ABC Huili Fund Management Co., Ltd
Fund manager: ABC Huili Fund Management Co., Ltd
Fund Custodian: China Minsheng Bank Co., Ltd
September 2020
ABC Huili Jinshuo Bond Securities Investment Fund Fund Contract
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catalog
Part I Preface one
Part II Definition three
Part III Basic Information of the Fund eight
Part IV Sale of Fund Units nine
Part V Fund Filing eleven
Part VI Subscription and Redemption of Fund Units twelve
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-one
Part VIII General Meeting of Fund Unitholders twenty-nine
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian thirty-eight
Part X Custody of the Fund forty-one
Part XI Registration of Fund Units forty-two
Part XII Investment of the Fund forty-four
Part XIII Assets of the Fund forty-nine
Part XIV Valuation of Fund Assets fifty
Part XV Fund Fees and Taxes fifty-six
Part XVI Income and Distribution of the Fund fifty-eight
Part XVII Accounting and Audit of the Fund sixty
Part XVIII Information Disclosure of the Fund sixty-one
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets sixty-eight
Part XX Liability for Breach of Contract seventy
Part XXI Dispute Settlement and Applicable Law seventy-one
Part XXII Effectiveness of the Fund Contract seventy-two
Part XXIII Other Matters seventy-three
Part XXIV Summary of Fund Contract seventy-four
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Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Contract Law of the People's Republic of China (hereinafter referred to as "the Contract")
Law of the People's Republic of China on Securities Investment Funds (hereinafter referred to as the "Fund Law"), Public Offering
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures"), Sales of Securities Investment Funds
Administrative Measures (hereinafter referred to as "Sales Measures"), Information Disclosure Management Office for Publicly Offered Securities Investment Funds
Law of the People's Republic of China (hereinafter referred to as "the Measures for Information Disclosure"), the Standards for the Contents and Forms of Information Disclosure of Securities Investment Funds
No. 6<Content and Format of Fund Contract>, Liquidity Risk Management of Public Offering Open ended Securities Investment Fund
Provisions (hereinafter referred to as "Liquidity Risk Management Provisions") and other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract
Any document or statement relating to the rights and obligations of the parties to the fund contract related to the fund, such as
In case of any conflict in the fund contract, the fund contract shall prevail. The parties to the fund contract shall comply with the Fund Law and the fund contract
And other relevant provisions.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Fund investment
The investor shall become the fund share holder and a party to the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of holding fund shares itself indicates its recognition and acceptance of the fund contract.
3、 Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund shall be managed by the fund manager in accordance with the Fund Law
The shares are raised according to the contract and other relevant regulations, and have been approved by the China Securities Regulatory Commission (hereinafter referred to as "CSRC")
Will ") register.
The registration of the Fund raising application by the CSRC does not indicate the investment value and market value of the Fund
Making substantive judgments or guarantees on the market prospect does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence,
However, there is no guarantee that investment in the Fund will be profitable, nor will there be any guarantee of minimum return.
Investors should carefully read the fund contract, fund prospectus, fund product information summary and other information
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Disclose documents, judge the investment value of the fund independently, make investment decisions independently, and bear investment risks independently.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract
If the content involves defining the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract
The contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The preparation, disclosure and update of the fund product information summary in this fund contract will be made no later than
Implemented on September 1, 2020.
7、 When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager shall
After the corresponding procedures, the side pocket mechanism can be activated. See the relevant sections of the fund contract and prospectus for details.
During the implementation of the side pocket mechanism, the fund manager will mark the fund abbreviation specially and will not handle the side pocket account
Subscription and redemption of. Please read the relevant content carefully and pay attention to the side pocket mechanism of the Fund
Specific risks.
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Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
2. Fund manager: Agricultural Bank of China Huili Fund Management Co., Ltd
3. Fund Custodian: China Minsheng Bank Co., Ltd
4. Fund contract or this fund contract: refers to the "Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund"
The Fund Agreement and any effective amendments and supplements to the Fund Agreement
5. Custody Agreement: refers to the Agreement between the Fund Manager and the Fund Custodian on the Fund signed by the Agricultural Bank of China Huishuo
Bond Securities Investment Fund Custody Agreement and any effective amendments and supplements to the Custody Agreement
6. Prospectus: refers to the Prospectus of ABC Huili Jinshuo Bond Securities Investment Fund and
to update
7. Announcement on the sale of fund shares: Refers to the issuance of fund shares of the Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
Sales Announcement
8. Summary of fund product information: refers to the fund product fund of Agricultural Bank of China Huili Jinshuo Bond Securities Investment Fund
Information Summary and its update (in the Fund Agreement on the preparation, disclosure and update of the Fund product information summary, etc
And will be implemented no later than September 1, 2020)
9. Laws and regulations: refer to the laws, administrative regulations, normative documents
Judicial interpretations, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
10. Fund Law: refers to the Standing Committee of the Tenth National People's Congress
Adopted at the fifth session of the NPC and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the meeting, implemented since June 1, 2013
The 14th Meeting of the Standing Committee of the Second National People's Congress
Decision of the People's Republic of China on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law of the People's Republic of China and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the CSRC on March 15, 2013 and implemented on June 1 of the same year
Measures for the Administration of the Sale of Securities Investment Funds and amendments made by the promulgating authority from time to time
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
The Administrative Measures for the Information Disclosure of Publicly Offered Securities Investment Funds, implemented on January 1, 2006, and the promulgating authority made to it from time to time
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Revision of
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Management Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017, the same year
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1 and promulgated
As amended from time to time by the Authority
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Banking regulatory authority: refers to the People's Bank of China and/or the Insurance Regulatory Commission of the Bank of China
Member Council
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
18. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal person, public institution legal person and society legally registered and existing or established and existing with the approval of relevant government departments
Groups or other organizations
20. Qualified foreign institutional investor: refers to the qualified foreign institutional investor who meets the requirements of the Management of Domestic Securities Investment
The Measures and relevant laws and regulations provide that it can invest in the securities investment funds legally raised in China
Institutional investors outside China
21. RMB Qualified Foreign Institutional Investor: refers to the qualified foreign institutional investor in China
The Pilot Measures for Securities Investment and relevant laws and regulations stipulate that RMB funds from overseas shall be used for domestic investment
Foreign legal persons investing in securities
22. Investors, investors: individual investors, institutional investors, qualified foreign institutional investors and
RMB Qualified Foreign Institutional Investors and the purchase of securities investment funds permitted by laws and regulations or the CSRC
Collectively referred to as other investors of
23. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
24. Fund sales business: refers to the promotion of funds and the sale of fund shares by fund managers or sales agencies,
Handle the subscription, redemption, conversion, re custody and fixed investment of fund units
25. Sales agency: refers to ABC Huili Fund Management Co., Ltd. and conforms to the Sales Measures and China
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Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund sales contract with the fund manager
Service agreement, the institution handling fund sales business
26. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
27. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is ABC Huili Fund Management
Management Co., Ltd. or institution entrusted by ABC Huili Fund Management Co., Ltd. to handle registration business
28. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
29. Fund transaction account: refers to the account opened by the sales agency for the investor and recorded that the investor passes through the sales machine
Changes and balances of fund units caused by the agency's handling of subscription, subscription, redemption, conversion and custody transfer
Current account
30. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
31. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
32. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than 3 months
33. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
34. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
35. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
36. T+n day: refers to the nth working day from T day (excluding T day)
37. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
38. Opening Hours: refers to the time period when the fund accepts subscription, redemption or other transactions on the open day
39. Business Rules: refers to the Business Rules of the Open ended Fund of ABC Huili Fund Management Co., Ltd,
It is a business rule regulating the registration of open-ended securities investment funds managed by the fund manager, and is managed by the fund
Both the manager and the investor shall abide by
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40. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
41. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
42. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
43. Fund conversion: refers to the fund share holders' effective public funds in accordance with the Fund Agreement and the Fund Manager at that time
To apply for converting the fund units of a fund managed by the fund manager into
Behavior of other fund units managed by the fund manager
44. Custody transfer: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
45. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency and the agreement on each application
On the purchase date, the amount of deduction and the method of deduction, the sales agency shall, on the agreed deduction date of each period, place the amount of deduction in the bank account designated by the investor
An investment method for automatically completing deduction and accepting fund purchase applications in the account
46. Massive redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units
Add the total number of transferred out application units in fund conversion and deduct the total number of subscription application units and transferred in in fund conversion
The balance after the total number of applied shares) exceeds 10% of the total fund shares on the previous open day
47. RMB: refers to RMB
48. Fund income: refers to the bond interest obtained from fund investment, the price difference between buying and selling securities, bank deposit interest
Other legal income realized and cost and expense savings arising from the use of fund assets
49. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, and fund receivables
Total value of funds and other assets
50. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
51. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
52. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
53. Designated media: national newspapers and periodicals designated by the CSRC for information disclosure
Internet website (including fund manager website, fund custodian website, CSRC fund electronic disclosure
Website) and other media
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54. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at a reasonable price, including but not limited to reverse repurchase with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares, and negotiable securities
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
Traded bonds, etc
55. Swing pricing mechanism: when the Fund is subject to large purchase and redemption, the net amount of fund units will be adjusted
The market shock cost of the fund's adjusted portfolio is allocated to the investors who actually subscribe and redeem,
So as to reduce the adverse impact on the interests of stock fund unit holders and ensure that the legitimate rights and interests of investors are not damaged
Harm and get fair treatment
56. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of account settlement is to effectively isolate and defuse risks and ensure that investors are treated fairly,
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account
The account is called side pocket account
57. Specific assets: including: (I) There is no active market price to refer to and the valuation technology is still adopted
Assets with significant uncertainty in fair value; （2） Measured at amortized cost and provision for asset impairment
Assets that still lead to significant uncertainty of asset value; （3） Significant inaccuracy in the value of other assets
Qualitative assets
58. Force majeure: refers to the objective that the parties to the Fund contract cannot foresee, avoid and overcome
event
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Part III Basic Information of the Fund
1、 Fund name
ABC Huili Jinshuo Bond Securities Investment Fund
2、 Category of fund
Bond securities investment fund
3、 Operation mode of the fund
Contractual and open
4、 Investment objectives of the Fund
The Fund mainly invests in bond varieties to strictly control risks and pursue long-term stability of fund assets
On the basis of, strive to obtain investment returns higher than the performance benchmark, and provide long-term stable returns for investors
Newspaper.
5、 Total minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million.
6、 Nominal value of fund units and subscription fees
The initial par value of the Fund units is RMB 1.00.
The subscription rate of the Fund shall be subject to the provisions of the Prospectus.
7、 Duration of the Fund
Irregular
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Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Notice.
2. Way of sale
The Fund will be publicly developed through the Fund Manager's direct sales center and the fund sales outlets of each sales agency
For the specific list of each sales agency, see the Fund Unit Offering Announcement and the Fund Manager's website.
3. Target
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Qualified foreign institutional investors and RMB qualified foreign institutional investors, as well as laws and regulations or the CSRC
Other investors allowed to purchase securities investment funds.
2、 Subscription of Fund Units
1. Subscription fee
In compliance with relevant laws and regulations, the subscription rate of the Fund shall be determined by the Fund Manager, and
Listed in the prospectus. The fund subscription fee shall not be included in the fund property.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the specific amount of interest transferred to shares shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
The calculation of subscription units shall be reserved to two decimal places, and the part after two decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
5. Confirmation of subscription
The acceptance of the subscription application by the sales agency does not mean that the application is certain to be successful, but only means that the sales agency confirms that
Received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application and subscription
Investors shall timely inquire about the confirmation of the purchased shares.
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3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. During the offering period, investors may subscribe for the Fund units several times. Subscription fee per subscription
Apply for separate calculation. Once the subscription is accepted, it cannot be revoked.
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Part V Fund Filing
1、 Conditions for Fund Filing
The total number of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units,
If the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200
The offering period expires or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and
Engage a legal capital verification institution to verify the capital within 10 days, and report to the CSRC within 10 days from the date of receiving the capital verification report
It will handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall complete the fund filing procedures and obtain
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not take effect. base
The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
The Fund Manager shall deposit the funds raised during the fund raising into a special account, and upon the completion of the fund raising
No one is allowed to use it.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Current deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; The Fund Manager shall terminate the Fund Contract if the above circumstances occur for 50 consecutive working days, and
Liquidation shall be carried out in accordance with the agreed procedures in the Fund Contract, without the need to convene a general meeting of fund share holders for deliberation.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
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Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be managed by the fund manager
Listed in the prospectus or the fund manager's website. The fund manager can change or increase or decrease the sales machine according to the situation
And publicized on the fund manager's website. The fund investor shall handle the fund sales business at the sales institution
The subscription and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription and redemption of fund units on the open day, and the specific handling time is shown in the prospectus
It is stated or otherwise announced, but the Fund Manager shall, in accordance with laws and regulations, the requirements of the CSRC or this Fund Contract
Except for the announcement of suspension of subscription and redemption in accordance with the provisions of.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
In other special circumstances or according to business needs, the Fund Manager has the right to enter into
Make corresponding adjustment, but it should be made on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date
Notice.
2. Start date of subscription and redemption and business handling time
The fund manager shall handle the subscription within 3 months from the effective date of the fund contract
The processing time shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
The starting time of subscription and redemption shall be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Redemption or conversion. The investor puts forward the subscription, redemption or transfer on a date and time other than that specified in the fund contract
If the application for exchange is confirmed and accepted by the registration authority, the subscription, redemption or conversion price of the fund units will be the next opening
The daily subscription, redemption or conversion price of fund units.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices shall be based on the net value of fund units on the application date
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Row calculation;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
4. Redemption follows the principle of "first in, first out", that is, it is carried out in the order of investors' subscription and purchase
Ordinal redemption;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. Fund manager
It must be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption.
2. Payment of subscription and redemption funds
When an investor subscribes to fund units, he must pay the subscription amount in full, and the investor must pay the subscription amount in full,
Subscription establishment; The subscription takes effect when the fund share registration authority confirms the fund share.
The redemption is established when the fund unit holder submits the redemption application; When the fund share registration institution confirms the redemption,
Redemption takes effect. After the investor's redemption application takes effect, the fund manager will pay within T+7 days (including that day)
Redemption proceeds. In case of data transmission delay of stock exchange or trading market, communication system failure, bank data delivery
System failure or other factors beyond the control of the fund manager and fund custodian affect the business processing flow
During the process, the redemption money shall be transferred out on the next working day after the factor is eliminated. In case of major redemption or
The payment of the redemption funds under other circumstances specified in the fund contract, such as suspending or refusing to redeem or delaying the payment of redemption funds
The Measures shall be handled with reference to the relevant provisions of the Fund Contract.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day). Under normal circumstances, the Fund's registration authority has
Validation. For the valid application submitted on T day, the investor can go to the sales network after T+2 day (including that day)
Click the counter or inquire about the confirmation of the application in other ways specified by the sales agency. If the subscription is not established or none
If it is effective, the principal of the subscription amount shall be returned to the investor.
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The acceptance of the application for subscription and redemption by the sales agency does not mean that the application is necessarily successful, but only represents the sales machine
The organization has indeed received the application for subscription and redemption. The confirmation of subscription and redemption shall be subject to the confirmation result of the registration authority.
The investor shall timely inquire about the application for subscription and redemption and the confirmation of subscription shares and redemption amount
Good deeds exercise legal rights.
On the premise of not violating laws and regulations, the Fund registration authority may, in accordance with relevant business rules
The business processing time shall be adjusted, and the fund manager must, before the implementation of the adjustment
Relevant regulations shall be announced on the designated media.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
Please refer to the Prospectus or relevant announcements for the specific provisions of the minimum share returned.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to control the fund size based on the needs of investment operation and risk control
System. See the relevant announcement of the Fund Manager for details.
5. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Limit on the number of shares. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
It shall be announced on the designated media.
6、 Purchase and redemption prices, fees and their uses
1. The net value of the Fund units shall be calculated to 4 decimal places and the fifth decimal place shall be rounded
The income or loss arising therefrom shall be borne by the fund property. Net value of fund units on T day after the close of the day
Calculate and announce within T+1 days. In case of special circumstances, the calculation can be postponed appropriately after performing appropriate procedures
Or announcement.
2. Calculation of subscription units and handling method of balance: For details of calculation of subscription units of the Fund, see Recruitment
Instructions. The subscription rate of the Fund shall be determined by the Fund Manager and listed in the Prospectus. apply for the purchase
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The effective units of are the net subscription amount divided by the net value of the fund units on the current day
The calculation results shall be rounded to 2 decimal places, and the resulting gains or losses shall be determined by the Fund
Property assumption.
3. Calculation and handling method of redemption amount: please refer to the Prospectus for the calculation of redemption amount of the Fund.
The redemption rate of the Fund shall be determined by the Fund Manager and listed in the Prospectus. The redemption amount is based on the fact
The effective redemption units confirmed at the time multiplied by the net value of the fund units on the day and deducted the corresponding expenses, the redemption amount unit
Is yuan. The above calculation results are rounded to 2 decimal places, and the resulting income
Or the loss shall be borne by the fund property.
4. The subscription fee shall be borne by the investor and shall not be included in the fund property.
5. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. The proportion of redemption expenses included in the fund property shall be set in accordance with relevant laws and regulations
See the prospectus. The part not included in the fund property is used to pay the registration fee and other necessary formalities
Fees. Among them, investors with a continuous holding period of less than 7 days will be charged a redemption fee of not less than 1.5%, and the full amount will be
Included in the fund assets.
6. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract, and shall be stated in the prospectus
Listed in the book. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract, and
In accordance with the relevant provisions of the Information Disclosure Measures, it shall be submitted to the designated media later than the implementation date of the new rate or charging method
Introduce the announcement.
7. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations and
Provisions of regulatory authorities and self-discipline rules.
8. The Fund Manager may, without violating the provisions of laws and regulations and the provisions of the Fund Contract
There is no material impact on the interests of fund share holders, and the fund promotion plan is formulated according to the market conditions
Investors regularly or irregularly carry out fund promotion activities. During the fund promotion activities, according to the relevant supervision department
The Fund Manager may appropriately lower the fund sales rate after the Fund Manager has required to go through the necessary procedures.
7、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
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2. When the valuation of fund assets is suspended as stipulated in the fund contract.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. When accepting a certain application or some applications for subscription may affect or damage the interests of existing fund share holders.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It may have a negative impact on the performance of the Fund, or other circumstances may damage the interests of existing Fund Unitholders.
6. Accepting a certain subscription application or some subscription applications will exceed the upper limit of net subscription ratio per day set by the fund manager
The upper limit of the total size of the Fund and the upper limit of the amount of single day or single subscription of a single investor.
7. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the fund manager shall suspend accepting the application for fund subscription.
8. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of shares reaches or exceeds 50%, or evades 50% concentration in disguised form.
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription under one of the above circumstances (1, 2, 3, 5, 7 and 9)
When accepting an investor's application for subscription, the Fund Manager shall publish the suspension application on the designated media in accordance with relevant regulations
Purchase announcement. If the investor's application for subscription is rejected, the principal of the rejected subscription will be returned to the investor.
When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner.
8、 Circumstances of suspending or refusing to redeem or delaying the payment of redemption money
Under the following circumstances, the Fund Manager may suspend or refuse to accept the redemption application of the investor or postpone the payment
Redemption payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. When the valuation of fund assets is suspended as stipulated in the fund contract.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders.
6. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall postpone the payment of redemption funds or suspend the acceptance of fund redemption applications.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
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Under any of the above circumstances, the Fund Manager decides to suspend or refuse to accept the redemption of the Fund Unitholders
When returning the application or postponing the payment of redemption funds, the Fund Manager shall report to the CSRC for filing as required, and it has been confirmed that
The Fund Manager shall pay in full the redemption application of; If the payment cannot be made in full for the time being, the payable part shall be
The proportion of the application amount of a single account in the total application amount is allocated to the redemption applicant, and the unpaid part can be deferred.
In case of the situation described in item 4 above, it shall be handled according to the relevant provisions of the fund contract. Fund share holders applying
Please choose to cancel the part that may not be accepted on that day in advance when redeeming. Elimination in case of suspension of redemption
The Fund Manager shall promptly resume the redemption business and make an announcement.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
Under the premise of, the remaining redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on that day shall be determined; For the non redeemable part
The investor can choose to postpone or cancel the redemption when submitting the redemption application. Those who choose to postpone redemption,
Will automatically transfer to the next business day to continue redemption until all redemption; If redemption is selected, the current day
Some redemption applications that have not been accepted will be cancelled. The deferred redemption application is together with the redemption application on the next open day
Processing, no priority and the redemption amount is calculated based on the net value of fund units on the following open day, and so on,
Until all redemption. If the investor fails to make a clear choice when submitting the redemption application, the investor fails to redeem
Some will be automatically postponed for redemption. Some deferred redemptions are not limited by the minimum amount of single redemption.
(3) If the Fund is redeemed in a large amount, the single fund unit holder will exceed the base on the last open day
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In the case of redemption applications for more than 20% of the total fund shares, the Fund Manager may postpone the processing of redemption applications:
Redemption of the part of the fund unit holder that exceeds more than 20% of the total fund unit on the previous business day
Upon application, the Fund Manager may postpone the handling of all applications; If the fund unit holder does not exceed the above proportion
The Fund Manager may, according to the provisions of the preceding paragraph "(1) Full redemption" or "(2) Partial deferred redemption"
The fixed method shall be handled together with the redemption application of other fund unit holders. However, if the fund share holder
If you choose to cancel the redemption when submitting the redemption application, part of the redemption application that has not been accepted on that day will be cancelled.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money shall not exceed 20 working days and shall be announced on the designated media.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
Other methods specified in the Prospectus shall notify the fund share holders within three trading days, stating the relevant processing party
And publish an announcement on the designated media within 2 days.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall designate the media within the specified period
The suspension notice is published on the website.
2. If the suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of subscription or redemption of the reopening of funds, and publish the net value of fund units on the latest open day.
3. If the suspension occurs for more than one day, the Fund Manager may, according to the suspension of subscription or redemption
In accordance with the relevant provisions of the Information Disclosure Measures, the re publication of
Announcement of new opening subscription or redemption; You can also clearly reopen the subscription in the suspension announcement according to the actual situation
Or the time of redemption, and there will be no further announcement of reopening at that time.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For conversion business with other funds managed by the fund manager, a certain amount of conversion can be charged for fund conversion
The relevant rules shall be formulated and consolidated by the Fund Manager in accordance with relevant laws and regulations and the provisions of this Fund Agreement
And inform the Fund Custodian and relevant institutions in advance.
12、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
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Non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations, or
Conduct in accordance with relevant laws and regulations or the way required by the competent authorities of the state. Regardless of the above
Under such circumstances, the subject receiving the transfer must be the investor who can hold the fund shares of the Fund according to law or
It shall be handled in the manner required by relevant laws and regulations or national competent authorities.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor;
Donation means that fund share holders donate their legally held fund shares to welfare foundations or societies
Association; Judicial enforcement means that the judicial authority holds
Fund units are forcibly transferred to other natural persons, legal persons or other organizations. Basis must be provided for non transaction transfer
The relevant information required by the gold registration authority shall be subject to the fund registration machine for the qualified non transaction transfer application
It shall be handled in accordance with the provisions of the Fund Registration Authority and charged in accordance with the standards prescribed by the Fund Registration Authority.
13、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
14、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager
Line regulations. The investor can agree on the amount of deduction in each period when handling the fixed investment plan
The amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
The minimum subscription amount of the investment plan.
15、 Fund freezing, unfreezing and pledge
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, and
Freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations. Fund account or fund share
If it is frozen, the rights and interests generated by the frozen part will be frozen together, and the frozen share will still participate in income distribution
And payment. Unless otherwise specified by laws and regulations or regulatory authorities.
If relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses,
On the premise that there is no material adverse effect on the interests of fund share holders, perform relevant procedures in the Fund Manager
After that, the Fund Manager will formulate and implement corresponding business rules.
16、 Transfer of Fund Units
Provided that laws and regulations permit and conditions are met, and there is no material adverse effect on the interests of fund share holders
Under the premise of influence, the holders of fund units may, through the legally established trading places or in accordance with laws and regulations
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The Fund Manager may accept such transfer application according to law and be handled by the registration authority
Registration of transfer of fund units. If the Fund Manager intends to handle the transfer of fund units, it shall perform the following duties at the Fund Manager
After going through relevant procedures, it will be announced in advance, and the fund share holders shall follow the business rules announced by the fund manager
Handle fund share transfer business.
17、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the Prospectus or relevant companies
Notice.
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Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: ABC Huili Fund Management Co., Ltd
Domicile: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Xu Jinchao
Date of establishment: March 18, 2008
Establishment approval authority and establishment approval document number: CSRC approval
[2008] No. 307
Organizational form: limited liability company
Registered capital: RMB 1750000001
Duration: continuous operation
Tel: 021-61095588
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
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Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise relevant rights against the invested company for the benefit of the Fund in accordance with laws and regulations, and for the benefit of the Fund
To exercise the rights arising from the investment of the Fund's assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(16) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion and non trading transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
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(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare regular reports of the Fund;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
And reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, except for circumstances required by external professional consultants such as audit and law consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
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(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the raising period, and the Fund Contract cannot
Effective, the fund manager shall bear all the raising costs, and add the raised funds to the current deposit interest of the bank for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: China Minsheng Bank Co., Ltd
Registered address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Office address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Postal code: 100031
Legal representative: Gao Yingxin
Date of establishment: February 7, 1996
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2004] No. 101
Organizational form: other limited liability companies (listed)
Registered capital: RMB 28365585227
Duration: continuous operation
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
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(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with the relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund,
Clearing securities trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions
Use the fund assets to seek benefits for themselves and any third party, and may not entrust a third party to trust the fund assets;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract and the Custody Agreement, the Fund Manager shall handle the clearing and payment in a timely manner according to the investment instructions of the Fund Manager
Cutting matters;
(7) Keep fund business secrets, except for the Fund Law, the Fund Contract, the Custody Agreement and others
Unless otherwise specified in relevant regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except for the circumstances required by external professional consultants such as the designer and the legal consultant;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
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(10) To issue opinions on the financial and accounting reports of the Fund and the regular reports of the Fund, stating that the Fund Manager
Whether the operation of important aspects is carried out in strict accordance with the provisions of the Fund Contract and the Custody Agreement; If the fund
If the manager fails to implement the provisions of the Fund Contract and the Custodian Agreement, it shall also explain the Fund Custodian
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the fund manager's
Investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And bank regulators, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
3、 Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund investor will become the fund share holder and the fund investor will become the fund share holder
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The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Unless otherwise stipulated by laws and regulations or the fund contract, each fund share is equally legal
Equity.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
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(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Unless otherwise specified by laws and regulations or the Fund Contract
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights.
The National People's Congress of the holders of Fund units of the Fund does not set up daily institutions.
1、 Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be convened, but
Unless otherwise stipulated by laws and regulations, the CSRC and the Fund Contract:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate, lower the redemption rate, increase, cancel or adjust the fund shares
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Category setting or change of charging method;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, transfer of custody, transfer of fund units, etc;
(6) The Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
3. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days or
If the number of fund unit holders is less than 200 for 50 consecutive working days, the Fund Manager shall terminate
Gold contract, and carry out liquidation in accordance with the agreed procedures of the Fund Contract, without the need to convene fund share holders
Deliberation by the General Assembly.
2、 Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
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People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the announcement, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. The convener shall, 30 days before the convening of the general meeting of fund unit holders
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
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Vote counting effect of.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
Other methods allowed by the institution shall be adopted, and the convening method of the meeting shall be determined by the convener.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund shares shall not be less than 50% (including 50%) of the total fund shares of the Fund on the equity registration date. If to
The effective fund shares represented by the participants on the equity registration date are less than the total fund shares of the Fund on the equity registration date
50%, the convener may, three months after the time of the original announcement of the general meeting of fund unit holders
The general meeting of fund unit holders shall be reconvened within six months on the matters originally scheduled for consideration. Fund units reconvened
The effective fund units represented by the attendees of the general meeting of shareholders on the equity registration date shall not be less than the equity of the Fund
One third (including one third) of the total fund shares on the registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other forms specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other forms specified in the notice of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
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If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than 50% (including 50%) of the total fund shares on the equity registration date; If this
The fund share holders who directly issue voting opinions or authorize others to issue voting opinions on their behalf
If the fund shares are less than 50% of the total fund shares on the equity registration date, the convener may hold
Within 3 months and 6 months after the time of the general meeting, the funds will be reconvened on the matters originally scheduled for consideration
General meeting of holders. The reconvened general meeting of fund unit holders shall have more than one-third (including three
1/) The holders of fund units directly issue voting opinions or authorize others to issue voting opinions on behalf of them;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet or telephone
Or in other ways, the fund share holders can use written, online, telephone, SMS or other ways
The specific method of voting shall be determined by the convener of the meeting and listed in the notice of the meeting.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf, the authorization may be in writing
In face, network, telephone, SMS or other ways, the specific way shall be listed in the meeting notice.
5、 Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the shareholders' meeting (laws and regulations, otherwise stipulated by the CSRC or the Fund Contract)
Unless otherwise agreed).
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
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In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than 50% (including 50%) of the voting rights held by the agent shall elect a fund share holder as such
The chairperson of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or preside over the Fund
The general meeting of unit holders shall not affect the validity of the resolutions made at the general meeting of fund unit holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than 50% (including 50%) of the voting rights shall be valid; Except as provided in item 2 below, special decision shall be taken
Matters other than those passed by the conference shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. In addition to laws and regulations, China Securities Regulatory Commission
Or unless otherwise specified in the fund contract, change the operation mode of the fund, change the fund manager or fund custodian
The termination of the Fund Contract and the merger of the Fund with other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
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It means abstention from voting, but shall be included in the total fund shares represented by the fund share holders who issue the voting opinions
Number.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
8、 Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
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The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the designated media within 2 days from the effective date. If using
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the full text of the notarial certificate
The name of the certification authority and the notary shall be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
9、 Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
50% (including 50%) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund shares held by the holder shall not be less than 50% (including 50%) of the relevant fund shares on the equity registration date;
4. If the fund unit holders who participate in the voting of the general meeting of fund unit holders hold small fund units
On the equity registration date, 50% of the relevant fund units will be called by the convener at the original announced fund unit holders' meeting
Fund unit holders reconvened within 6 months and 3 months after the opening date on the matters originally scheduled for review
There should be holders representing more than one-third (including one-third) of the relevant fund units participating in or authorizing him
Participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to 50% of the voting rights held by fund share holders or their proxies attending the meeting
More than 50% passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
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More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters to be considered at the general meeting of fund share holders involve the main pocket account and the side pocket account
The fund share holders of the main pocket account and the side pocket account shall vote respectively
Each fund share in the fund has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account
No voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The relevant provisions of this part shall apply to those not specified in this section.
10、 This part deals with the causes, conditions, procedures and voting of the general meeting of fund share holders
Provisions such as conditions, which directly refer to laws, regulations or regulatory rules, such as future laws, regulations or regulations
If the amendment of the rules results in the cancellation or change of the relevant contents, the Fund Manager shall, upon consensus with the Fund Custodian
After the announcement in advance, the content of this part can be directly modified and adjusted without the need to convene a fund unit holder
It will be reviewed.
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Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution shall be made by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: the resolution of the General Meeting of Fund 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
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The Fund Manager or the new Fund Manager shall take over in a timely manner. New Fund Manager or Temporary 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,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
Announcement shall be made in the designated media within 2 days after the resolution of the general meeting of shareholders takes effect;
6. Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and appoint a new fund custodian or temporarily
The Fund Custodian shall take over in a timely manner. Check the new fund custodian or temporary fund custodian 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） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian.
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
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2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and Fund Custodian shall change the Fund Manager and Fund Custodian
A joint announcement shall be made on the designated media within 2 days after the resolution of the general meeting of fund unit holders of the custodian takes effect.
3、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
References to laws, regulations or regulatory rules, such as changes in laws, regulations or regulatory rules that result in relevant content being taken
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
It is not necessary to hold a general meeting of fund share holders for deliberation.
4、 The new fund manager or temporary fund manager receives fund management business, or the new fund custodian or
Prior to the temporary fund custodian taking over the fund property and fund custody business, the former fund manager or the former fund custodian
The custodian shall continue to perform relevant duties and ensure that it will not do anything that will harm the interests of fund share holders
Is. The original Fund Manager or the original Fund Custodian still has the right to continue to perform relevant duties in accordance with the Fund Agreement
The same provisions apply to the collection of fund management fees or fund custody fees.
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Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall enter into a contract in accordance with the Fund Law, the Fund Contract and other relevant provisions
Escrow Agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
Obligations and responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
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Part XI Registration of Fund Units
1、 Fund share registration business
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf of others, establishing and keeping the register of fund share holders and handling non trading transfer.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
Handling. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall sign an entrustment agreement with the agent
Management agreement to clarify the fund manager and agency's management of the investor's fund account, fund share registration
The right to liquidate and confirm fund transactions, distribute dividends, establish and keep the register of fund share holders and other matters
And obligations to protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. To formulate and adjust relevant rules for registration business within the scope of laws and regulations, and
Provisions shall be announced on the designated media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institution recognized by the CSRC, and its storage period shall not start from the date of cancellation of the fund account
Less than 20 years;
4. Having the obligation to keep confidential the fund account information of the fund share holder
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Investors or funds shall bear corresponding compensation liability for losses incurred, but judicial compulsory inspection and laws
Except for other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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Part XII Investment of the Fund
1、 Investment objectives
The Fund mainly invests in bond varieties to strictly control risks and pursue long-term stability of fund assets
On the basis of, strive to obtain investment returns higher than the performance benchmark, and provide long-term stable returns for investors
Newspaper.
2、 Investment scope
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Government bonds, financial bonds, corporate bonds, corporate bonds, local government bonds, central bank notes, medium-term notes, assets
Supporting securities, government supported institutional bonds, short-term financing bonds, bond repurchase, time deposits, negotiated deposits
Inter bank deposit receipts and other financial instruments permitted by laws and regulations or the CSRC to be invested by the fund, provided that they meet the requirements of
Relevant regulations of China Securities Regulatory Commission.
The Fund does not invest in stocks and other assets.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform appropriate
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment portfolio is: the proportion of bond assets in the Fund's assets is not less than 80%
The proportion of government bond investment held in cash or maturing within one year is not lower than the net asset value of the fund
5%, of which, cash assets do not include settlement provisions, deposits, purchase receivables, etc.
If the relevant provisions of the laws and regulations are changed or allowed by the regulatory authority, the Fund Manager shall perform the appropriate
After the procedure, the above asset allocation proportion can be adjusted.
3、 Investment strategy
The Fund keeps track of the macroeconomic situation based on the analysis of interest rate, credit and other markets and
Prediction, comprehensive use of duration allocation strategy, term structure strategy, generic allocation strategy, credit strategy, cross market
Market investment strategy, asset-backed securities investment strategy and other strategies, and strive to achieve steady appreciation of fund assets.
1. Duration configuration strategy
The Fund judges the possible future market interest rate based on the analysis of macroeconomic, monetary policy and other factors
Change direction, and adjust flexibly in different market environments on the basis of reasonable prediction of market interest rate level
The target duration of the portfolio can improve the bond investment yield. When the expected market interest rate rises, by increasing the short holding
Reduce the duration of the portfolio by means of long-term bonds or increasing the holdings of floating interest bonds, so as to reduce the risk of portfolio price decline; In anticipation
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When the market interest rate drops, increase the duration of the portfolio by increasing the holding of long-term bonds to fully share the bond price
Rising returns.
2. Term Structure Strategy
After determining the portfolio duration, determine a reasonable portfolio term structure according to the morphological characteristics of the yield curve, including
Including the use of centralized strategy, two end strategy and trapezoidal strategy, etc., to make dynamic changes among long-term, medium-term and short-term bonds
Adjust and profit from the relative price changes of long-term, medium and short-term bonds.
3. Generic configuration policy
On the basis of macro analysis and duration and term structure allocation, the Fund will, according to the risk of different types of assets
Insurance source, yield level, interest payment method, interest tax treatment, income difference of generic assets, market
Preference, liquidity and other factors, and regularly optimize and adjust the portfolio assets to determine
Allocation proportion of generic assets.
4. Credit strategy
The Fund will make full use of the company's research strength and draw on external credit rating results to establish internal credit
Rating system and core library of credit bonds. According to the operating conditions and cash flow of the issuer
The credit risk of debt enterprises is assessed, and the credit rating grade of each target credit bond is given. The fund manager hereby
Select the securities from the core library and incorporate them into the portfolio.
5. Cross market investment strategy
The cross market investment strategy is based on the different operation rules and risk characteristics of the inter-bank market and the exchange market
To build and adjust the bond portfolio and improve investment returns.
6. Asset backed securities investment strategy
Based on the average duration allocation strategy and term structure allocation strategy, the Fund
Research on interest rate risk, prepayment rate, asset pool structure, boom and change of the industry in which the asset pool is located and other factors
Research, predict the future cash flow changes of the asset pool, and judge the trend of the yield and its income and risk. Be strict
Under the condition of risk control, select products with high return after risk adjustment in combination with credit research and liquidity management
Investment.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's bond assets in the Fund's assets shall not be less than 80%;
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(2) Keep no less than 5% of the net asset value of the fund in cash or government bonds with maturity within one year
Securities, of which cash assets do not include provisions for settlement, deposits and purchase receivables;
(3) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund;
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20%, except for special varieties specified by the CSRC;
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of the asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall be re evaluated
All of them will be sold within 3 months from the date of release of the level report;
(10) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed
40% of the net asset value of gold, and the maximum term of bond repo in the national inter-bank market is one year,
No extension is allowed after the maturity of bond repurchase;
(11) The total value of fund assets shall not exceed 140% of the net value of fund assets;
(12) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net assets of the Fund
15% of the value; Due to factors other than 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
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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 this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or change the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the changed provisions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Make capital contributions to its fund manager and fund custodian;
(5) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(6) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
If laws and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the Fund's investment is not subject to the above provisions or the changed provisions
Shall prevail.
5、 Performance Benchmark
The benchmark for performance comparison of the Fund is: the yield of China Securities Total Bond Index
The China Securities Total Bond Index is a comprehensive reflection of the inter-bank bond market and Shanghai and Shenzhen
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The cross market bond index of the exchange bond market, the index sample is from the inter-bank market and the Shanghai and Shenzhen Stock Exchange market
National debt, financial bonds and corporate bonds. The index covers the inter-bank and exchange bond markets, with
The broad market representation is suitable for the Fund's performance benchmark.
If the future laws and regulations change, or there is a more authoritative and widely accepted performance ratio
The benchmark is launched, or the market changes so that this performance benchmark is no longer applicable or this performance benchmark
To stop publishing or change the name, the Fund Manager may, in accordance with the principle of safeguarding the legitimate rights and interests of investors
After the Fund Custodian has reached consensus through consultation and reported to the CSRC for filing, it shall appropriately adjust the performance benchmark and timely publish
Without convening a general meeting of fund share holders.
6、 Risk return characteristics
The Fund is a bond fund, and its expected risk and expected return level is higher than that of monetary fund, but lower than that of equity fund
Ticket and hybrid funds.
7、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
2. It is conducive to the safety and appreciation of fund assets;
3. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
8、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to convene a fund
Deliberation at the general meeting of unit holders.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance comparison benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal changes of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as cash and payments that have a significant impact on investors' rights and interests.
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Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to all kinds of securities owned by the fund, principal and interest of bank deposits, and fund receivables
And the total value of other assets.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
And other special accounts required for investment. Special fund account opened, fund manager and fund custody
The property accounts owned by people, fund sales institutions and fund registration institutions and other fund property accounts are different
stand.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Some assets bear their own legal liabilities, and their creditors shall not apply for freezing or withholding of the Fund's assets
Pledge or other rights. Unless otherwise disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets shall not be disposed of
Points.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
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Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Assets and liabilities such as bonds, bank deposit principal and interest, receivables and other investments owned by the Fund.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with
Accounting Standards and relevant regulations of regulatory authorities.
（1） For investment varieties with an active market and the same quoted price of assets or liabilities
If there is a quotation on a daily basis, the quotation shall be applied to the fund without adjustment, except for the exceptions specified in the accounting standards
Fair value measurement of assets or liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the latest trading day
In case of major events, the quoted price on the latest trading day shall be used to determine the fair value. There is sufficient evidence to indicate the valuation
If the quoted price on the latest trading day cannot truly reflect the fair value, the quoted price shall be adjusted to determine the fair value
Value.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
And consider the influence of different characteristic factors in the valuation technology. Feature refers to the sale or use of assets
If the limit is for the asset holder, the limit should not be made in the valuation technology
Consider the characteristics. In addition, the fund manager should not consider the risk of
Premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable for the current situation and have enough
The fair value can be determined by using valuation techniques supported by data and other information. Use valuation techniques to determine fair price
The observable input value should be used preferentially, only when the observable input value of relevant assets or liabilities cannot be obtained
The unobservable input value can be used only when it is impracticable.
（3） In case of major changes in the economic environment or major events affecting the securities price of the securities issuer
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%
The valuation is adjusted and the fair value is determined.
4、 Valuation method
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1. Valuation of securities listed on stock exchanges
(1) For non equity fixed income varieties listed on the exchange market or transferred by listing, select
The net valuation price of the corresponding varieties on the current day provided by the third-party valuation agency.
(2) For the fixed income varieties with rights listed on the exchange market or listed for transfer, select the third
The only estimated net price or the recommended estimated net price of the corresponding variety on the current day provided by the valuation agency.
(3) For asset-backed securities listed and transferred in the exchange market, when there is no active market on the valuation date
The fair value is determined by valuation techniques for valuation. If the cost can approximately reflect the fair value, it should continue
Evaluate the appropriateness of the above practices and make appropriate adjustments when the situation changes.
2. The securities in the unlisted period shall be handled according to the following circumstances:
For unlisted or unlisted bonds issued in the exchange market, for active markets
Next, the unadjusted quotation in the active market shall be taken as the fair value on the measurement date for valuation; For Active
If the market quotation fails to represent the fair value on the measurement date, the market quotation shall be adjusted to confirm the measurement
The fair value on the date; In the case of no or few market activities, valuation techniques are used
Determine the fair value.
3. The fixed income varieties without rights in the national inter-bank market are provided by third-party valuation agencies
The estimated net price of the corresponding variety on the current day. For the types of fixed income with rights in the inter-bank market
The only or recommended net valuation price of the corresponding variety provided by the third-party valuation agency on the current day. For with
The fixed income variety of the investor's right to sell back, and the right to sell back is not exercised after the deadline (including the date) of the registration period
The valuation is based on the price corresponding to the long outstanding period. Unlisted in the inter-bank market and third-party valuation agencies
For bonds without valuation price, there is no significant difference between the issuance interest rate and the secondary market interest rate
If there is no significant change in the inter market interest rate, it shall be valued at cost.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. Valuation method of deposits
Time deposits or call deposits held by banks are listed as principal, and the total interest listed according to the deposit agreement
Or the agreed interest rate accrues interest every natural day. In case of early withdrawal or interest rate change, account adjustment shall be carried out as required
Whole.
6. The Fund's investment in inter-bank deposit receipts is valued at the net valuation price provided by a third-party valuation agency on the valuation date;
If the selected third-party valuation agency does not provide a valuation price, it shall be valued at cost.
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7. The Fund may adopt the valuation provided by a third-party valuation agency in accordance with the above fair value determination principles
Price data.
8. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
9. In case of large amount subscription or redemption, the fund manager can adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
10. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between the relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
5、 Valuation procedures
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each working day by the number of fund units on that day
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place
Errors are included in the fund assets. The fund manager can set up an emergency adjustment machine for net value accuracy in the case of large redemption
System. If the state has other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net value of the Fund assets and the net value of the Fund units on each working day and make an announcement as required.
2. The Fund Manager shall evaluate the assets of the Fund every working day. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. The Fund Manager's valuation of the Fund's assets on each working day
After that, the net value of fund units shall be sent to the Fund Custodian, and after the Fund Custodian has verified that there is no error, it shall be managed by the Fund
The manager shall publish it to the public as required.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When a valuation error occurs within 4 decimal places (including the 4th decimal place) of the net value of fund units
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It shall be deemed that the net value of fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
"Valuation error handling principle" shall pay compensation and bear compensation liability.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the liability for valuation error
Party A shall compensate the loss of the injured party, and shall, within the scope of the amount of compensation paid
People have the right to demand the delivery of unjust enrichment; If the party who has obtained the unjust enrichment has wronged this part
If the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of unjust gains it has received
The difference between the total return of interest and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
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(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.
7、 Suspension of valuation
1. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
8、 Recognition of net fund value
The fund manager is responsible for calculating the net value of the fund assets and the net value of the fund units, and the fund custodian is responsible for
to review. The Fund Manager shall calculate the net asset value and share of the Fund on each working day after the end of trading
The net amount shall be sent to the Fund Custodian. The fund custodian shall review and confirm the net value calculation result and send it to the fund
The Fund Manager shall publish the net value of the Fund as required.
9、 Handling of special cases
1. Errors caused by the Fund Manager and the Fund Custodian when conducting valuation according to Item 8 of the valuation method
The difference is not treated as an error in the valuation of fund assets.
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2. The relevant accounting system changes or
Due to other force majeure reasons, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and cooperative measures
The fund asset valuation error caused by the error was not found, and the fund management
The Fund Custodian and the Fund Custodian shall be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures
To eliminate or mitigate the impact caused thereby.
10、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net fund value information of the main pocket account, and suspend the disclosure of the net fund value information of the side pocket account.
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Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Unless otherwise specified by laws and regulations and the CSRC, the Fund Contract shall be
Information disclosure fees;
4. Accounting fees, attorney fees, arbitration fees and legal fees related to the Fund after the Fund Contract takes effect;
5. Expenses for the general meeting of fund share holders;
6. Securities trading fees of the Fund;
7. Bank transfer fees of the Fund;
8. Fund account opening fees and account maintenance fees;
9. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 0.3% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H ＝ E × 0.3% ÷ Days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
Fund management fees are accrued daily and paid monthly. Within 3 working days from the first day of the next month
Send the fund management fee transfer instruction to the fund custodian, which shall be reviewed by the fund custodian within 3 working days from
The fund property shall be paid to the fund manager in a lump sum. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, it shall be postponed to the latest payment date.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.1% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.1% ÷ days of the year
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H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. Within 3 working days from the first day of the next month
Send the fund custody fee transfer instruction to the fund custodian, which shall be reviewed by the fund custodian within 3 working days from
The fund assets shall be paid to the fund custodian in a lump sum. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, it shall be postponed to the latest payment date.
Items 3 to 9 of the above "I. Types of fund fees" shall be subject to relevant laws and regulations and corresponding agreements
Yes, it shall be included in the current expenses according to the actual amount of expenses, and the Fund Custodian shall participate in it according to the instructions of the Fund Manager
It shall be paid from the fund property according to the industry practice.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
Please refer to the prospectus or relevant announcements for details of fees and other fees.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
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Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value
Eh.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. If the Fund Contract takes effect less than 3 months ago, no income distribution is required;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or cash dividends automatically converted into fund shares for reinvestment; If the investor does not choose, the Fund will
The recognized income distribution method is cash dividends;
3. After the distribution of fund income, the net value of fund units cannot be lower than the par value; That is, on the base date of fund income distribution
The net value of fund units less the amount of income distribution per unit of fund units cannot be lower than the par value;
4. Each fund unit has the same right of distribution;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Provided that there is no material adverse effect on the interests of fund share holders, the Fund Manager may
The principle of income distribution shall be adjusted without convening a general meeting of fund share holders.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Information Disclosure Measures shall be announced in the designated media.
6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. When
When the investor's cash dividend is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund
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The registration institution may automatically convert the cash dividends of fund share holders into fund shares. Calculation of dividend reinvestment
Methods, in accordance with the Business Rules.
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the prospectus for details
Definitely.
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Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next accounting year
Year;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
It shall be confirmed in other ways agreed in the custody agreement or recognized by both parties.
2、 Annual audit of the Fund
1. The fund manager hires securities and futures that are independent of the fund manager and the fund custodian
Certified public accountants with relevant business qualifications and their certified public accountants shall review the annual financial statements of the Fund
Count.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced in the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
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Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Information about relevant laws and regulations
In case of any change in the disclosure provisions, the Fund shall comply with its latest provisions.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Fund Unitholders and other laws and regulations of the General Meeting and natural persons, legal persons and groups of non legal persons as stipulated by the CSRC
Woven.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and in accordance with the law
Disclose fund information in accordance with regulations and the provisions of the CSRC, and ensure the authenticity, accuracy
Completeness, timeliness, simplicity and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
The information is collected through the national newspapers and periodicals designated by the CSRC (hereinafter referred to as "designated newspapers and periodicals") and the designated Internet network
Website (hereinafter referred to as "designated website"), including fund manager website, fund custodian website, CSRC
Electronic disclosure website of the fund) and other media, and ensure that the fund investors can comply with the provisions of the Fund Contract
The time and method of consulting or copying publicly disclosed information.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If a foreign language text is used at the same time, the fund
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The text shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Yuan.
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5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund prospectus, summary of fund product information, Fund Contract, Fund Custody Agreement
Fund Unit Offering Announcement
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract and clarifies the basis
The rules and specific procedures for holding the general meeting of gold share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of vital interest.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders.
The fund product information summary is the summary document of the fund prospectus, which is used to provide investors with a concise
Fund profile. The Fund Manager shall prepare, disclose and
Update the summary of fund product information.
After the Fund Contract comes into force, the information in the Fund Prospectus and the Fund Product Data Summary has changed significantly
The Fund Manager shall, within three working days, update the Prospectus and the summary of the Fund's product information,
And published on the designated website, in which the summary of fund product information shall also be published on the website of the fund sales agency or
Business outlets; Except for major changes, fund prospectus, fund product data summary and other information
In case of any change, the Fund Manager shall update it at least once a year. If the Fund terminates its operation, the Fund Manager will no longer
Update the fund prospectus and fund product information summary.
3. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The Fund Manager shall prepare an announcement on the sale of fund units with respect to the specific matters concerning the sale of fund units.
After the fund raising application is registered with the CSRC, the fund manager shall,
Publish the fund unit offering announcement, the indicative announcement of the fund prospectus and the indicative announcement of the fund contract on
In designated newspapers and periodicals, the fund unit sales announcement, fund prospectus, fund product information summary, fund
The contract and fund custody agreement shall be published on the designated website, and the summary of fund product information shall also be published on the
Website or business outlets of gold sales institutions; The Fund Custodian shall simultaneously transfer the Fund Agreement and the Fund Custodian Agreement
It is recommended to publish on the designated website.
（2） Announcement on the Effectiveness of the Fund Contract
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The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC, publish the information in the designated newspapers and websites
The announcement on the effectiveness of the Fund Contract is published on.
（3） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be announced at least once a week on the designated website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of, disclose the fund shares on the opening day through the designated website, fund sales agency website or business outlet
Net value and cumulative net value of fund units.
The Fund Manager shall make an announcement on the designated website no later than the next day after the last day of the half year and the year
Net value of fund units and cumulative net value of fund units on the year and the last day of the year.
（4） Subscription and redemption price of fund units
The Fund Manager shall upload the base fund in the Fund Contract, Prospectus and other information disclosure documents
The calculation method of amount subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the sales agency looks up or copies the above information.
（5） Regular reports of the Fund, including annual reports, interim reports and quarterly reports (including
Quarterly portfolio report)
The Fund Manager shall complete the annual report of the Fund within three months from the end of each year
The annual report is published on the designated website, and the advisory announcement of the annual report is published on the designated newspaper. Fund year
The financial accounting report in the report shall be approved by an accounting firm with securities and futures related business qualifications
Audit.
The Fund Manager shall, within two months from the end of the first half of the year, prepare the interim report of the Fund and
The interim report is published on the designated website, and the indicative announcement of the interim report is published on the designated newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter,
Publish the quarterly report on the designated website, and publish the prompt announcement of the quarterly report on the designated newspaper.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the rights and interests of other investors, the fund manager shall at least report regularly on "influencing investors' decisions"
The category, holding shares and proportion at the end of the reporting period, and report of the investor are disclosed under "Other important information of the policy"
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Changes in shares held during the period and the unique risks of the Fund, except for special circumstances recognized by the CSRC.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
If the Information Disclosure Measures adjust the information disclosure requirements of the Fund's regular reports, the Fund management
I have the right to make corresponding adjustments in accordance with the latest regulatory requirements without convening a general meeting of fund share holders.
（6） Interim report
In case of any major event of the Fund, the relevant information disclosure obligor shall prepare an interim report as required and register
Published in the designated newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. The Fund Contract is terminated and the Fund is liquidated;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation, review and other matters of the Fund on its behalf;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The fund management company changes the shareholders holding more than 5% of the equity, and changes the actual control of the company
People;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior managers of the Fund Manager, the Fund Manager and the Special Fund Custodian Department of the Fund Custodian
The responsible person changes;
10. The directors of the Fund Manager have changed by more than 50% in the last 12 months;
11. The main business personnel of the Fund Manager and the Fund Custodian's special fund custody department have
The change exceeds 30% within six months;
12. Litigation or arbitration involving fund property, fund management business and fund custody business;
13. The fund manager or its senior managers or fund managers are subject to
Major administrative punishment and criminal punishment, and the fund custodian or the head of its special fund custody department
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Business related behaviors are subject to major administrative and criminal penalties;
14. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
15. Fund income distribution matters;
16. Accrual standards and methods of fund management fees, fund custody fees, subscription fees, redemption fees and other fees
And rate changes;
17. The valuation error of the net value of fund units reaches 0.5% of the net value of fund units;
18. The Fund begins to handle subscription and redemption;
19. The Fund is redeemed in large amount and postponed;
20. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
21. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
22. Major events involving adjustment of fund subscription and redemption events or potential impact on investors' redemption occur;
23. The Fund Manager adopts the swing pricing mechanism for valuation;
24. Adjust the setting of fund share categories;
25. The Fund launches new businesses or services;
26. The Fund has held fund shares for 30 consecutive working days, 40 consecutive working days and 45 consecutive working days
If the number of people is less than 200 or the net asset value of the fund is less than 50 million yuan, the fund contract may be
Remind of the uncertainty risk at the end of life;
27. The price that the Fund Information Disclosure Obligor believes may be paid to the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact or other matters specified by the CSRC.
（7） Clarification announcement
During the duration of the Fund Contract, any public media or market circulation
The interest may have a misleading impact on the price of fund shares or cause major fluctuations, and may damage the fund shares
If the rights and interests of the relevant information disclosure obligor are known, it shall immediately make public clarification on the information,
And immediately report the relevant information to the CSRC.
（8） Liquidation report
The fund assets liquidation group shall publish the liquidation report on the designated website and make the liquidation report suggestive
The announcement was published in the designated newspaper.
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（9） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund unit holders shall be reported to the CSRC for record and announced in accordance with the law.
（10） Information disclosure of asset-backed securities investment
The Fund Manager shall disclose the total amount of asset-backed securities held by it
The proportion of the market value of asset-backed securities in the net assets of the fund and the details of all asset-backed securities during the reporting period.
The Fund Manager shall disclose the total amount of asset-backed securities and asset-backed securities held by it in the quarterly report of the Fund
The proportion of the market value of securities in the net assets of the fund and the ranking by the proportion of the market value in the net assets of the fund at the end of the reporting period
Details of the top 10 asset-backed securities.
（11） Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws, regulations and fund contracts
And the prospectus. See the prospectus for details.
（12） Other information specified by the CSRC.
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The Fund Manager and the Fund Custodian shall strengthen the control over the undisclosed fund information and establish the fund
Sensitive information insider registration system. The fund manager, fund custodian and relevant practitioners shall not disclose
Publicly disclosed fund information.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
The disclosure content and format standards and other regulations.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net value of the fund, the purchase and redemption price of fund units, the regular report of the fund
Updated prospectus, fund product information summary, fund liquidation report and other publicly disclosed relevant fund letters
The interest shall be reviewed and examined, and confirmed in writing or electronically to the fund manager.
The Fund Manager and the Fund Custodian shall select the newspapers and periodicals that disclose information from the designated newspapers and periodicals
Just select a newspaper.
The Fund Manager and the Fund Custodian shall submit the information to be disclosed to the electronic disclosure website of the CSRC
Fund information, and ensure the authenticity, accuracy, integrity and timeliness of relevant information submitted.
In order to strengthen investor protection and improve the quality of information disclosure service, the fund manager shall
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From the date of the regulation, provide investors with timely information that has a significant impact on their investment decisions in accordance with the provisions of the CSRC
Information.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on investment
From the perspective of providing useful information when making decisions, we should ensure that investors are treated fairly, not mislead investors, and not affect the
Under the premise of normal investment operation, independently improve the quality of information disclosure services. The specific requirements shall meet the requirements of
Relevant regulations of China Securities Regulatory Commission. In case of any information disclosure fee arising from the aforesaid independent disclosure, such fee shall not be transferred from the fund property
Chinese listed.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
7、 Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
Regulations require that information be kept at the company's domicile for public reference and reproduction.
8、 Suspension or delay of information disclosure
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
1. The Fund Manager and the Fund Custodian are unable to accurately evaluate the Fund due to force majeure or other circumstances
The asset value;
2. When the securities market involved in the Fund's investment is suspended for legal holidays or other reasons;
3. Other circumstances stipulated by laws and regulations, the Fund Contract or the CSRC.
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Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The change of the fund contract involves the provisions of laws and regulations or this contract shall be approved by the fund share holders
If a resolution is passed at the meeting, a general meeting of fund unit holders shall be convened to pass the resolution. For laws and regulations
And the Fund Contract agree that the Fund Manager shall
And the Fund Custodian, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract must be reported to the CSRC for filing,
The resolution shall take effect from the date of voting and shall not be implemented until it takes effect. The resolution shall be designated within two days after the resolution takes effect
Media announcements.
2、 Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days or
The number of fund unit holders is less than 200 for 50 consecutive working days;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers with securities and futures related business qualifications, and those designated by the CSRC
Personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
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(1) In case of termination of the Fund Contract, the Fund Asset Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
4、 Liquidation expenses
Liquidation expenses refer to all contracts incurred by the fund assets liquidation team in the process of fund assets liquidation
The fund assets liquidation team shall pay the management fees and liquidation fees from the remaining assets of the fund in priority.
5、 Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The fund asset liquidation group shall make an announcement within 5 working days. The fund assets liquidation group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
7、 Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
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Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
As stipulated in laws and regulations or the Fund Contract, losses are caused to fund assets or fund unit holders
Those who have caused damage shall be liable for compensation according to law for their respective acts; Fund assets or funds due to joint action
If the holder of the gold share causes damage, he shall bear joint and several liability for compensation, and the compensation for the loss shall be limited to direct
Losses. However, in the following cases, the corresponding parties shall be exempted from liability:
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.
2、 To protect the interests of fund share holders to the greatest extent in the event of breach of contract by one or more parties
If the Fund Contract can continue to be performed, it shall continue to be performed. The non defaulting party is in office
Within the scope of responsibility, it is obliged to take necessary measures in time to prevent the expansion of losses. Failure to take appropriate measures resulted in
If the loss is further expanded, no claim may be made for compensation for the expanded loss. The non defaulting party paid for preventing the loss from expanding
The reasonable expenses incurred shall be borne by the defaulting party.
3、 Due to factors beyond the control of the Fund Manager and the Fund Custodian, business errors occur
Although the Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they fail to
The Fund Manager and the Fund Custodian will be exempted from compensation for the loss of the Fund property or investors caused by the discovery of errors
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate this
The impact of success.
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Part XXI Dispute Settlement and Applicable Law
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, either party has the right to submit the dispute to China International Economic and Trade Arbitration
The Arbitration Commission shall conduct arbitration in accordance with its arbitration rules in force at that time. The place of arbitration shall be Beijing. Arbitral award
The decision is final and binding on all parties. The arbitration fee and attorney fee shall be borne by the losing party.
During the dispute settlement period, the parties concerned shall strictly abide by the responsibilities of the Fund Manager and the Fund Custodian
Continue to faithfully, diligently and responsibly perform the obligations specified in the Fund Contract and the Custody Agreement, and maintain the Fund shares
The legal rights and interests of the holder.
The Fund Contract shall be governed by the laws of China.
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Part XXII Effect of Fund Contract
The Fund Contract is a legal document that stipulates the rights and obligations between the parties to the Fund Contract.
1. The Fund Contract has been sealed by the Fund Manager and the Fund Custodian, and the legal representatives or
The authorized representative shall sign or seal and handle the fund filing with the CSRC through the fund manager after the end of the offering
The procedures shall come into force upon the written confirmation of the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
The date of filing and announcement.
3. From the effective date of the Fund Contract
All parties to the Fund Contract, including persons, shall have the same legal binding force.
4. The original of the Fund Contract is in triplicate. In addition to one copy submitted to the relevant regulatory authority, the Fund Manager
The Fund Custodian shall hold one copy each with the same legal effect.
5. The Fund Contract can be printed in a volume for investors to use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.
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Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall consult with each other in accordance with relevant laws and regulations
It shall be settled through negotiation.
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Part XXIV Summary of the Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
（1） Profile of the Fund Manager
Name: ABC Huili Fund Management Co., Ltd
Domicile: Floor 50, No. 9, Yincheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Xu Jinchao
Date of establishment: March 18, 2008
Establishment approval authority and establishment approval document number: CSRC approval
[2008] No. 307
Organizational form: limited liability company
Registered capital: RMB 1750000001
Duration: continuous operation
Tel: 021-61095588
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
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(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise relevant rights against the invested company for the benefit of the Fund in accordance with laws and regulations, and for the benefit of the Fund
To exercise the rights arising from the investment of the Fund's assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(16) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion and non trading transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
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The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare regular reports of the Fund;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
And reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, except for circumstances required by external professional consultants such as audit and law consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
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Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the raising period, and the Fund Contract cannot
Effective, the fund manager shall bear all the raising costs, and add the raised funds to the current deposit interest of the bank for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（3） Profile of Fund Custodian
Name: China Minsheng Bank Co., Ltd
Registered address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Office address: No.2 Fuxingmennei Street, Xicheng District, Beijing
Postal code: 100031
Legal representative: Gao Yingxin
Date of establishment: February 7, 1996
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2004] No. 101
Organizational form: other limited liability companies (listed)
Registered capital: RMB 28365585227
Duration: continuous operation
（4） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
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The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with the relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund,
Clearing securities trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions
Use the fund assets to seek benefits for themselves and any third party, and may not entrust a third party to trust the fund assets;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract and the Custody Agreement, the Fund Manager shall handle the clearing and payment in a timely manner according to the investment instructions of the Fund Manager
Cutting matters;
(7) Keep fund business secrets, except for the Fund Law, the Fund Contract, the Custody Agreement and others
Unless otherwise specified in relevant regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except for the circumstances required by external professional consultants such as the designer and the legal consultant;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports of the Fund and the regular reports of the Fund, stating that the Fund Manager
Whether the operation of important aspects is carried out in strict accordance with the provisions of the Fund Contract and the Custody Agreement; If the fund
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If the manager fails to implement the provisions of the Fund Contract and the Custodian Agreement, it shall also explain the Fund Custodian
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the fund manager's
Investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And bank regulators, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（5） Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund investor will become the fund share holder and the fund investor will become the fund share holder
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
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Unless otherwise stipulated by laws and regulations or the fund contract, each fund share is equally legal
Equity.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
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The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Unless otherwise stipulated by laws and regulations or the Fund Contract
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights.
The National People's Congress of the holders of Fund units of the Fund does not set up daily institutions.
（1） Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be convened, but
Unless otherwise stipulated by laws and regulations, the CSRC and the Fund Contract:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate, lower the redemption rate, increase, cancel or adjust the fund shares
Category setting or change of charging method;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
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(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, transfer of custody, transfer of fund units, etc;
(6) The Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
3. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days or
If the number of fund unit holders is less than 200 for 50 consecutive working days, the Fund Manager shall terminate
Gold contract, and carry out liquidation in accordance with the agreed procedures of the Fund Contract, without the need to convene fund share holders
Deliberation by the General Assembly.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
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The Fund Manager shall be convened and notified within 60 days from the date of the announcement, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. The convener shall, 30 days before the convening of the general meeting of fund unit holders
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
（4） Ways of Fund Unitholders Attending the Meeting
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The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
Other methods allowed by the institution shall be adopted, and the convening method of the meeting shall be determined by the convener.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund shares shall not be less than 50% (including 50%) of the total fund shares of the Fund on the equity registration date. If to
The effective fund shares represented by the participants on the equity registration date are less than the total fund shares of the Fund on the equity registration date
50%, the convener may, three months after the time of the original announcement of the general meeting of fund unit holders
The general meeting of fund unit holders shall be reconvened within six months on the matters originally scheduled for consideration. Fund units reconvened
The effective fund units represented by the attendees of the general meeting of shareholders on the equity registration date shall not be less than the equity of the Fund
One third (including one third) of the total fund shares on the registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other forms specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other forms specified in the notice of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
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The fund shares held by someone shall not be less than 50% (including 50%) of the total fund shares on the equity registration date; If this
The fund share holders who directly issue voting opinions or authorize others to issue voting opinions on their behalf
If the fund shares are less than 50% of the total fund shares on the equity registration date, the convener may hold
Within 3 months and 6 months after the time of the general meeting, the funds will be reconvened on the matters originally scheduled for consideration
General meeting of holders. The reconvened general meeting of fund unit holders shall have more than one-third (including three
1/) The holders of fund units directly issue voting opinions or authorize others to issue voting opinions on behalf of them;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet or telephone
Or in other ways, the fund share holders can use written, online, telephone, SMS or other ways
The specific method of voting shall be determined by the convener of the meeting and listed in the notice of the meeting.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf, the authorization may be in writing
In face, network, telephone, SMS or other ways, the specific way shall be listed in the meeting notice.
（5） Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the shareholders' meeting (laws and regulations, otherwise stipulated by the CSRC or the Fund Contract)
Unless otherwise agreed).
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine in accordance with the procedures specified in Article (7) below
And announce the scrutineers, and then the presider of the meeting reads out the proposal. After discussion, the proposal is voted and the resolution of the meeting is formed
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Discussion. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
In case of presiding over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the fund manager
If neither the authorized representative nor the authorized representative of the Fund Custodian can preside over the meeting, the fund shares attending the meeting shall hold
More than 50% (including 50%) of the voting rights held by persons and agents shall elect a fund share holder to act as
As the host of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or preside over the meeting
The General Meeting of Fund Unitholders shall not affect the validity of the resolutions made by the General Meeting of Fund Unitholders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than 50% (including 50%) of the voting rights shall be valid; Except as provided in item 2 below, special decision shall be taken
Matters other than those passed by the conference shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. In addition to laws and regulations, China Securities Regulatory Commission
Or unless otherwise specified in the fund contract, change the operation mode of the fund, change the fund manager or fund custodian
The termination of the Fund Contract and the merger of the Fund with other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total fund shares represented by the fund share holders who issue the voting opinions
Number.
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The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
（8） Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the designated media within 2 days from the effective date. If using
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Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the full text of the notarial certificate
The name of the certification authority and the notary shall be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
（9） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
50% (including 50%) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund shares held by the holder shall not be less than 50% (including 50%) of the relevant fund shares on the equity registration date;
4. If the fund unit holders who participate in the voting of the general meeting of fund unit holders hold small fund units
On the equity registration date, 50% of the relevant fund units will be called by the convener at the original announced fund unit holders' meeting
Fund unit holders reconvened within 6 months and 3 months after the opening date on the matters originally scheduled for review
There should be holders representing more than one-third (including one-third) of the relevant fund units participating in or authorizing him
Participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to 50% of the voting rights held by fund share holders or their proxies attending the meeting
More than 50% passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters to be considered at the general meeting of fund share holders involve the main pocket account and the side pocket account
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The fund share holders of the main pocket account and the side pocket account shall vote respectively
Each fund share in the fund has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account
No voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The relevant provisions of this part shall apply to those not specified in this section.
（10） This part deals with the causes, conditions, procedures and tables of the general meeting of fund unit holders
Prerequisites and other provisions, which directly refer to laws, regulations or regulatory rules, such as future laws, regulations or regulatory rules
If the amendment of the management rules results in the cancellation or change of the relevant contents, the Fund Manager shall reach an agreement with the Fund Custodian through consultation
After the announcement in advance, the content of this part can be modified and adjusted directly without the need to convene fund share holders
Deliberation by the General Assembly.
3、 Fund income distribution principle and implementation method
（1） Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value
Eh.
（2） Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
（3） Principle of fund income distribution
1. If the Fund Contract takes effect less than 3 months ago, no income distribution is required;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or cash dividends automatically converted into fund shares for reinvestment; If the investor does not choose, the Fund will
The recognized income distribution method is cash dividends;
3. After the distribution of fund income, the net value of fund units cannot be lower than the par value; That is, on the base date of fund income distribution
The net value of fund units less the amount of income distribution per unit of fund units cannot be lower than the par value;
4. Each fund unit has the same right of distribution;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Provided that there is no material adverse effect on the interests of fund share holders, the Fund Manager may
The principle of income distribution shall be adjusted without convening a general meeting of fund share holders.
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（4） Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
（5） Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Information Disclosure Measures shall be announced in the designated media.
（6） Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. When
When the investor's cash dividend is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund
The registration institution may automatically convert the cash dividends of fund share holders into fund shares. Calculation of dividend reinvestment
Methods, in accordance with the Business Rules.
（7） Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the prospectus for details
Definitely.
4、 Withdrawal, payment method and proportion of expenses related to fund property management and utilization
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Unless otherwise specified by laws and regulations and the CSRC, the Fund Contract shall be
Information disclosure fees;
4. Accounting fees, attorney fees, arbitration fees and legal fees related to the Fund after the Fund Contract takes effect;
5. Expenses for the general meeting of fund share holders;
6. Securities trading fees of the Fund;
7. Bank transfer fees of the Fund;
8. Fund account opening fees and account maintenance fees;
9. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
（2） Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
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The management fee of the Fund is accrued at the annual fee rate of 0.3% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H ＝ E × 0.3% ÷ Days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
Fund management fees are accrued daily and paid monthly. Within 3 working days from the first day of the next month
Send the fund management fee transfer instruction to the fund custodian, which shall be reviewed by the fund custodian within 3 working days from
The fund property shall be paid to the fund manager in a lump sum. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, it shall be postponed to the latest payment date.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.1% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.1% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. Within 3 working days from the first day of the next month
Send the fund custody fee transfer instruction to the fund custodian, which shall be reviewed by the fund custodian within 3 working days from
The fund assets shall be paid to the fund custodian in a lump sum. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, it shall be postponed to the latest payment date.
Items 3-9 of the above "(I) Types of fund fees" shall be paid according to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, and the Fund Custodian shall, according to the instructions of the Fund Manager
It shall be paid from the fund property according to the industry practice.
（3） Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
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Objective.
（4） Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
Please refer to the prospectus or relevant announcements for details of fees and other fees.
（5） Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
5、 Investment direction and investment restrictions of the Fund assets
（1） Investment objectives
The Fund mainly invests in bond varieties to strictly control risks and pursue long-term stability of fund assets
On the basis of, strive to obtain investment returns higher than the performance benchmark, and provide long-term stable returns for investors
Newspaper.
（2） Investment scope
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Government bonds, financial bonds, corporate bonds, corporate bonds, local government bonds, central bank notes, medium-term notes, assets
Supporting securities, government supported institutional bonds, short-term financing bonds, bond repurchase, time deposits, negotiated deposits
Inter bank deposit receipts and other financial instruments permitted by laws and regulations or the CSRC to be invested by the fund, provided that they meet the requirements of
Relevant regulations of China Securities Regulatory Commission.
The Fund does not invest in stocks and other assets.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform appropriate
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment portfolio is: the proportion of bond assets in the Fund's assets is not less than 80%
The proportion of government bond investment held in cash or maturing within one year is not lower than the net asset value of the fund
5%, of which, cash assets do not include settlement provisions, deposits, purchase receivables, etc.
If the relevant provisions of the laws and regulations are changed or allowed by the regulatory authority, the Fund Manager shall perform the appropriate
After the procedure, the above asset allocation proportion can be adjusted.
（3） Investment restrictions
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1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's bond assets in the Fund's assets shall not be less than 80%;
(2) Keep no less than 5% of the net asset value of the fund in cash or government bonds with maturity within one year
Securities, of which cash assets do not include 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 hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20%, except for special varieties specified by the CSRC;
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of the asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall be re evaluated
All of them will be sold within 3 months from the date of release of the level report;
(10) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed
40% of the net asset value of gold, and the maximum term of bond repo in the national inter-bank market is one year,
No extension is allowed after the maturity of bond repurchase;
(11) The total value of fund assets shall not exceed 140% of the net value of fund assets;
(12) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net assets of the Fund
15% of the value; Due to factors other than 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;
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(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 this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or change the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the changed provisions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Make capital contributions to its fund manager and fund custodian;
(5) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(6) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
If laws and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the Fund's investment is not subject to the above provisions or the changed provisions
Shall prevail.
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6、 Calculation method and announcement method of fund net asset value
（1） Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
（2） Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with
Accounting Standards and relevant regulations of regulatory authorities.
1. For investment varieties with active market and the same asset or liability quotation available
If there is a quotation, the quotation shall be applied to the asset without adjustment, except for the exceptions specified in the accounting standards
Or fair value measurement of liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the most recent transaction date
In case of major events, the quoted price on the latest trading day shall be used to determine the fair value. There is sufficient evidence to show that the valuation date
Or if the quotation on the latest trading day cannot truly reflect the fair value, the quotation shall be adjusted to determine the fair price
Value.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
And consider the influence of different characteristic factors in the valuation technology. Feature refers to the sale or use of assets
If the limit is for the asset holder, the limit should not be made in the valuation technology
Consider the characteristics. In addition, the fund manager should not consider the risk of
Premium or discount.
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 net valuation price of the corresponding varieties on the current day provided by the third-party valuation agency.
(2) For the fixed income varieties with rights listed on the exchange market or listed for transfer, select the third
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The only estimated net price or the recommended estimated net price of the corresponding variety on the current day provided by the valuation agency.
(3) For asset-backed securities listed and transferred in the exchange market, when there is no active market on the valuation date
The fair value is determined by valuation techniques for valuation. If the cost can approximately reflect the fair value, it should continue
Evaluate the appropriateness of the above practices and make appropriate adjustments when the situation changes.
2. The securities in the unlisted period shall be handled according to the following circumstances:
For unlisted or unlisted bonds issued in the exchange market, for active markets
Next, the unadjusted quotation in the active market shall be taken as the fair value on the measurement date for valuation; For Active
If the market quotation fails to represent the fair value on the measurement date, the market quotation shall be adjusted to confirm the measurement
The fair value on the date; In the case of no or few market activities, valuation techniques are used
Determine the fair value.
3. The fixed income varieties without rights in the national inter-bank market are provided by third-party valuation agencies
The estimated net price of the corresponding variety on the current day. For the types of fixed income with rights in the inter-bank market
The only or recommended net valuation price of the corresponding variety provided by the third-party valuation agency on the current day. For with
The fixed income variety of the investor's right to sell back, and the right to sell back is not exercised after the deadline (including the date) of the registration period
The valuation is based on the price corresponding to the long outstanding period. Unlisted in the inter-bank market and third-party valuation agencies
For bonds without valuation price, there is no significant difference between the issuance interest rate and the secondary market interest rate
If there is no significant change in the inter market interest rate, it shall be valued at cost.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. Valuation method of deposits
Time deposits or call deposits held by banks are listed as principal, and the total interest listed according to the deposit agreement
Or the agreed interest rate accrues interest every natural day. In case of early withdrawal or interest rate change, account adjustment shall be carried out as required
Whole.
6. The Fund's investment in inter-bank deposit receipts is valued at the net valuation price provided by a third-party valuation agency on the valuation date;
If the selected third-party valuation agency does not provide a valuation price, it shall be valued at cost.
7. The Fund may adopt the valuation provided by a third-party valuation agency in accordance with the above fair value determination principles
Price data.
8. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
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Value.
9. In case of large amount subscription or redemption, the fund manager can adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
10. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between the relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
（4） Announcement method of fund net value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be announced at least once a week on the designated website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of, disclose the fund shares on the opening day through the designated website, fund sales agency website or business outlet
Net value and cumulative net value of fund units.
The Fund Manager shall make an announcement on the designated website no later than the next day after the last day of the half year and the year
Net value of fund units and cumulative net value of fund units on the year and the last day of the year.
7、 Causes and procedures for the dissolution and termination of the Fund contract and the liquidation method of the Fund assets
（1） Changes to the Fund Contract
1. The change of the fund contract involves the provisions of laws and regulations or this contract shall be approved by the fund share holders
If a resolution is passed at the meeting, a general meeting of fund unit holders shall be convened to pass the resolution. For laws and regulations
And the Fund Contract agree that the Fund Manager shall
And the Fund Custodian, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract must be reported to the CSRC for filing,
The resolution shall take effect from the date of voting and shall not be implemented until it takes effect. The resolution shall be designated within two days after the resolution takes effect
Media announcements.
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（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. After the Fund Contract comes into effect, if the net asset value of the Fund is less than 50 million yuan for 50 consecutive working days or
The number of fund unit holders is less than 200 for 50 consecutive working days;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers with securities and futures related business qualifications, and those designated by the CSRC
Personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Asset Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
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（4） Liquidation expenses
Liquidation expenses refer to all contracts incurred by the fund assets liquidation team in the process of fund assets liquidation
The fund assets liquidation team shall pay the management fees and liquidation fees from the remaining assets of the fund in priority.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The fund asset liquidation group shall make an announcement within 5 working days. The fund assets liquidation group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
8、 Dispute resolution
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, either party has the right to submit the dispute to China International Economic and Trade Arbitration
The Arbitration Commission shall conduct arbitration in accordance with its arbitration rules in force at that time. The place of arbitration shall be Beijing. Arbitral award
The decision is final and binding on all parties. The arbitration fee and attorney fee shall be borne by the losing party.
During the dispute settlement period, the parties concerned shall strictly abide by the responsibilities of the Fund Manager and the Fund Custodian
Continue to faithfully, diligently and responsibly perform the obligations specified in the Fund Contract and the Custody Agreement, and maintain the Fund shares
The legal rights and interests of the holder.
The Fund Contract shall be governed by the laws of China.
9、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in a volume for investors to register with the Fund Manager, Fund Custodian and Sales Agency
For office and business premises.
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(There is no text on this page, which is the signature page of the Fund Contract of ABC Huili Jinshuo Bond Securities Investment Fund)
Fund manager: ABC Huili Fund Management Co., Ltd. (seal)
Legal representative or authorized representative (signature or seal):
Signed at:
Signed on:
Fund Custodian: China Minsheng Bank Co., Ltd. (seal)
Legal representative or authorized representative (signature or seal):
Signed at:
Signed on: