Fund manager: ABC Huili Fund Management Co., Ltd
Fund Custodian: China Minsheng Bank Co., Ltd
catalog
1、 Parties to the Fund Custody Agreement one
2、 Basis, purpose and principle of fund custody agreement three
3、 Fund Custodian's Business Supervision and Verification of Fund Manager four
4、 Fund Manager's Business Verification of Fund Custodian ten
5、 Custody of Fund Assets eleven
6、 Sending, confirmation and execution of instructions fifteen
7、 Transaction, clearing and settlement arrangements nineteen
8、 Calculation and Accounting of Net Asset Value of the Fund twenty-four
9、 Fund income distribution thirty-one
10、 Fund information disclosure thirty-two
11、 Fund expenses thirty-four
12、 Custody of the Register of Fund Unitholders thirty-six
13、 Preservation of Fund related documents and archives thirty-seven
14、 Replacement of Fund Manager and Fund Custodian thirty-eight
15、 Prohibited acts forty-one
16、 Change and termination of custody agreement and liquidation of fund assets forty-three
17、 Liability for breach of contract forty-five
18、 Dispute resolution forty-seven
19、 Effectiveness of the Escrow Agreement forty-eight
20、 Other matters forty-nine
Whereas ABC Huili Fund Management Co., Ltd. is a legally established and validly existing company in accordance with Chinese laws
And has the qualification and ability to act as a fund manager in accordance with relevant laws and regulations,
It is proposed to raise and issue ABC Huili Jinshuo bond securities investment fund;
Whereas China Minsheng Bank Co., Ltd. is a company legally established and validly existing in accordance with Chinese laws
A bank that has the qualification and ability to act as a fund custodian in accordance with relevant laws and regulations;
Whereas ABC Huili Fund Management Co., Ltd. plans to serve as the Jinshuo bond securities investment fund of ABC Huili
China Minsheng Bank Co., Ltd. plans to act as the fund manager of ABC Huili Jinshuo Bond Securities Investment
The Fund Custodian of the Fund;
To clarify the relationship between the Fund Manager and the Fund Custodian of the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
This Custody Agreement is hereby formulated for the rights and obligations of;
Unless otherwise agreed, the Fund Contract of Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund (hereinafter referred to as "the Fund Contract")
"Fund Contract") shall have the same meaning when used in this Custodian Agreement; If there is conflict
The Fund Contract shall prevail and be interpreted in accordance with its terms.
The information disclosure of the Fund shall be subject to the provisions of laws and regulations and the contents agreed in the Fund Contract.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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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 bill acceptance and discount, and issue financial bonds; Issuing, cashing and underwriting government bonds as an agent; buy
Selling government bonds and financial bonds; Interbank lending; Buying and selling foreign exchange; Engaged in foreign exchange settlement and sales
Business; Engaging in bank card business; Provide letter of credit service and guarantee; Agency collection and payment; Concurrent insurance agency
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Business; Provide safe deposit box service; Other businesses approved by the banking regulatory authority under the State Council.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the "Fund Law")
Measures for the Administration of Securities Investment Fund Custody Business, Measures for the Administration of the Operation of Publicly Offered Securities Investment Funds
Hereinafter referred to as "Operation Measures"), "Administrative Measures for the Sale of Securities Investment Funds" (hereinafter referred to as "Sales Measures")
Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as "Information Disclosure Measures")
Standards for the Contents and Forms of Information Disclosure of Securities Investment Funds No. 7 (Contents and Forms of Custody Agreement)
Provisions on Liquidity Risk Management of Open ended Securities Investment Funds (hereinafter referred to as "Liquidity Risk Management")
Regulations ") and other relevant laws and regulations, fund contracts and other relevant regulations.
（2） Purpose of entering into custody agreement
The purpose of entering into this Agreement is to clarify the custody
Rights and obligations in investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
And responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian shall fully protect the holding of fund shares on the basis of equality, voluntariness, honesty and credibility
This agreement is signed based on the principle of legal rights and interests of the people.
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3、 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%
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.
（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 maturity within one year
Securities, of which 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 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
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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 and managed by the Custodian are invested in the same original equity holder
Of all types of asset-backed securities shall not exceed 10% of the total size of all types of 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 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, due to fluctuations in the securities market
In addition, the fund investment proportion does not meet the above requirements due to factors other than the fund manager, such as fund size changes
The fund manager shall make adjustment within 10 trading days in case of capital ratio, but
Except in special circumstances. 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.
（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.
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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.
（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
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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 and specified at the time of issuance
The tradable securities with fixed term locks do not include 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 China Securities Depository and Clearing Corporation Limited
The Central Government Securities Depository and Clearing Co., Ltd. and the Inter bank Clearing House Co., Ltd. are responsible for registration and custody, and
Securities that can be 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 relevant
Take active and effective measures to effectively solve the liquidity problem of fund operation within a reasonable time. as
When the cash flow of the fund is difficult due to huge redemption of the fund or drastic market changes, the fund management
The manager shall ensure to provide sufficient cash to ensure the payment and settlement of the fund. Securities guidance for the Fund due to restricted investment and circulation
The Fund Custodian shall not bear any responsibility for the liquidity risk caused by the. If the fund manager violates the fund contract or
The Fund Custodian shall bear the losses caused by the pre-determined proportion of restricted securities in investment circulation
In case of joint and several liability for compensation, the Fund Manager shall compensate the Fund Custodian for the losses incurred therefrom.
3. If the proportion of restricted securities for investment and circulation of the Fund violates relevant restrictions
If it fails to make timely adjustment, the Fund Manager shall prepare an interim report within two days and make an announcement.
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
The establishment and improvement of.
3) Implementation of proportional restrictions.
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4) Information disclosure.
5. If 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 in medium-term notes
The risk of business shall be based on the principle of prudence, diligence and responsibility for the investment business of medium-term notes. Fund manager
In accordance with laws, regulations and regulations of the regulatory authorities, the Fund Investment Medium Term Note approved by the Board of Directors of the Company has been formulated
According to relevant systems (hereinafter referred to as "the System"), to standardize the investment decision-making process and risk control of medium-term notes
System. 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
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
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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.
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4、 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
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.
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5、 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 liabilities 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
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 is created by
Issued by the Fund Manager.
2. The total amount of fund units raised, the amount of fund raised
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After the number of fund unit holders meets the relevant provisions of the Fund Law and the Operation Measures, the Fund Manager shall
Transfer all funds belonging to the Fund property into the Fund's bank account opened by the Fund Custodian for the Fund, and
Within the specified time limit, hire an accounting firm qualified to engage in securities related business to verify capital and issue
Capital verification report. The capital verification report issued shall be signed by 2 or more Chinese certified public accountants participating in the capital verification and
It is valid only when 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.
（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
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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.
（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
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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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.
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6、 Sending, confirmation and execution of instructions
The Fund Manager sends fund transfers and other payments to the Fund Custodian when using the Fund assets
The Fund Custodian shall implement the Fund Manager's instructions and handle fund transactions under the name of the Fund.
（1） Written authorization of the Fund Manager to the personnel who send instructions
1. The Fund Manager shall designate a special person to send instructions to the Fund Custodian.
2. The Fund Manager shall provide the reserved seal to the Fund Custodian within three working days before the establishment of the Fund
In recognition of the specimen signature of the authorizer, the Fund Custodian has the right to issue
The list of persons who send instructions, indicating the corresponding trading authority, and stipulating that the Fund Manager shall send instructions to the Fund Custodian
The method by which the Fund Custodian confirms its right to send the identity of personnel when giving instructions. The notice of authorization shall be prescribed by the fund manager
The representative or authorized signatory shall sign and affix the official seal. If it is signed by the authorized signatory, the legal representative shall also be attached
Power of attorney of the applicant.
3. The Fund Manager shall send the authorization to the Fund Custodian by fax or other means approved by both parties in writing
Notify and confirm with the Fund Custodian by telephone in a timely manner. The authorization document shall specify the specific effective time
The specific effective time shall not be earlier than the telephone confirmation time, and the authorization document shall take effect from the date specified.
4. The Fund Manager shall ensure that the original is consistent with the fax, and if not, the effective fax shall prevail.
The Fund Manager and the Fund Custodian are obliged to keep confidential the authorization documents, and their contents shall not be disclosed to the authorized person and
Close the leakage of anyone other than the operator. Except as required by laws and regulations or by competent authorities.
（2） Content of instructions
1. Instructions include redemption, dividend payment instructions, investment related payment instructions and other fund transfers
Dial command, etc.
2. The instructions issued by the Fund Manager to the Fund Custodian shall specify the reason for the payment, the time of payment and the time of receipt
Room, amount, collection and payment account, etc. shall be stamped with the reserved seal and signed by the authorized person.
3. The settlement notice sent by the relevant registration and clearing company to the fund custodian shall be deemed as the settlement notice sent by the fund manager to the fund
Instructions issued by the custodian.
（3） Time and procedure for sending, confirming and executing instructions
1. Sending of instructions
The fund manager shall send instructions by encrypted fax or other fund managers and fund custodians
Both parties shall confirm in writing.
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The Fund Manager shall, in accordance with laws and regulations and the provisions of the Fund Contract
Send instructions within authority; The authorized person shall send instructions in strict accordance with his/her authorized authority. Compliance with the agreement for the authorized person
The fund manager shall not deny the validity of the order issued by the prescribed procedure. However, if the Fund Manager has withdrawn or
Change the authorization of the person who sends the transaction order, and the revocation or change of the above authorization has been instructed by the fund manager
Before implementation, the Fund Custodian shall be notified in accordance with this Agreement and the Fund Custodian shall be notified in accordance with this Agreement
Or after confirmation in a manner agreed by both parties, the sender of the transaction order has no right to send instructions thereafter, or
The Fund Manager will not be responsible for the instructions sent beyond its authority, and the authorization has been changed but not confirmed by the Fund Custodian
Except in the case of.
After the order is issued, the Fund Manager shall confirm it to the Fund Custodian by telephone in a timely manner. Fund Custodian
The review shall be carried out within the specified period without delay. The Fund Custodian only refers to
The Fund Custodian shall not be responsible for reviewing the Fund Manager's issuance
Legality, authenticity, integrity and effectiveness of other documents and materials submitted at the same time as the instruction, fund management
I shall ensure that the above documents are legal, true, complete and effective. If the above documents provided by the fund manager
This is illegal, untrue, incomplete or invalid, which affects the review of the Fund Custodian or gives it to any third person
The Fund Custodian will not bear any responsibility in any form for any loss.
The Fund Manager shall stamp the inter-bank market bond transaction order with the Authorization Notice after the transaction is completed
The reserved seal in the notice shall be faxed to the Fund Custodian in a timely manner and confirmed by telephone. If the inter-bank bookkeeping system has
If the generated transaction needs to be cancelled or terminated, the Fund Manager shall notify the Fund Custodian in writing.
The Fund Manager shall send the investment transfer instruction to the Fund Custodian and confirm it one day before the transfer
The investment transfer order shall be issued on the day of transfer. When sending the order, the fund custodian shall reserve the necessary conditions for executing the order
The required time is generally two working hours, and the fund manager shall place the funds in custody before 15:00 on the day of transfer
The Fund Custodian will try its best to execute the transfer order sent by the person after 15:00, but cannot guarantee the transfer cost
In case of special circumstances, both parties shall negotiate for settlement. Due to untimely transmission of instructions, sufficient funds are not reserved
The fund manager shall bear the losses caused by the failure of funds to arrive in the account in time.
Bank settlement fees, bank account maintenance fees and other bank fees incurred in the fund account under this agreement,
The fund custodian shall directly deduct from the fund account without the need for the fund manager to issue a transfer instruction.
After receiving effective instructions, the Fund Custodian will randomly execute the same batch of transfer instructions, if any
The Fund Manager shall notify the special payment order in writing or in other forms agreed by both parties in advance.
2. Confirmation of instructions
The Fund Custodian shall designate a special person to receive the instructions of the Fund Manager and notify the Fund Manager of his name in advance
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And negotiate with the fund manager on the method of sending and receiving instructions. After the order reaches the fund custodian
The administrator shall appoint a special person to immediately review the apparent consistency of relevant contents, seals and signatures. If there is any doubt
The Fund Manager shall be notified in a timely manner.
3. Time and execution of instructions
After the Fund Custodian verifies the instructions, it shall handle them in a timely manner. After the execution of the order, the Fund Custodian shall
The Fund Manager shall be notified at the same time.
When giving instructions to the Fund Custodian, the Fund Manager shall ensure that the fund account has sufficient funds
Balance, which refers to the investment instructions and redemption issued by the Fund Manager to the Fund Custodian without sufficient funds
The Fund Custodian may refuse to execute the transfer instructions of the return and dividend funds, but shall immediately notify the Fund Manager,
The Fund Manager shall review and find out the reasons, and issue a written document to confirm the invalidity of this trading order. In time notification
After that, the Fund Custodian shall not be liable for any loss caused by failure to execute the instruction.
The Fund Custodian shall have the right to refuse to execute the order of insufficient funds at the time of transmission, but shall immediately notify
The Fund Manager, if the Fund Manager confirms that the instruction will not be cancelled, has sufficient funds and notifies the Fund Custodian
The time is regarded as the time when the instruction is received.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
The circumstances under which the fund manager sends wrong instructions include that the instructions violate laws and regulations and the fund contract, and the instructions are issued
The sender has no authority or exceeds the authority to send instructions.
The Fund Custodian has the right to refuse to execute the instructions of the Fund Manager when it finds errors in the instructions of the Fund Manager when performing its supervisory functions
And promptly notify the fund manager to make corrections. If it is necessary to revoke the order, the Fund Manager shall issue a written statement,
And affix the business seal. However, the Fund Custodian has caused damage to the Fund property due to the execution of the lawful instructions of the Fund Manager
The Fund Custodian shall not be liable for any loss. The Fund Custodian's Basis Transaction with the Executive Fund Manager
The instructions that have come into force in the procedures shall not be liable for the losses caused by the assets of the Fund.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
If the Fund Custodian finds that the Fund Manager's instructions violate laws, administrative regulations and other relevant provisions,
Or in violation of the provisions of the fund contract, the execution shall be suspended or refused depending on the circumstances, and the fund manager shall be notified immediately.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
For the legal and effective instructions sent by the Fund Manager, the Fund Custodian failed to comply with
The execution of the instructions sent by the Fund Manager shall take timely measures to remedy the situation after discovery; If fund management
In case of direct losses caused by the investors, fund assets or investors, the fund custodian shall compensate for the direct losses caused thereby
（7） Procedures for replacing authorized personnel
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The fund manager shall change the authorized person, change or terminate the authorization to the authorized person at least one time in advance
On working days, notify the Fund Custodian in writing (hereinafter referred to as the "Authorization Change Notice"), and
The Fund Manager shall provide the Fund Custodian with the name, authority, reserved seal and specimen signature of the new authorized person.
The original of the notice of change of authorization issued by the Fund Manager to the Fund Custodian shall be affixed with the official seal
The letter of authorization of the legal representative shall also be attached to the signature of. The Fund Manager shall confirm in writing by fax or other parties
Send the notice of authorization change to the Fund Custodian and confirm with the Fund Custodian by telephone in a timely manner.
The notice of authorization change shall specify the specific effective time, which shall not be earlier than the time of telephone confirmation
The notice of change of authorization takes effect on the date specified, and the original authorization document is annulled at the same time. Authorized Person Change Notice
Before becoming effective, the Fund Custodian shall still execute the order as originally agreed, and the Fund Manager shall not deny its effectiveness. base
The gold manager shall ensure that the original is consistent with the fax, and if not, the effective fax shall prevail. fund management
The person and the fund custodian have the obligation to keep the authorization documents confidential, and their contents shall not be disclosed to the authorized person and relevant operators
Leakage by anyone other than the staff. Except as required by laws and regulations or by competent authorities.
The Fund Custodian shall notify the Fund Management in advance by telephone if it changes the personnel who accept the instructions of the Fund Manager
People.
（8） Other matters
When receiving an order, the Fund Custodian shall check whether the elements of the order are complete, whether the seal and the authorized person are
Check whether it is consistent with the content of the reserved authorization document. If any problem is found, it shall be reported to the fund manager in a timely manner
The Fund Custodian shall not be liable for any loss to the Fund property caused by the execution of the lawful instructions of the Fund Manager.
When the Fund participates in the subscription of unlisted bonds, the Fund Manager shall sign relevant contracts with counterparties on behalf of the Fund
The specific matters of bond transfer shall be clearly stipulated in the agreement. Otherwise, the fund manager shall be responsible for
The customer shall bear corresponding responsibilities.
The original of the instruction shall be kept by the fund manager, and the fund custodian shall keep the fax of the instruction. When the two are inconsistent,
The fax of business instructions received by the Fund Custodian shall prevail.
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7、 Transaction, clearing and settlement arrangements
（1） Select the securities business organization for securities trading
The Fund Manager shall design the standards and procedures for selecting the securities operating institutions for securities trading. Fund manager
The securities operating agency responsible for selecting the securities trading agency of the Fund and renting its trading unit as the exclusive use of the Fund
Transaction unit. The Fund Manager shall sign an entrustment agreement with the selected securities operating institution, and the Fund Manager shall
The Fund Custodian. The Fund Manager shall, in accordance with relevant regulations, submit the interim report and annual report of the Fund
Relevant information of the selected securities operating institution and the transaction of securities purchased and sold by the fund through the securities operating institution
Volume, repo volume and commission paid shall be disclosed, and the above information, fund transaction unit number and commission paid shall be disclosed
The Fund Custodian shall be notified in writing of the basic information such as the premium rate and the changes in time. Due to relevant laws and regulations
The changes brought about by the modification of rules or trading rules shall be subject to the laws, regulations and relevant trading rules in force at that time.
（2） Settlement arrangements after the fund invests in securities
1. Clearing and settlement
According to the Administrative Measures for Settlement Reserves of China Securities Depository and Clearing Corporation Limited
Measures for the Administration of Securities Deposits and Clearing, and China Securities Depository and Clearing Co., Ltd. shall settle
Recalculate and adjust the minimum clearing provision limit or clearing margin of the participants, and the administrator shall withdraw
The adjustment amount of the minimum reserve and securities settlement margin is estimated on the previous trading day, and sufficient capital positions are set aside,
To ensure normal delivery. The fund custodian adjusts the minimum settlement reserve in China Securities Depository and Clearing Corporation Limited
On the day of payment and securities settlement margin, the adjusted minimum reserve and securities settlement shall be reflected in the capital reconciliation statement
Calculate the margin. The Fund Manager shall reserve the minimum provisions and securities settlement deposits, and shall
Based on the actual minimum provisions and securities settlement margin of the next month determined by Clearing Co., Ltd
Arrange fund operation and adjust required cash position.
The Fund Custodian shall be responsible for the clearing and settlement of the securities traded by the Fund. The fund custodian shall, according to the
Settlement data processing of China Securities Depository and Clearing Corporation Limited; The fund custodian shall, according to the
The fund manager's transaction transfer instructions shall be handled specifically.
If the loss of fund property is caused in liquidation due to the Fund Custodian's own reasons, the Fund shall be placed in custody
Person is responsible for compensation; If the Fund Manager fails to notify the Fund Custodian in advance of the increase of trading units,
The Fund Manager shall be responsible for the incompleteness of the data received by the Fund Custodian and the clearing errors; If
Because the fund manager has not notified the transactions that need to be settled separately in advance, the loss of fund assets shall be managed by the fund
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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Manager undertaking; If the fund manager violates the provisions of the market operation rules for overbought, oversold and other reasons
If it causes difficulties and risks in fund investment liquidation, the Fund Custodian shall immediately notify the Fund Manager upon discovery
The Fund Manager shall be responsible for solving the problems and giving them to the Fund Custodian, the Fund and other assets under the custody of the Fund Custodian
The direct losses caused shall be borne by the Fund Manager.
The Fund Manager shall take reasonable and necessary measures to ensure that there will be sufficient capital positions on T day
Capital settlement of investment transaction on T+1 day; If the fund position is insufficient due to the fund manager, the fund management
I shall make up the overdraft before 10:00 a.m. on T+1 day to ensure the capital clearing. If the above regulations are not followed
The sufficient capital position has affected the clearing and settlement of fund assets and the registration and settlement between the fund custodian and China Securities
First level liquidation between limited liability companies, which is entrusted to the Fund Custodian, the Fund Assets and the Fund Custodian
The Fund Manager shall be responsible for direct losses caused by other assets.
If the Fund participates in the transaction of unsecured delivery bonds on the T+0 Exchange, the Fund Manager shall ensure that it has sufficient funds
The position is used for the above transaction, and effective transfer instructions (including non performance declaration) must be issued before 14:00 on T+0 day
Application), and ensure that the order elements (including but not limited to the settlement amount and transaction number) and the actual settlement information
agreement. If T+0 unsecured settlement fails due to reasons other than the fund custodian, the fund custodian will suffer losses
In case of loss, the Fund Manager shall be liable for compensation.
The Fund Manager shall ensure that when the Fund Custodian executes the transfer instruction sent by the Fund Manager, the Fund Bank
There is sufficient funds in the bank account or fund settlement account (except for the funds received by the registration company or frozen). Fund's
When the fund position is insufficient, the Fund Custodian has the right to refuse to execute the transfer instruction sent by the Fund Manager and notify
Inform the fund manager, and regard the time when the account balance is sufficient as the delivery time of the order. The fund manager sends the transfer reference
The fund custodian's transfer processing time should be taken into full consideration at the time of order, which is generally 2 working hours. Funds in the Fund
If the position is sufficient, the Fund Custodian shall comply with laws and regulations, the Fund Agreement and this Agreement with the Fund Manager
No delay or refusal to execute the order of.
2. Time and method of reconciliation of transaction records, capital and securities accounts
1) Reconciliation of transactions
The Fund Manager and the Fund Custodian shall check the transaction records on a daily basis. Disclosure of net value of fund units
Before that, it must be ensured that all the actual transaction records of the day are completely consistent with the transaction records on the fund accounting books.
If the actual transaction records are inconsistent with the records in the accounting books, resulting in incomplete or untrue fund accounting,
The loss caused thereby shall be borne by the Fund Manager.
2) Reconciliation of capital accounts
The fund account is verified by the fund manager and the fund custodian on a daily basis, and the account is consistent with the actual situation.
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3) Reconciliation of securities accounts
The Fund Manager and the Fund Custodian shall check the fund securities accounts at the end of each trading day to ensure the accounts of both parties
Match.
4) The Fund Manager and the Fund Custodian shall check the physical securities accounts at the end of each month.
（3） Basic Provisions on Fund Purchase and Redemption
1. Confirmation and liquidation of subscription and redemption of fund units shall be undertaken by the fund manager or its entrusted registration institution
Responsibility.
2. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day
To the Fund Custodian. The Fund Manager shall be true to the data of subscription, redemption and conversion of open-ended funds transmitted
Sexual responsibility. The Fund Custodian shall check the receipt of subscription and transferred funds in time and according to the instructions of the Fund Manager
Order timely transfer of redemption and transfer out funds.
3. The Fund Manager shall ensure that each work of the registration authority of the Fund (or entrusted by the Fund Manager)
Send the above relevant data of the previous open day to the Fund Custodian before 15:00 on the day of, and ensure the accuracy of the relevant data
Accurate and complete.
4. The registration authority shall send relevant data through the encryption system established with the fund custodian
The reason is that the system cannot send normally, and both parties can solve the problem through negotiation. The fund manager is entrusted to the fund
The data sent by the two parties shall be kept in accordance with relevant regulations.
5. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall ensure the above related matters
It should be carried out on time. Otherwise, the fund manager shall bear corresponding responsibilities.
6. Establishment and management of special clearing account
In order to meet the needs of subscription, redemption and dividend capital remittance, the fund manager shall open a special fund clearing
The account is managed by the registration agency.
7. The fund manager shall be responsible for the accounts receivable generated in the process of fund purchase with the relevant parties
Determine the date of receipt and notify the Fund Custodian that if the receivables do not reach the Fund's capital account on the date of receipt, the Fund
The custodian shall timely notify the fund manager to take measures to collect the funds, and the fund management
The manager shall be responsible for recovering the losses of the fund from the parties concerned.
8. Redemption and dividend fund allocation regulations
When the redemption money is allocated or the fund dividends are distributed, if the fund fund account has sufficient funds, the fund custodian
It shall be allocated on time; The Fund Custodian is unable to allocate funds on time due to insufficient funds in the Fund's capital account,
If it is not caused by the Fund Custodian, the Fund Manager shall bear the responsibility, and the Fund Custodian shall not bear the advance
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Obligations.
9. Capital Instruction
Except that the purchase amount reaches the fund account and needs to be reconciled by both parties according to the agreed method, the due payment for repurchase and
The Fund Manager shall issue instructions to the Fund Custodian when making payment, redemption and dividend capital allocation related to investment.
The format, content, sending, receiving and confirmation methods of capital orders are the same as those of investment orders.
（4） Net settlement of redemption and purchase
The fund subscription, redemption and other funds shall be settled by netting settlement, and the fund custody account and the "registration"
It shall be recorded in the clearing account, and the subscription amount and conversion amount shall be settled on T+2 days; Redemption funds shall be settled on T+3 days.
The fund clearing between the fund custody account and the "registered clearing account" follows the principle of "net clearing, net
The principle of "settlement", that is, according to the receivable funds of the trusteeship account on the current day (including subscription funds and fund transfer funds)
From the difference with the amount payable in the custody account (including redemption fund, redemption fee, fund conversion transfer out and conversion fee)
Determine the net receivable amount or net payable amount of the trusteeship account to determine the capital delivery amount. When there is a net account receivable
When collecting the amount, the fund manager is responsible for clearing the net receivable amount of the escrow account from the "registration and liquidation" before 15:00 of the same day
The "account" shall be transferred to the fund custody account, and the fund custodian shall notify the fund manager immediately after the funds are received
Accounting treatment; When there is a net payable amount in the custody account, the fund manager shall refer the transfer to
The order shall be sent to the fund custodian, and the fund custodian bank shall, according to the transfer instruction of the manager, make the net payable amount of the custody account equal to
Transfer to the "registered clearing account" before 12:00 on the day of the transfer, and the fund custodian will immediately notify the fund after the transfer
The administrator conducts accounting treatment.
If the fund is a net receivable on that day, the fund custodian shall timely check whether the funds collected have arrived in the account
The fund manager shall notify the fund manager to transfer the funds that are not received on time due to reasons of the fund manager
The Fund Manager shall assume the responsibilities.
If the fund is net payable on that day, the Fund Custodian shall transfer it in time according to the instructions of the Fund Manager
Pay. The Fund Manager shall timely notify the Fund Custodian of the funds that are not transferred on time due to the Fund Custodian
The fund custodian shall bear the responsibilities arising from the transfer by the custodian.
（5） Fund conversion
1. Before the Fund and other funds managed by the Fund Manager carry out conversion business, the Fund Manager
The Fund Custodian shall be notified in writing and relevant matters shall be negotiated.
2. The Fund Custodian will conduct accounting treatment according to the fund conversion data transmitted by the Fund Manager
The time and procedure of capital clearing and data transmission, as well as the rights and responsibilities assumed by the parties to the custody agreement, shall be subject to the
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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The announcement shall be executed.
3. The Fund shall carry out the fund conversion business in accordance with the relevant laws and regulations and the fund contract
Notice.
（6） Fund cash dividends
1. The Fund Manager shall notify the Fund Custodian of the dividend plan, which shall be approved by both parties in accordance with the Information Disclosure
The relevant provisions of the Measures shall be announced on the media designated by the CSRC.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund dividend, the fund management
The Fund Custodian shall timely transfer the funds into the special account when the Fund Custodian sends the transfer instruction of cash dividends to the Fund Custodian
Household.
3. When giving instructions, the Fund Manager shall allow the Fund Custodian the necessary time to transfer funds.
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8、 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
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 value of the Fund assets and the net value of the Fund units every 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
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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.
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.
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(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.
(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
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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
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
"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.
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(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 error liability
Either party shall compensate the loss of the injured party, and within the scope of the compensation amount paid by it
The parties have the right to demand the delivery of unjust enrichment; If the party who has obtained unjust enrichment has excluded this part
When the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has already received to the amount of improper
The difference between the total return of profits and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the 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;
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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
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
Agree on the net value of the fund, the purchase and redemption price of the fund units, and the fund set by the fund manager
Public disclosure of periodic report, updated prospectus, summary of fund product information, fund liquidation report, etc
Review and review relevant fund information, and confirm 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
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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.
（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.
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9、 Fund income distribution
Fund income distribution refers to the allocation of the distributable income of the Fund in proportion to the Fund units as required.
（1） Principle of fund income distribution
The distribution of fund income shall follow the following principles:
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
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.
On the premise that there is no material adverse effect on the interests of fund share holders, the fund manager may pay the fund
The principle of profit distribution shall be adjusted without convening a general meeting of fund share holders.
（2） Time and procedure of fund income distribution
1. The income distribution plan of the Fund shall be formulated by the Fund Manager and confirmed by the Fund Custodian after review,
Announce on the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
2. If laws and regulations or regulatory authorities provide otherwise, their provisions shall prevail.
（3） Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. Dang Tou
When the cash dividend of the investor is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund shall register
A bookkeeping institution may automatically convert the cash dividends of fund share holders into fund shares. Calculation method of dividend reinvestment
Law, in accordance with the Business Rules.
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10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall carry out information disclosure in accordance with laws and regulations and the relevant provisions of the Fund Agreement
Disclosure: The information to be publicly disclosed shall be kept confidential before public disclosure. Except in accordance with the Fund Law, the Fund Contract
In addition to information disclosure in the Information Disclosure Measures and other relevant provisions, the Fund Manager and the Fund Custodian shall
Information generated in the operation of the Fund and business information obtained from the other party shall be kept confidential. However, the following situations are not
It shall be deemed that the Fund Manager or the Fund Custodian violates the confidentiality obligation:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the court judgment or ruling, arbitral award or
Information disclosure or disclosure made by the order and decision of the CSRC and other regulatory agencies.
（2） Contents of information disclosure
The information disclosure content of the fund mainly includes the fund prospectus, the summary of fund product information, and the fund portfolio
The same as the Custodian Agreement, the announcement on the sale of fund units, the announcement on the effectiveness of the fund contract, the information on the net value of the fund, and the shares of the fund
Amount subscription, redemption price, regular fund report (including annual fund report, interim fund report and quarterly fund report)
Annual report (including quarterly portfolio report), interim report, clarification announcement, resolution of the general meeting of fund share holders
Discussion, information disclosure of asset-backed securities investment, liquidation report, information disclosure during the implementation of side pocket mechanism
Disclose other information specified by the CSRC. The financial accounting report in the annual report of the Fund shall be subject to
Only after being audited by an accounting firm with futures related business qualifications can it be disclosed.
（3） Responsibilities and information disclosure procedures of the Fund Custodian and the Fund Manager in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall protect the interests of the Fund Unitholders in the process of information disclosure
For the purpose, be honest and keep secrets strictly. The Fund Manager is responsible for handling the information disclosure related to the Fund,
The Fund Custodian shall, in accordance with relevant laws and regulations and the provisions of the Fund Contract
The matters that should be reviewed by the Fund Custodian shall be reviewed. After the Fund Custodian has reviewed without error, the Fund Manager shall
To be published.
The Fund Manager and the Fund Custodian shall actively cooperate and supervise each other to ensure that they are in a timely manner in accordance with the statutory provisions
The obligation of information disclosure shall be limited.
The fund manager shall, within the time limit prescribed by the CSRC, disclose the fund information that should be disclosed through the
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Determine the media disclosure. According to laws and regulations, the Fund Custodian will disclose the information that should be publicly disclosed by the Fund Custodian through
Public disclosure by designated media.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
(1) Due to force majeure or other circumstances, the Fund Manager and the Fund Custodian are unable to accurately assess the basis
The value of gold assets;
(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.
2. Procedure
Information disclosure documents that are subject to review by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and reviewed by
The Fund Manager shall make an announcement after the review by the Fund Custodian. In case of any event required to be disclosed in the fund contract,
Published in accordance with the provisions of the fund contract.
3. Storage of information text
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. After paying the cost of production
Obtain copies or photocopies of the above documents within a reasonable time. The Fund Manager and the Fund Custodian shall guarantee the text
The content of is completely consistent with the announced content.
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11、 Fund expenses
（1） Accrual proportion and method of fund management fee
The fund management fee is accrued at the annual fee rate of 0.3% of the net asset value of the fund on the previous day. The calculation 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
（2） Accrual proportion and method of fund custody fee
The fund custody fee is accrued at the annual fee rate of 0.1% of the net asset value of the fund on the previous day. 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
（3） Account opening fees, securities transaction fees, bank fees paid by fund property transfer, accounts
Maintenance fees, information disclosure fees related to the fund after the fund contract takes effect (laws and regulations, and CSRC
Unless otherwise specified), fees for the general meeting of fund share holders, and accounting related to the fund after the fund contract takes effect
Teacher fees, attorney fees, arbitration fees and legal fees shall be subject to relevant laws and regulations, fund contracts and corresponding agreements
Yes, included in the current fund expense.
As a tax payer, the fund manager is obliged to keep in touch and communicate with the local tax authority to confirm
Relevant tax categories and relevant calculation methods. After the establishment of the product, the Fund Manager shall provide the Fund Custodian with
VAT related tax rate scheme and parameter scheme.
（4） Items not included in 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 takes 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.
（5） Adjustment of fund expenses
On the premise of complying with relevant laws and regulations and performing necessary procedures, the Fund Manager and the Fund Custodian
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The custodian may reduce the fund management fee and fund custody fee as appropriate after reaching consensus through consultation. The fund manager must pay a new fee
Before the date of implementation, publish an announcement on the designated media in accordance with the provisions of the Information Disclosure Measures.
（6） The relevant expenses incurred before the operation of the Fund that can be disbursed from the Fund assets shall be paid by the Fund Manager
Advance payment. After operation, the Fund Manager shall send a transfer order to the Fund Custodian within three working days from the next day,
Once reviewed by the Fund Custodian, it shall be paid to the Fund Manager in a lump sum from the Fund assets within three working days.
（7） Review procedure, payment method and time of fund management fee and fund custody fee
1. Review procedure
The fund management fee, fund custody fee, etc. accrued by the fund custodian to the fund manager shall be subject to
Negotiate and review the relevant provisions of the fund contract.
2. Payment method and time
Fund management fees and fund custody fees are accrued daily and paid monthly. From the first day of the next month by the Fund Manager
Within three working days, the fund custodian shall send instructions on the transfer of fund management fees and fund custody fees to the fund custodian
The Fund Manager and the Fund Custodian shall make a lump sum payment from the Fund assets to the Fund Manager and the Fund Custodian within three working days after the review.
If the payment cannot be made on time due to legal holidays, rest days or force majeure, it shall be postponed to the nearest
Paid on the payment date.
（8） Violation handling method
The Fund Custodian finds that the Fund Manager has violated the Fund Law, the Fund Contract, the Operating Measures and others
The Fund Custodian may request the Fund Manager to explain when the relevant provisions set out expenses from the Fund assets
The Fund Custodian may refuse to pay if the Fund Manager has no justified reason.
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12、 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.
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13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep records, account books, statements and other relevant information on the business activities of fund property management
Materials. The fund custodian shall keep records, account books, statements and other relevant materials of the fund custody business activities.
Both the Fund Manager and the Fund Custodian shall keep them for the prescribed period. The storage period shall not be less than 15 years
Unless otherwise stipulated in the laws and regulations or required by the competent authority.
（2） Establishment of contract archives
1. After the Fund Manager signs a major contract, it shall promptly deliver the original of the contract to the Fund Custodian
The Fund Manager shall ensure that the Fund Manager and the Fund Custodian each hold at least one original.
2. The Fund Manager shall promptly submit the contracts and agreements related to the Fund's accounting treatment and fund allocation
Fax the Fund Custodian.
（3） Change and assistance
If the Fund Manager/Fund Custodian is changed, the unchanged party is obliged to assist in the reception after the change
Personnel shall receive corresponding documents.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers
Fund account books, transaction records and important contracts shall be kept confidential for at least 15 years
Unless otherwise stipulated by laws and regulations or required by competent authorities.
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14、 Replacement of Fund Manager and Fund Custodian
（1） Replacement of Fund Manager
1. Conditions for replacement of the Fund Manager
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1) The Fund Manager is disqualified from fund management according to law;
2) The Fund Manager is dismissed by the General Meeting of Fund Unitholders;
3) The Fund Manager is dissolved, dissolved or declared bankrupt according to law;
4) Other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract.
2. Replacement procedure of fund manager
The replacement of the Fund Manager must be carried out in accordance with the following procedures:
1) Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2) Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution shall be made by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3) Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4) Filing: the resolution of the General Meeting of Fund Unitholders to change the Fund Manager must be reported to the CSRC for filing;
5) Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
Announcement shall be made in the designated media within 2 days after the resolution of the general meeting of shareholders takes effect;
6) Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner
The Fund Manager or the new Fund Manager shall take over in a timely manner. Temporary fund manager or new fund manager
The total value of fund assets shall be checked with the fund custodian;
7) Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The expenses shall be disbursed from the fund assets;
8) Change of fund name: after the change of fund manager, if the original or new fund manager requires,
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The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Replacement of Fund Custodian
1. Conditions for replacement of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1) The Fund Custodian is disqualified from fund custody according to law;
2) The Fund Custodian is dismissed by the General Meeting of Fund Unitholders;
3) The Fund Custodian is dissolved, canceled or declared bankrupt according to law;
4) Other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract.
2. Procedures for replacing the Fund Custodian
1) Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2) Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3) Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4) Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;
5) Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
Announcement shall be made in the designated media within 2 days after the resolution of the general meeting of shareholders takes effect;
6) Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and appoint a new fund custodian or temporarily
The Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian checks with the fund manager
Total value of fund assets;
7) Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The expenses shall be disbursed from the fund assets.
（3） The Fund Manager and the Fund Custodian are replaced at the same time
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of their total shares nominate new fund managers and fund custodians;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
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3. Announcement: The new Fund Manager and the new Fund Custodian shall change the Fund Manager and Fund Custodian
A joint announcement shall be made on the designated media within 2 days after the resolution of the general meeting of fund unit holders of the custodian takes effect.
（4） New fund manager or temporary fund manager receives fund management business, or new fund custodian
Or the original fund manager or the original fund before the temporary fund custodian takes over the fund property and fund custody business
The custodian shall continue to perform its relevant duties and ensure that it will not do anything that will harm the interests of fund share holders
Behavior. The original Fund Manager or the original Fund Custodian still has the right to continue to perform relevant duties in accordance with the Fund
The fund management fee or fund custody fee shall be charged according to the provisions of the contract.
（5） The provisions of this part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
Following the part referring to laws and regulations or regulatory rules, for example, the modification of laws and regulations or regulatory rules results in the relevant content being
In case of cancellation or change, the Fund Manager and the Fund Custodian may, after reaching an agreement through consultation and making an announcement in advance, directly
The contents shall be modified and adjusted without the need to convene a general meeting of fund share holders for deliberation.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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15、 Prohibited acts
The behaviors prohibited by the parties to this agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian confuse their own property or other people's property with the Fund property
Engaged in securities investment.
（2） The fund manager treats the different fund assets under its management unfairly, and the fund custodian is unfair
To treat different fund assets under its custody.
（3） The Fund Manager and the Fund Custodian use the Fund assets as the third party other than the Fund Unitholders
People seek benefits.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations
Loss.
（5） The Fund Manager and the Fund Custodian disclose to others any information that has not been
Information disclosed publicly in the manner prescribed by laws and regulations.
（6） The Fund Manager issues investment instructions and redemption to the Fund Custodian without sufficient funds
Transfer instructions for the return and dividend funds, or send instructions to the fund custodian in violation of regulations.
（7） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers
Part time job with other employees.
（8） The Fund Custodian privately uses or disposes of the Fund assets, according to the legal instructions of the Fund Manager
Except for the disposal as stipulated in the fund contract or custody agreement.
（9） The fund assets shall be used for the following investments or activities:
1. Underwriting securities;
2. Loan or provide 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;
If laws and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager performs the appropriate procedures, the Fund's investment is not subject to the above provisions or the changed provisions
Shall prevail.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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（10） Other acts prohibited by laws and regulations and the Fund Contract, as well as relevant acts in accordance with laws and administrative regulations
Provisions of the CSRC prohibit fund managers and fund custodians from engaging in other acts.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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16、 Change and Termination of 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.
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
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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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.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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17、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or the performance of this Agreement is inconsistent with the agreement,
It shall bear the liability for breach of contract.
（2） The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
Or as agreed in the Fund Agreement and this Custody Agreement, causing damage to the Fund assets or the Fund Unitholders,
They shall be liable for compensation for their respective acts according to law; Fund assets or fund shares due to joint actions
If the holder causes damage, he shall bear joint and several liability for compensation. Compensation for losses shall be limited to direct losses.
（3） If one party breaches the contract and causes losses to the other party, it shall compensate for the direct losses
Compensation; If any loss is caused to the fund property, the direct loss shall be compensated, and the other party shall have the rights and obligations
To recover from the defaulting party on behalf of the Fund. However, the party concerned shall be exempted from liability if:
1. Force majeure;
2. The Fund Manager and the Fund Custodian shall comply with the then effective laws and regulations or the provisions of the CSRC
Losses caused by acts or omissions;
3. Directly caused by the Fund Manager's investment or non investment in accordance with the investment principles specified in the Fund Contract
Loss or potential loss, etc;
4. Computer system failure not caused by the intentional or gross negligence of the Fund Manager or the Fund Custodian
Losses caused by network failure, communication failure, power failure, computer virus attack and other accidents
Etc;
5. The Fund Custodian shall deposit or keep the Fund assets in institutions other than the Fund Custodian, or hand over securities
The Company and other institutions are responsible for clearing and settlement of fund assets and their income
Losses caused to the Fund's assets due to negligence, negligence or bankruptcy.
（4） If one party breaches the contract, the other party is obliged to take necessary measures
Measures shall be taken to prevent the expansion of losses. If the loss is expanded due to failure to take appropriate measures, it shall not
Claims for damages. The reasonable expenses incurred by the non defaulting party to prevent the loss from expanding shall be borne by the defaulting party.
（5） If the breach of contract has occurred, but this custody agreement can continue to be performed
On the premise of protecting the interests of fund share holders, the Fund Manager and the Fund Custodian shall continue to perform this custody
agreement.
（6） Business errors due to factors beyond the control of the Fund Manager and the Fund Custodian
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they have not
The Fund Manager and the Fund Custodian will be exempted from the loss of the Fund property or investors caused by the error that can be found
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate this
Impact.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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18、 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.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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19、 Effect of Custody Agreement
Both parties agree on the effectiveness of the custody agreement as follows:
（1） The draft custody agreement submitted by the fund manager when applying to the CSRC for the sale of fund units
The case shall be sealed by both parties to the custody agreement and signed or sealed by the legal representatives or authorized representatives of both parties,
Both parties to the agreement modify the draft custody agreement according to the opinions of the CSRC. The custody agreement has been approved by China Securities
The text registered by the CSRC is the official text.
（2） The Custody Agreement shall be signed or sealed by the Fund Manager, the legal representative or authorized representative of the Fund Custodian
It shall be established on the date of sealing and affixing the official seal/special seal for contract of both parties, and shall come into force on the effective date of the fund contract. trusteeship
The term of validity of the agreement shall be from the effective date to the date when the liquidation result of the fund assets is reported to the CSRC for filing and announcement
End of.
（3） The trusteeship agreement shall have the same legal binding force on the parties to the trusteeship agreement as of the effective date.
（4） This Custody Agreement is made in triplicate, one for each party and one for the regulatory authority
They have the same legal effect.
Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund
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20、 Other matters
If the competent judicial authority freezes the fund units of the fund unit holders according to law, the fund manager shall
Cooperate and undertake the obligation of judicial assistance.
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract. This agreement does not
All matters shall be handled through consultation by the parties in accordance with the fund contract, relevant laws and regulations, etc.
(This page is the signature page of the Custody Agreement of ABC Huili Jinshuo Bond Securities Investment Fund, without text)
Fund manager: ABC Huili Fund Management Co., Ltd. (seal)
Legal representative or authorized representative (signature or seal):
Fund Custodian: China Minsheng Bank Co., Ltd. (seal)
Legal representative or authorized representative (signature or seal):
Signed at: Beijing, China
Signing date: MM/DD/2020