meeting of fund share holders for deliberation.
During the implementation of the side pocket mechanism, the Fund's portfolio proportion, investment strategy, portfolio restrictions and performance ratio
Benchmarking, risk return characteristics and other agreements are only applicable to master accounts.
Implementation conditions, implementation procedures and operational arrangements of side pocket account (including but not limited to the impact on fund redemption
Response, information disclosure, expense disbursement, etc.), investment arrangements, disposal, realization and payment of specific assets
See the fund contract and prospectus for details of matters that have a significant impact on the rights and interests of investors.
The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract and the Prospectus
Supervise the implementation of side pocket mechanism, specific asset disposal and information disclosure.
3、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of the custodian duties of the Fund Custodian, including
The Fund Custodian is required for the safe custody of the Fund assets, the opening of fund accounts, securities accounts and other investments of the Fund assets
Account, review the net value of fund assets calculated by the fund manager, net value of fund units
Order clearing and settlement, relevant information disclosure and supervision of fund investment operation.
（2） The Fund Manager discovers that the Fund Custodian misappropriates the Fund assets without authorization and fails to distribute the Fund assets
Account management, failure to execute or unreasonably delayed execution of fund manager's fund transfer instructions, disclosure of fund investment information, etc
Any violation of the Fund Law, the Fund Contract, this Agreement and other relevant provisions shall be notified in writing in a timely manner
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and three
The Fund Custodian shall make corrections within a time limit. After receiving the notice, the Fund Custodian shall check it in a timely manner on the next working day and submit it in writing
Send a reply letter to the fund manager in the form of stating the reasons for the violation and the time limit for correction, and ensure that within the specified time limit and
Correct when. Within the above specified period, the Fund Manager has the right to review the notice at any time to urge the Fund Manager to
The gold custodian makes corrections. The Fund Custodian shall actively cooperate with the Fund Manager in its verification activities, including but not limited to:
Submit relevant materials for the Fund Manager to verify the integrity and authenticity of the custody property, and answer within the specified time
The Fund Manager shall be reinstated and corrected.
（3） If the Fund Manager finds that the Fund Custodian has major violations, it shall report to the CSRC in a timely manner,
At the same time, the Fund Custodian shall be notified to make corrections within a time limit, and the correction results shall be reported to the CSRC. The fund custodian is unoriginal
Refuse or obstruct the other party to exercise the supervision right according to the provisions of this agreement, or take delay, fraud and other means for reasons
If it obstructs the other party from carrying out effective supervision, and the circumstances are serious, or it still fails to correct after being warned by the fund manager
The manager shall report to the CSRC.
4、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian. Debts on fund assets
The rights shall not be offset against the debts of the inherent assets of the Fund Manager and the Fund Custodian
Debts shall not be offset against each other. The Fund Manager and the Fund Custodian shall bear legal liability with their own assets
Creditors shall not exercise the right to request freezing, seizure or other rights against the fund assets.
2. The Fund Manager and the Fund Custodian are dissolved, revoked or declared bankrupt according to law
In case of liquidation for other reasons, the fund assets shall not belong to its liquidation assets.
3. The Fund Custodian shall keep the Fund assets in safe custody. Not made by the Fund Manager in accordance with legal procedures
The Fund Custodian shall not use, dispose of or distribute any assets of the Fund on its own in accordance with legal and compliance instructions. Non factor
The debts borne by the fund property itself shall not be enforced against the fund property.
4. The Fund Custodian opens the fund account, securities account and other investment needs of the Fund property in accordance with the provisions
Accounts.
5. The Fund Custodian shall set up separate accounts for different fund assets under its custody for independent accounting and separate account management
To ensure the integrity and independence of the fund assets.
6. The Fund Custodian shall, according to the instructions of the Fund Manager, keep it in accordance with the Fund Contract and this Agreement
In case of special circumstances, both parties can negotiate separately to solve the fund property.
7. The Fund Manager shall be responsible for communicating with the relevant parties about the assets receivable arising from the fund investment
Determine the date of receipt and notify the Fund Custodian that if the fund property does not reach the fund account on the date of receipt
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and four
The custodian shall timely notify the fund manager to take measures for collection. If losses are caused to the fund assets
The Fund Manager shall be responsible for recovering the loss of the Fund property from the relevant parties, and the Fund Custodian shall not bear any responsibility for this
Responsibility.
8. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody
Fund assets.
（2） Fund raising period and capital verification of raised funds
1. During the fund raising period, a "special account for fund raising" shall be opened to deposit the raised funds. This account
It shall be opened by the fund manager.
2. The total amount of fund units raised, the amount of fund raised
After the number of fund share holders meets the relevant provisions of the Fund Law and the Operation Measures, the Fund Manager
All funds belonging to the Fund property shall be transferred to the Fund bank account opened by the Fund Custodian for the Fund
Within the specified time limit, engage an accounting firm with securities related business qualifications to verify capital
A capital verification report shall be provided. The capital verification report issued shall be signed by 2 or more Chinese certified public accountants participating in the capital verification
It is valid only after being stamped with the official seal of the accounting firm.
3. If the fund raising period expires or the fund ceases to raise, the conditions for the effectiveness of the fund contract are not met,
The Fund Manager shall handle the refund and other matters in accordance with the provisions, and the Fund Custodian shall provide full assistance.
（3） Opening and management of fund bank account
1. The Fund Custodian shall be responsible for the opening and management of the Bank Account of the Fund.
2. The Fund Custodian shall open a bank account of the Fund in its business institution in the name of the Fund, and
The fund manager shall handle the receipt and payment of funds according to the legal and compliant instructions. Account name and reserved seal for fund management
The account opening entrustment document issued by the Fund Custodian to the Fund Custodian shall prevail, and the Fund Custodian shall be responsible for the custody of the reserved seal of the account
And use. The account is non withdrawable. The Fund Manager shall perform the obligation of identifying the beneficial owner according to law,
Provide necessary assistance in providing and verifying relevant information as required by the deposit bank when opening the custody account
And ensure the authenticity and accuracy of the information and supporting materials provided.
3. The opening and use of the Fund's bank account shall be limited to meet the needs of conducting the Fund's business. Gikinto
The Custodian and the Fund Manager shall not open any other bank account in the name of the Fund; The base shall not be used
Any account of King carries out activities other than the business of the Fund.
4. The opening and management of the fund bank account shall comply with the relevant provisions of the banking regulatory authority.
5. Under the conditions of compliance with laws and regulations, the Fund Custodian may use the special account of the Fund Custodian
The account handles the payment of fund assets.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and five
（4） Opening and management of fund securities account and settlement provision account
1. The Fund Custodian is located in the Shanghai Branch and Shenzhen Branch of China Securities Depository and Clearing Co., Ltd
Open a securities account jointly named by the Fund Custodian and the Fund for the Fund.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. fund
The Custodian and the Fund Manager shall not lend or transfer any securities account of the Fund without the written consent of the other party
And may not use any account of the Fund for activities other than the business of the Fund.
3. The Fund Custodian shall be responsible for the opening of the fund securities account, and the management and application of the account assets shall be handled by the Fund
The manager is responsible.
4. The fund custodian shall open a settlement in the name of its own legal person in China Securities Depository and Clearing Co., Ltd
The reserve account, and on behalf of the funds under its custody, complete the first level cooperation with China Securities Depository and Clearing Co., Ltd
The Fund Manager shall actively assist in the liquidation of legal persons. Settlement provisions, securities settlement deposits, etc
The collection shall be carried out in accordance with the provisions of China Securities Depository and Clearing Corporation Limited.
5. If the CSRC or other regulatory authorities allow the fund to engage in its
If the investment business of other investment varieties involves the opening and use of relevant accounts, if there are no relevant regulations, the fund
The custodian shall follow the above provisions on account opening and use.
（5） Opening and management of bond custody account
After the Fund Contract comes into force, the Fund Custodian shall have limited liability for registration and settlement according to the People's Bank of China and the Central Government Bonds
As required by the Company and the Interbank Market Clearing House Co., Ltd
The responsible company and the inter-bank market clearing house Co., Ltd. open a bond custody account and carry out on behalf of the fund
Settlement of bonds in the inter-bank market. The Fund Manager and the Fund Custodian jointly sign a national inter-bank agreement on behalf of the Fund
Master Agreement on Bond Repurchase in Bond Market.
（6） Opening and management of fixed deposit accounts
A bank account opened by a depository institution for a fund investment fixed deposit, including an entity or virtual account. regular
The account name of the deposit account shall be consistent with the special custody account, and the reserved seal of the account shall be reserved after discussion with the fund custodian
Stay. The Fund Manager shall invest and withdraw time deposits within a reasonable time. For any
The fund manager must sign a time deposit agreement with the depository institution for time deposit investment of
It shall at least include terms such as how to hand over the deposit certificate and that the deposit certificate shall not be transferred and pledged. The agreement must agree
The name, address and account of the handling bank of the Fund Custodian, and the special account of the Fund Custodian shall be designated as the only collection account.
The agreement involving the relevant responsibilities of the Fund Custodian shall be negotiated between the Fund Manager and the Fund Custodian
Sign after agreement.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and six
（7） Opening and management of other accounts
1. Other accounts opened for business development may be subject to laws, regulations and fund contract
The Fund Custodian shall be responsible for the fixed opening after the Fund Manager and the Fund Custodian have discussed. New account is available
Use and manage relevant regulations.
2. If laws and regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail
Li.
（8） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities and bank deposit account opening certificates related to the investment of fund assets shall be placed in the custody of the fund
People can deposit in the vault of the Fund Custodian, or in the Central Government Securities Depository and Clearing Co., Ltd. and banks
Inter market Clearing House Co., Ltd., China Securities Depository and Clearing Corporation Limited Shanghai Branch/Shenzhen
The custodian certificates of the branch office or bill business center shall be held by the fund custodian. Physical securities, silver
The purchase and transfer of valuable vouchers such as bank deposit account opening certificates shall be handled jointly by the Fund Manager and the Fund Custodian
Li. The Fund Custodian is actually effective for institutions other than those entrusted by the Fund Custodian and the Fund Custodian
The securities under control shall not bear the custody responsibility, but the Fund Custodian shall properly keep the vouchers.
（9） Custody of major contracts related to fund assets
The Fund Manager shall be responsible for signing major contracts related to the Fund assets. Represented by the Fund Manager
The originals of the major contracts signed by the Fund and related to the Fund assets shall be respectively submitted by the Fund Manager and the Fund Custodian
safekeeping. Unless otherwise specified in this Agreement, the Fund Manager shall sign on behalf of the Fund any material agreement relating to the assets of the Fund
The contract includes but is not limited to the annual audit contract of the fund, the fund information disclosure agreement and the fund investment business
The Fund Manager shall ensure that the Fund Manager and the Fund Custodian each hold at least one original
original script. The term of custody of major contracts is 15 years after the termination of the fund contract, unless otherwise stipulated by laws and regulations or the regulatory authority
If it is stipulated, its provisions shall prevail.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with the official seal affixed
The original contract shall not be transferred without the agreement of both parties.
5、 Calculation and accounting of fund net asset value
（1） Time and procedure for calculation, review and completion of net asset value of the Fund
1. Net value of fund assets
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
The net value of fund units is divided by the net value of fund assets after the market is closed on each working day
The balance quantity is calculated to the nearest 0.0001 yuan, and the fifth digit after the decimal point is rounded off. The resulting error
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and seven
Included in the fund assets. The Fund Manager may establish an emergency adjustment mechanism for the accuracy of net worth in the case of large redemption.
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 the Fund units on each working day, and the Fund Custodian shall reply
Check and publish according to regulations.
2. Review procedure
After the fund manager evaluates the fund assets every working day, the net value of the fund shares will be calculated by both parties
It shall be submitted to the Fund Custodian in the agreed manner and reviewed by the Fund Custodian in the agreed manner
The results shall be submitted to the Fund Manager, who shall publish them in accordance with regulations.
3. According to relevant laws and regulations, the obligations of the calculation of the net asset value of the Fund and the accounting of the Fund shall be managed by the Fund
The manager shall bear the responsibility. The fund manager is the fund accounting responsible party of the Fund, so it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality,
The results of the Fund Manager's calculation of the net value of the Fund shall be published to the public.
（2） Fund asset valuation methods and treatment of special circumstances
1. Valuation object
Assets and liabilities such as bonds, bank deposit principal and interest, receivables and other investments owned by the Fund.
2. 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 active market and the same asset or liability quotation available
If there is a quotation, the quotation shall be applied to the asset without adjustment, except for the exceptions specified in the accounting standards
Or fair value measurement of liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the most recent transaction date
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 show that the valuation date
Or if the quotation on the latest trading day cannot truly reflect the fair value, the quotation shall be adjusted to determine the fair price
Value.
The fair value of the same assets or liabilities shall be used if they are the same as 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and eight
2) For investment varieties that do not have an active market, they should be suitable for the current situation and have sufficient
The fair value is determined by valuation techniques supported by data and other information. Use valuation techniques to determine fair value
The observable input value shall be used preferentially, only when the observable input value of relevant assets or liabilities cannot be obtained or
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.
3. Valuation method
(1) Valuation of securities listed on stock exchanges
1) For non equity fixed income varieties listed on the exchange market or transferred by listing, select the third
The estimated net price of the corresponding variety on the current day provided by the valuation agency.
2) The third party shall be selected for the types of fixed income with rights listed on the exchange market or transferred
The unique or recommended net valuation price of the corresponding variety provided by the valuation agency on the current day.
3) For asset-backed securities listed and transferred in the exchange market, if there is no active market on the valuation date
The fair value is determined by valuation techniques for valuation. If the cost can approximately reflect the fair value, it should be continuously evaluated
Evaluate the appropriateness of the above practices and make appropriate adjustments when the situation changes.
(2) The securities in the unlisted period shall be handled according to the following circumstances:
For unlisted or unlisted bonds issued in the exchange market, for active markets
Next, the unadjusted quotation in the active market shall be taken as the fair value on the measurement date for valuation; For Active
If the market quotation fails to represent the fair value on the measurement date, the market quotation shall be adjusted to confirm the measurement
The fair value on the date; In the case of no or few market activities, valuation techniques are used
Determine the fair value.
(3) 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. Unlisted in inter-bank market and third-party valuation machine
For bonds that have not provided valuation prices, there is no significant difference between the issuance interest rate and the secondary market interest rate, and they are not listed
If there is no significant change in the market interest rate during the period, it shall be valued at cost.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and nine
(4) If the same bond is traded in two or more markets at the same time, it shall be divided according to the market where the bond is located
Valuation.
(5) Valuation method of deposits
Time deposits or call deposits held by banks are listed as principal, and the total interest listed according to the deposit agreement
Or the agreed interest rate accrues interest every natural day. In case of early withdrawal or interest rate change, account adjustment shall be carried out as required
Whole.
(6) The Fund's investment in inter-bank deposit receipts is valued at the net valuation price provided by a third-party valuation agency on the valuation date;
If the selected third-party valuation agency does not provide a valuation price, it shall be valued at cost.
(7) The Fund may adopt the valuation provided by a third-party valuation agency in accordance with the above fair value determination principles
Value price data.
(8) If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value,
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
(9) In case of large purchase or redemption, the fund manager can adopt the swing pricing mechanism,
To ensure the fairness of fund valuation.
(10) 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 the relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
4. Handling of special cases
Errors caused by the Fund Manager and 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.
Due to the data error sent by the stock exchange and the registration and clearing company, the relevant accounting system changes or
For other reasons of force majeure, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures
The Fund Manager
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and ten
The Fund Custodian shall be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate
Remove or mitigate the impact caused thereby.
（3） Treatment method for net value error of fund units
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 the net value of fund units is within 4 decimal places (including the 4th decimal place), the valuation error occurs
In case of error, it shall be deemed that the net value of fund units is wrong.
The parties to the 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
It states the "principle of handling valuation errors" to make compensation and bear the liability for compensation.
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 valuation is wrong
The responsible party shall compensate the loss of the injured party and, within the scope of the amount of compensation paid by it, shall pay compensation to the injured party
The parties have the right to demand the delivery of unjust enrichment; If the party obtaining unjust enrichment has already transferred this part
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and eleven
If the unjust enrichment is returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of compensation it has received
When the sum of the profits returned exceeds the difference of its actual loss, it 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 fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the 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 0.5% 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.
（4） Suspension of valuation
1. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
（5） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（6） Establishment of fund account book
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and twelve
The Fund Manager shall conduct fund accounting and prepare fund financial accounting reports. Fund manager, fund
The Custodian shall independently set up, record and keep the full set of account books of the Fund. Prepared by the Fund Custodian as required
Relevant account books shall be checked with the fund manager. If the fund manager and the fund custodian have different accounting treatment methods
In case of disagreement, the handling method of the Fund Manager shall prevail. If the check on the current day is inconsistent, the wrong account cannot be found temporarily
If the calculation and announcement of the net value of the Fund are affected by the reason of, the account book of the Fund Manager shall prevail.
（7） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The financial statements of the Fund shall be prepared by the Fund Manager and reviewed by the Fund Custodian.
2. Report review
The Fund Custodian shall, in accordance with relevant laws, administrative regulations, the provisions of the CSRC and the Fund Contract
It is agreed that the information on the net value of the fund, the purchase and redemption price of fund units, and the regular report of the fund prepared by the fund manager
Report, updated prospectus, fund product information summary, fund liquidation report and other publicly disclosed basis
The fund information shall be reviewed and verified, and confirmed in writing or electronically to the fund manager.
3. Preparation and review schedule of financial statements
1) Preparation of statements
The Fund Manager shall complete the preparation of monthly statements within 5 working days after the end of each month; Close quarterly
Complete the preparation of the quarterly report of the Fund within 15 working days from the date of expiration; After the fund contract comes into effect, the fund recruitment
Where there is a major change in the information in the prospectus and the summary of fund product information, the fund manager shall
Within days, the fund prospectus and fund product information summary will be updated and posted on the designated website, where the fund
The summary of product information shall also be published on the website or business outlet of the fund sales agency; Except for major changes
In addition, if there is any change in other information of the fund prospectus, fund product data summary, the fund manager shall at least
It is updated once a year. If the Fund terminates its operation, the Fund Manager will no longer update the Fund Prospectus and Fund Assets
Product data summary. The interim report shall be announced within two months from the end of the first half of the year; Annual report
It shall be announced within three months from the end date. If the Fund Contract has taken effect for less than two months, the current quarter may not be prepared
Annual report, interim report or annual report.
2) Review of statements
The Fund Manager shall timely complete the preparation of the statements and provide the relevant statements to the Fund Custodian for review; Gikinto
When the custodian finds discrepancies in the statements of both parties during the review process, the Fund Manager and the Fund Custodian shall
It is the same as finding out the cause and making adjustment, and the adjustment shall be subject to the relevant national regulations.
The Fund Manager shall allow sufficient time for the Fund Custodian to review relevant statements and reports.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and thirteen
（8） The Fund Manager shall submit the quarterly report, interim report or annual report to the Fund Manager
The Fund Custodian shall provide the basic data and compilation results of the Fund performance benchmark.
6、 Custody of the Register of Fund Unitholders
The register of fund unit holders shall at least include the names of fund unit holders and the fund units they hold.
The register of fund unit holders shall be prepared and kept by the fund registration agency in accordance with the instructions of the fund manager for a period of time
The Fund Manager and the Fund Custodian shall keep the Fund separately for not less than 20 years from the date of cancellation of the Fund account
The register of share holders shall be kept for at least 15 years, unless otherwise stipulated by laws and regulations or required by the competent authority
Except for. If it cannot be properly kept, it shall be liable according to relevant regulations.
Before the Fund Custodian requests or prepares the interim report and annual report, the Fund Manager shall send the relevant information to
The Fund Custodian shall not refuse or delay the provision without reason, and shall guarantee its authenticity, accuracy and integrity.
The Fund Custodian shall not use the register of Fund Unitholders under its custody for other purposes than fund custody business
And shall abide by the confidentiality obligation.
7、 Change and termination of fund custody agreement and liquidation of fund assets
（1） Change procedure of this Custody Agreement
Both parties to this Custody Agreement may modify this Custody Agreement upon consensus. Modified
The contents of the new custody agreement shall not conflict with the provisions of the fund contract. Report on change of fund custody agreement
Recorded by China Securities Regulatory Commission.
（2） Circumstances arising from the termination of the Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is dissolved, revoked, bankrupt or other Fund Custodian takes over the Fund assets;
3. The Fund Manager is dissolved, revoked, bankrupt or taken over by another Fund Manager
Right;
4. Occurrence of termination events specified by laws and regulations, the CSRC or the fund contract.
（3） Liquidation of fund assets
1. Fund asset liquidation team
1) A liquidation group shall be established within 30 working days from the date of termination of the fund contract to manage the fund
I will organize a fund assets liquidation group and carry out fund liquidation under the supervision of the CSRC.
2) The members of the Fund assets liquidation team shall be composed of the Fund Manager, the Fund Custodian, and the securities and futures
Certified public accountants, lawyers with relevant business qualifications and personnel designated by the CSRC. Fund asset liquidation
The team may employ necessary staff.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and fourteen
3) The Fund Assets Liquidation Team shall be responsible for the custody, liquidation, valuation, realization and distribution of the Fund assets. base
The gold property liquidation group may carry out necessary civil activities according to law.
2. Fund asset liquidation procedures
When the fund contract is terminated, the fund assets shall be cleared in accordance with the relevant provisions of the laws and regulations and the fund contract
Calculate. The fund assets liquidation procedures mainly include:
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 external audit on the liquidation report
To issue a legal opinion;
6) Submit the liquidation report to the CSRC for filing and announcement;
7) Distribute the remaining assets of the Fund.
The time limit for the liquidation of the Fund's assets is six months, but it is not necessary because the liquidity of the securities held by the Fund is restricted
If it can be realized in time, the liquidation period shall be postponed accordingly.
3. Liquidation expenses
Liquidation expenses refer to all contracts incurred by the fund assets liquidation team in the process of fund assets liquidation
The fund assets liquidation team shall pay the management fees and liquidation fees from the remaining assets of the fund in priority.
4. 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.
5. Announcement of Fund Asset Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The fund asset liquidation group shall make an announcement within 5 working days. The fund assets liquidation group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
6. 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.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and fifteen
8、 Dispute resolution
Disputes arising from or related to this Custody Agreement 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 the China International Economic and Trade Arbitration Commission
Yes, the arbitration shall be conducted in accordance with the then effective arbitration rules of the Commission. The place of arbitration shall be Beijing. The arbitral award is final
The arbitration fee and attorney fee shall be borne by the losing party.
During the dispute settlement period, both parties to this Custodian Agreement shall strictly abide by the duties of the Fund Manager and the Fund Custodian
And continue to faithfully, diligently and responsibly perform their obligations under the Fund Agreement and this Custodian Agreement
The legitimate rights and interests of fund unit holders.
This Agreement shall be governed by the laws of China.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and sixteen
Part XXI Services for Fund Unitholders
The Fund Manager promises to provide a series of services to the Fund Unitholders. The following are the main services
The Fund Manager has the right to add or modify the content according to the needs of the Fund Unitholders and the changes in the market
These services:
1、 Holder registration and transfer registration services
The Fund Manager entrusts the registration institution to provide registration and transfer registration services for the Fund Unitholders. base
The gold registration institution is equipped with an advanced and efficient computer system and communication system to accurately and timely invest in the fund
To handle the registration, management, custody and re custody of fund accounts and fund units, and the management of the register of holders,
Registration and distribution of dividends during equity distribution, clearing and transfer of fund trading units and payment of fund trading funds
Collection service.
2、 Account delivery service
1. Investment records of the holder
On the premise of obtaining the accurate postal address and postal code of the investor from the fund sales agency
The Manager will be responsible for sending the fund account opening confirmation and fund subscription transaction confirmation.
2. Other relevant information
Other relevant information materials refer to fund information materials sent from time to time, such as new fund products or services
Relevant materials, fund manager reports, customer service questions and answers, etc.
3、 Dividend reinvestment service
When distributing the Fund's income, the Fund Unitholders may choose to reinvest the dividends they receive into the Fund,
The registration institution will automatically convert its dividends into fund shares according to the net value of fund shares on the dividend reinvestment date, and will not
Collect any subscription fees. Fund share holders may choose to change the fund dividend method at their own discretion.
4、 SMS and e-mail services
1. SMS service
Fund share holders can manually answer the reservation through the Fund Manager's website and customer service hotline
Mobile phone number, customized SMS content and transmission frequency, our company will provide according to customized requirements
Corresponding services.
2. E-mail service
If an investor reserves an email address and uses the Company's website
The website customizes the e-mail service, which can automatically obtain corresponding services, including but not limited to the net value of fund shares
Fund information, fund dividend tips, regular fund reports and irregular announcements.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and seventeen
5、 Telephone consulting service
1. Automatic voice service
The automatic voice system of the telephone center provides 24-hour inquiry service. Investors can use telephone self-service,
Query fund code, net value of fund units, fund product introduction and other information, and also fund account
Balance, dividend information, transaction records and other personal account information.
2. Manual telephone service
The manual telephone service time is 9:00-11:30 a.m. and 13:00 p.m. from Monday to Friday
17：00。 Investors can call the customer service hotline to obtain business information, information query, service complaints, etc
Services.
3. Fund customer message service
In case of non manual service time or temporary inability to connect to the manual telephone, the fund holder can call
The way of leaving a message will inform the questions and suggestions, and leave effective contact information, and the customer service personnel will reply
Reply.
6、 Website customer service
1. Individual account inquiry service
After logging in with the fund account number, the fund holder can query the fund holding, dividend information and
Transaction records can also update personal information such as email address, postal code and contact number.
2. Investment and wealth management consulting services
Investors can communicate with customer service personnel through the customer service interaction column on the website to solve the fund investment in real time
Doubts encountered in financial management.
3. Electronic information customization service
Investors can query and customize the net fund value, product information, company announcement and company action through the website
Status and other information, electronic bills, transaction confirmation SMS and other accounting change information.
Website: www.abc-ca.com
7、 Customer complaint handling
Fund share holders can use the online complaint column, telephone center and letter provided by the fund manager
Invest in the services provided by the fund manager and the fund sales agency through letters, e-mails, faxes and other channels
Litigation.
8、 Service channel
1. Website: www.abc-ca.com
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and eighteen
2. Customer service hotline: 4006895599, 021-61095599
3. Customer service fax: 021-61095556
4. Customer service mailbox: service@abc-ca.com.cn
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and nineteen
Part XXII Storage and Reference Methods of Prospectus
After the prospectus is prepared, it will be stored at the location of the fund manager and the fund custodian,
For public inspection. After paying the cost of production, the investor can obtain copies or duplicates of the above documents within a reasonable time
Printed copies. Investors can also check on the website designated by the fund manager.
The Fund Manager and the Fund Custodian guarantee that the content of the text is completely consistent with the content of the announcement.
Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund
one hundred and twenty
Part XXIII Documents for future reference
The documents for future reference shall be kept in the office of the Fund Manager and the Fund Custodian during office hours
Available for free.
（1） Document of China Securities Regulatory Commission approving the change of registration of ABC Huili Jinshuo bond securities investment fund
（2） Fund Contract of Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
（3） Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
（4） Legal Opinion on Changing the Registration of ABC Huili Jinshuo Bond Securities Investment Fund
（5） Business qualification approval document and business license of fund manager
（6） Business qualification approval document and business license of fund custodian
（7） Other documents required by the CSRC
ABC Huili Fund Management Co., Ltd
September 8, 2020