Shenwanlingxin Fund Management Co., Ltd. Shenwanlingxin Juyuanbao Bond Securities Investment Fund Unit Offering Announcement
Fund Manager: Shen Wanlingxin Fund Management Co., Ltd
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
December, 2020
Important tips
1. The raising of Shenwanling Xinyuyuanbao Bond Securities Investment Fund (hereinafter referred to as "the Fund") has been registered with the CSRC's ZJXK [2020] No. 2432 document on September 28, 2020. The registration of the Fund raised by the CSRC does not mean that it makes substantive judgments or guarantees on the investment value and market prospects of the Fund, nor does it mean that there is no risk in investing in the Fund.
2. The Fund is a contractual open-ended and bond securities investment fund.
3. The fund manager and registration authority of the Fund are Shen Wanlingxin Fund Management Co., Ltd. (hereinafter referred to as "the Company"), and the fund custodian is Shanghai Pudong Development Bank Co., Ltd.
4. The Fund is intended for individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, as well as other investors permitted by laws and regulations or the CSRC to purchase securities investment funds.
5. From December 15, 2020 to December 29, 2020, the Fund will be publicly sold through the direct sales channels of Shenwanlingxin Fund Management Co., Ltd. (hereinafter referred to as "the Company") and the sales outlets of each sales agency. The Fund Manager may terminate in advance or appropriately extend the offering time and make a timely announcement according to the subscription conditions, but the maximum period shall not exceed three months. In case of emergencies, the arrangement of the above fund raising period can also be adjusted appropriately.
6. An investor subscribing to the Fund units of the Fund shall open an open-ended fund account of Shenwanlingxin Fund Management Co., Ltd. During the raising period, investors can handle the account opening and subscription procedures through the business outlets of the fund manager and other sales institutions.
7. Investors need to open "fund account" and "transaction account" to go through the subscription procedures of the Fund. Investors can open transaction accounts in different sales institutions, but each investor is allowed to open only one fund account. If an investor repeatedly opens a fund account at a different sales agency, resulting in a subscription failure, the Fund Manager and the selling institute on a commission basis will not be responsible for the failure of the subscription. If an investor purchases the fund units of the Fund at a sales institution other than the one that has opened the fund account, he/she needs to handle "opening an additional trading account" at the sales outlet on a commission basis before subscribing to the fund units of the Fund. Individual investors must handle the account opening and subscription procedures in person. After completing the procedures of opening an account and subscription, the investor shall go to the sales outlets to inquire about the confirmation results in a timely manner.
8. The application procedures for subscription of the Fund units may be handled at the same time as the Fund account is opened.
9. When an investor subscribes for Class A fund units of the Fund, the subscription fee shall be borne by the investor of Class A fund units, not included in the fund property, but mainly used for various expenses incurred during fund raising such as fund marketing, sales and registration. When an investor subscribes for Class C fund units of the Fund, no subscription fee will be charged, and the registration authority will calculate the subscription units according to the single subscription amount.
10. The minimum amount of the first single subscription of the investor in other sales institutions is RMB 1 (including the subscription fee, the same below), and the minimum amount of the additional single subscription is RMB 1. The minimum amount of an investor's first single subscription in the direct marketing center is 10 yuan, and the minimum amount of additional subscription is 10 yuan.
The Fund Manager does not set a ceiling on the cumulative subscription amount of a single investor during the offering period. However, if the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds 50% of the total fund units, the Fund Manager may limit the subscription application of such investor by means of proportion confirmation. If the Fund Manager accepts a certain subscription application or some subscription applications that may lead a single investor to evade the above 50% ratio requirement in disguised form, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
The Fund may set a ceiling on the size of the offering, and the specific ceiling and scale control scheme are detailed in the fund unit offering announcement or other announcements.
11. Investors may subscribe for the Fund units several times during the offering period, and the subscription fee shall be calculated separately for each subscription application. Once the subscription application is accepted, it cannot be revoked. The Fund Manager may adjust the limit of subscription amount in accordance with the provisions of relevant laws and regulations and market conditions. The Fund Manager shall, at the latest before the implementation of the adjustment, make an announcement on the designated media in accordance with the relevant provisions of the Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as the "Information Disclosure Measures").
When subscribing, the investor shall prepare the full amount of subscription in the manner specified by the sales agency.
12. The acceptance of the subscription application by the fund sales agency does not mean that the application is necessarily successful, but only that the sales agency has actually received the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration authority. For the subscription application and the confirmation of subscription shares, investors should timely inquire and properly exercise their legal rights, otherwise, any losses incurred by investors should be borne by investors themselves.
13. This announcement only explains the matters and regulations related to the Fund raising. If investors want to know the details of the Fund, please read the Prospectus of Shenwanling Trust Juyuanbao Bond Securities Investment Fund (hereinafter referred to as the "Prospectus") and other relevant legal documents in detail.
14. The fund contract, prospectus, custody agreement and this announcement of the Fund will also be published on the Company's website (www.swsmu. com). Investors can also download the fund business application form and learn about the fund raising through the company's website.
15. See the relevant business announcements of the selling institutions on a commission basis for the business outlets, account opening and subscription of the Fund sold by the selling institutions on a commission basis.
16. During the offering period, the Fund may add new sales agencies. Please pay attention to the recent announcements of the Company and the sales agencies, or call the customer service hotline of the Company and the sales agencies.
17. The Company may make appropriate adjustments to the fund raising arrangements based on various circumstances and make public announcements.
18. Risk warning
The Fund invests in the securities and futures markets, and the net value of the Fund will fluctuate due to the fluctuation of the securities and futures markets. Before investing in the Fund, investors need to fully understand the product characteristics of the Fund, and bear all kinds of risks arising from the investment of the Fund, including the systematic risks arising from the impact of political, economic, social and other environmental factors on the securities price, Non systematic risks unique to individual securities, liquidity risks arising from the continuous massive redemption of funds by fund investors, fund management risks arising from the implementation of fund management by fund managers, credit risks, unique risks of the Fund, and risks related to the Fund entering the liquidation period. The main risks that the Fund may face are detailed in the "Risk Disclosure" section of the Prospectus.
The fund manager suggests that investors should choose their own fund products according to their own risk return preferences and hold them in the medium and long term.
There are risks in investment. Before making investment decisions, investors should carefully read the Fund's prospectus, fund contract, fund product information summary and other information disclosure documents, independently judge the investment value of the Fund, make investment decisions and bear investment risks. Investors enjoy the return of the fund according to their shares, but they also need to bear the corresponding investment risks. The Fund is a bond fund, whose expected risk and expected return are lower than those of equity and hybrid funds, and higher than those of money market funds.
The Fund Manager reminds investors of the principle of "buyer's responsibility" for fund investment. After investors make investment decisions, the investment risks caused by changes in the operation status of the fund and the net value of the fund shall be borne by the investors themselves. The past performance of the Fund does not predict its future performance, and the performance of other funds managed by the Fund Manager does not constitute a guarantee for the performance of the Fund.
The number of fund units held by a single investor of the Fund shall not reach or exceed 50% of the total number of fund units, except that the number of fund units passively reaches or exceeds 50% due to redemption of fund units and other circumstances during the operation of the Fund. If laws and regulations or regulatory agencies have other provisions, such provisions shall prevail.
The Fund Manager shall manage and use the assets of the Fund in accordance with the principles of due diligence, honesty and credit, but does not guarantee that the Fund will be profitable or the minimum return.
Part I Basic Information of the Offering
1、 Fund name
Shen Wanling Xinyuyuanbao Bond Securities Investment Fund
Fund abbreviation: Shenwanling Xinyuanbao Bond
Class A unit fund code: 010974; Code of Class C unit fund: 010975
2、 Fund operation mode
Contractual and open
3、 Fund type
Bond securities investment fund
4、 Duration of the Fund
Irregular
5、 Type of Fund Units
The Fund divides the Fund units into different categories according to the different collection methods of subscription fees, subscription fees and sales service fees.
When investors subscribe/subscribe, they collect subscription/subscription fees and no longer withdraw sales service fees from the fund assets of this category, which are called Class A fund units; If no subscription/subscription fee is charged, but the sales service fee is withdrawn from the fund assets of this category, it is called Class C fund shares.
The codes of Class A and Class C fund units of the Fund are set respectively. Due to the difference of fund fees, the net value of fund units will be calculated and announced separately for Class A fund units and Class C fund units of the Fund.
Investors can choose the types of fund units to subscribe or subscribe for by themselves.
The Fund Manager may adjust the minimum amount limit and rules for subscribing/subscribing various fund units. Without violating the provisions of laws and regulations, the Fund Contract and having no material adverse impact on the interests of fund share holders, the Fund Manager may, upon consensus with the Fund Custodian, adjust the setting of fund share categories, the classification methods and rules of fund shares, or adjust the subscription rate, change the charging method or lower the redemption rate of the Fund, It is not necessary to hold a general meeting of shareholders, but the Fund Manager must publish an announcement on the designated media in accordance with the provisions of the Information Disclosure Measures before the date of implementation of the adjustment.
6、 Fund unit par value
The initial face value of the Fund units is RMB 1.00, which is sold at the initial face value.
7、 Raising scale
The minimum total number of units raised by the Fund is 200 million, and the amount raised by the Fund is not less than 200 million yuan.
8、 Raising objects
Individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
9、 Confirmation of subscription
The acceptance of the subscription application by the fund sales agency does not mean that the application is necessarily successful, but only that the sales agency has actually received the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration authority. For the subscription application and the confirmation of subscription shares, investors should timely inquire and properly exercise their legal rights, otherwise, any losses incurred by investors should be borne by investors themselves.
10、 Sales organization
For details, please refer to "Part VII, III, Sales Organization" of this unit offering announcement.
11、 Raising schedule
The raising period of the Fund is from December 15, 2020 to December 29, 2020. The Fund Manager may terminate in advance or appropriately extend the offering time and make a timely announcement according to the subscription conditions, but the maximum period shall not exceed three months. In case of emergencies, the arrangement of the above fund raising period can also be adjusted appropriately.
12、 Fund subscription method and rate
1. The initial face value of the Fund units is RMB 1.00, which is sold at the initial face value.
2. Subscription fees for fund units
(1) The Fund implements different subscription rates for pension customers who subscribe for Class A fund shares through the fund manager's direct marketing center and other investors, and implements specific subscription rates for pension customers who subscribe for Class A fund shares through the direct marketing center.
Pension clients refer to the supplementary pension funds formed by the funds raised from the basic pension funds and legally established pension plans and their investment and operation income, including the national social security funds, local social security funds that can invest in funds, enterprise annuity single plans and collective plans, specific client asset management plans entrusted by the enterprise annuity council Enterprise annuity and pension products. If a new type of pension fund approved by the pension fund supervision department appears in the future, the fund manager will include it in the scope of pension customers when the prospectus is updated or issue a temporary announcement, and file it with the CSRC as required. Non pension customers refer to other investors who subscribe through the fund manager's direct marketing center, except for the elderly pension customers.
The subscription fees for Class A fund units shall be borne by the investors of Class A fund units, and shall not be included in the fund property. They are mainly used for various expenses incurred during fund raising, such as fund marketing, sales and registration.
The subscription rate of Class A fund units of the Fund is as follows:
Subscription amount (yuan) Specific subscription rate Subscription rate
0.18% 0.60% below 1 million
1 million (inclusive)~3 million 0.12% 0.40%
3 million (inclusive)~5 million 0.06% 0.20%
More than 5 million yuan (inclusive) 300 yuan/transaction 1000 yuan/transaction
(2) There is no subscription fee for Class C fund units of the Fund.
3. Calculation of subscribed shares
(1) Calculation of Subscription Units of Class A Fund Units
The subscription fee for Class A fund units of the Fund adopts the front-end charging mode, that is, investors pay the subscription fee when subscribing for the Fund. The registration authority shall determine the rate applicable to each subscription based on the actual confirmed amount of each subscription and calculate it separately.
When the subscription fee is applicable to the proportional rate, the calculation method of subscription shares is as follows:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=subscription amount - net subscription amount
Subscription unit=(net subscription amount+interest of subscription fund)/initial face value of fund unit
When the subscription fee is a fixed amount, the calculation method of subscription shares is as follows:
Subscription fee=fixed amount
Net subscription amount=subscription amount - subscription fee
Subscription unit=(net subscription amount+interest of subscription fund)/initial face value of fund unit
The calculation result of the net subscription amount and subscription units shall be retained to two decimal places, and the part after the two decimal places shall be rounded off. The gains or losses arising from the error shall be borne by the fund property.
For example:
Assuming that an investor (not a pension client) subscribes for Class A fund shares of the Fund, the subscription amount is 10000 yuan, and the subscription rate is 0.60%, assuming that the interest earned by the subscription fund during the raising period is 35.50 yuan and the subscription is fully confirmed, the fund shares available to him are calculated as follows:
Net subscription amount=10000/(1+0.60%)=9940.36 yuan
Subscription fee=10000-9940.36=59.64 yuan
Subscription shares=(9940.36+35.50)/1.00=9975.86
That is, the investor (not a pension client) invested 10000 yuan to subscribe for the Fund's Class A fund shares, with the subscription rate of 0.60%. Assuming that the interest earned by the subscription funds during the raising period is 35.50 yuan, the number of Class A fund shares obtained by the investor (not a pension client) after the end of the fund sale is 9975.86.
(2) Calculation of subscription units of Class C fund units
No subscription fee will be charged for subscribing Class C fund units of the Fund, and the registration authority will calculate the subscription units according to the amount of a single subscription.
Subscription unit=(subscription amount+interest of subscription fund)/initial face value of fund unit
The calculation results of subscription units shall be rounded to two decimal places, and the gains or losses arising from such errors shall be borne by the fund property.
For example:
Assuming that an investor subscribes for Class C fund units of the Fund with a subscription amount of 10000 yuan, and assuming that the interest on the subscription funds during the raising period is 35.50 yuan and that all the subscriptions are confirmed, the fund units available to him are calculated as follows:
Subscription shares=(10000+35.50)/1.00=10035.50
That is, the investor invests 10000 yuan to subscribe for Class C fund units of the Fund. Assuming that the interest earned on the subscription funds during the raising period is 35.50 yuan, the number of Class C fund units obtained by the investor after the sale of the Fund is 10035.50.
Part II Sale Methods and Relevant Regulations
1、 During the sale period of the Fund, the Company will sell the Fund to institutional investors and individual investors through direct sales channels and outlets of all sales agencies. The Company's direct sales channels include Shanghai Direct Sales Center, Beijing Branch, Guangzhou Branch and direct online trading platform.
2、 Investors may subscribe for the Fund units several times during the offering period, and the subscription fee shall be calculated separately for each subscription application. Once the subscription application is accepted, it cannot be revoked.
3、 The interest generated from the effective subscription amount of the Fund during the fund raising period will be converted into fund units after the Fund Contract comes into effect, and will belong to the fund unit holders. The specific amount of interest transfer shares shall be subject to the records of the registration authority.
4、 The minimum amount of the first single subscription of the investor in other sales institutions is RMB 1 (including the subscription fee, the same below), and the minimum amount of the additional single subscription is RMB 1. The minimum amount of an investor's first single subscription in the direct marketing center is 10 yuan, and the minimum amount of additional subscription is 10 yuan.
The Fund Manager does not set a ceiling on the cumulative subscription amount of a single investor during the offering period. However, if the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds 50% of the total fund units, the Fund Manager may limit the subscription application of such investor by means of proportion confirmation. If the Fund Manager accepts a certain subscription application or some subscription applications that may lead a single investor to evade the above 50% ratio requirement in disguised form, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
5、 The Fund Manager may adjust the limit of subscription amount in accordance with the provisions of relevant laws and regulations and market conditions, and the Fund Manager shall make an announcement on the designated media in accordance with the relevant provisions of the Information Disclosure Measures at the latest before the implementation of the adjustment.
6、 When subscribing, the investor shall prepare the full amount of subscription in the manner specified by the sales agency.
Part III Individual Investor Account Opening and Subscription Procedures
Individual investors may subscribe to the Fund through direct sales outlets, electronic direct sales channels and the business outlets of sales agencies on a commission basis.
After an individual investor successfully opens a fund account, the fund registration institution will allocate the fund account number to the investor. Individual investors can go through the confirmation procedures of account opening business at the account opening branch from the second working day after submitting the application for account opening.
1、 Individual investors open accounts and subscribe in the Company's direct marketing center
（1） Account opening and subscription time
During the fund raising period, the handling time is 9:00-17:00 (weekends and legal holidays are not accepted).
（2） Account opening and subscription procedures
Investors who go through the procedures for opening and subscribing the Fund in the Company's direct marketing center must submit the following materials:
1. The original and photocopy of my current valid legal identity certificate (ID card, passport, etc.);
2. Completed Fund Account Opening Application Form and Fund Subscription/Purchase and Redemption Business Application Form;
3. Original and photocopy of supporting documents for designated bank account, such as bank debit card, savings card, etc;
4. Seal Card with reserved seal (private seal) in duplicate;
5. The original and copy of the payment voucher receipt stamped with the bank's acceptance seal shall also be provided when handling the subscription;
6. Complete and sign the Fund Investor Risk Assessment Questionnaire (personal version, applicable to ordinary investors), Risk Reminder Letter, Investor Classification Identification Results and Notification, Risk Matching Notification and Investor Confirmation Letter, Risk Mismatch Warning Letter and Investor Confirmation Letter (applicable to risk mismatch);
7. Complete and sign the Declaration Document of Individual Customer's Tax Resident Status;
8. 1 copy of identity verification notice;
9. Professional investor qualification certificates (if necessary).
When an investor subscribes to the Fund, he/she must remit the full amount of subscription funds from the bank account with the same identity as the investor to the special account of the direct marketing center designated below by the Company, and indicate "the name of the investor and the name of the fund subscribed" in the remittance purpose of the notes filled in. The accounts of the Company's direct sales center are as follows:
1. Account name: Special account of direct marketing center of Shenwanlingxin Fund Management Co., Ltd
Account No.: 1001202929025736553
Bank of deposit: Business Department of Shanghai Branch of Industrial and Commercial Bank of China
Large amount payment No.: 102290020294
Exchange No.: 022029
2. Account name: Shen Wanlingxin Fund Management Co., Ltd
Account No.: 212289058810001
Opening bank: Shanghai Huaizhong Branch of China Merchants Bank
Large amount payment No.: 308290003378
Exchange No.: 096657
3. Account name: Special account of direct marketing center of Shenwanlingxin Fund Management Co., Ltd
Account No.: 310066771018800056838
Bank of deposit: Shanghai Lujiazui Branch of Bank of Communications
Payment system bank No.: 301290050828
4. Account name: Special account of direct marketing center of Shenwanlingxin Fund Management Co., Ltd
Account No.: 216200100102084040
Opening bank: Industrial Bank Co., Ltd. Shanghai Branch
Payment system bank No.: 309290000107
If the investor fails to make a successful subscription due to failing to transfer the subscription funds in full to the above designated account, the Company and the deposit bank of "Shenwanlingxin Fund Management Co., Ltd." and "Shenwanlingxin Fund Management Co., Ltd. Direct Sales Center Special Account" will not bear any responsibility.
（3） Online direct selling
1. Account opening
Individual investors who intend to trade online through the Company must become online banking signing users of designated banks in advance. Individual investors who hold designated bank debit cards and who are also signed customers of designated bank online banking can open accounts directly on the company's online trading system (website www.swsmu.com, WeChat official account "Shenwanlingxin Fund" or "Index Circle").
According to the relevant provisions of the CSRC, ordinary investors should accept the evaluation of investors' appropriateness risk type before opening an account and subscribing.
2. Subscription
Investors can apply for subscription of the Fund through the online trading system of the Company (www.swsmu.com, WeChat official account "Shenwanlingxin Fund" or "Index Circle"). See the relevant announcements on the Company's website for details.
3. Risk warning
(1) In order to ensure the security of network transmission and protect the interests of investors, the Company adopts data encryption processing for the transmission of network data, but the Company cannot guarantee that the network information transmission is absolutely secure, error free, or that the designated website is not maliciously attacked or has no faults caused by electronic viruses. The Company shall not bear any responsibility for this, and the investors shall bear any risk and loss that may be caused by online trading.
(2) The Company has the right to retain the relevant electronic data of investors' online transactions as evidence of investors' transactions.
(3) Any application submitted after password verification will be regarded as the investor's own behavior or the behavior legally authorized by the investor, and the legal consequences caused by such behavior shall be borne by the investor.
（4） Precautions
1. During the raising period of the Fund, the direct marketing center of the Company will be sold to individual investors whose subscription amount is not less than 10 yuan.
2. If the subscription funds of individual investors do not reach the designated account of the Company before 17:00 on the day of subscription application, the subscription application submitted on that day will be invalid. The application acceptance date (i.e. the effective application date) shall be subject to the fund receipt date.
3. After the end of the Fund raising period, the following circumstances will be deemed as invalid subscriptions:
(1) The investor transfers funds, but fails to handle account opening procedures within the time limit or fails to open an account;
(2) The investor transfers funds but fails to go through the subscription procedures within the time limit;
(3) The subscription fund transferred by the investor is less than the subscription amount applied for by the investor;
(4) Other invalid funds or failed subscription funds confirmed by the Company.
4. Within 7 working days after the fund registration authority confirms that the subscription is invalid, the Company will transfer the principal of the subscription capital to the bank account designated by the investor.
2、 Individual investors open accounts and subscribe to the sales agency
The procedures for individual investors to open an account and subscribe to the selling institutions on a commission basis shall be subject to the provisions of the selling institutions on a commission basis.
Part IV Opening and Subscription Procedures of Institutional Investors
Institutional investors can open accounts and subscribe funds through direct sales outlets and sales agency outlets.
After an institutional investor successfully opens a fund account, the fund registration institution will allocate the fund account to it. Institutional investors can go through the confirmation procedures of account opening business at the account opening branch from the second working day after submitting the application for account opening.
1、 Institutional investors open accounts and subscribe in the Company's direct marketing center
（1） Account opening
1. Time of account opening and subscription
During the fund raising period, the handling time is 9:00-17:00 (weekends and legal holidays are not accepted).
2. Account opening and subscription procedures
(1) Institutional investors (excluding qualified foreign investors) must provide the following materials when applying for opening fund accounts in the Direct Marketing Center:
1) The completed Fund Account Opening Application Form shall be stamped with the official seal and signed by the authorized agent;
2) The copy of the business license of the enterprise legal person with the official seal of the unit and the original copy of the valid copy; the original copy of the registration certificate issued by the civil affairs department or the competent department and the copy of the official seal of the unit must be provided for public institutions, social organizations or other organizations (if the three certificates are not in one, the copies of the organization code certificate and tax registration certificate with the official seal of the unit need to be provided additionally) ；
3) The original and copies of the supporting documents for the designated bank account, such as the Bank Account Opening Permit or the Bank Account Opening Declaration Form;
4) The Seal Card affixed with the reserved seal (one official seal and one private seal) is in duplicate;
5) The original and photocopy of the current valid ID card of the agent of the institution who applied for opening an account (the second generation ID card must be provided with both sides and affixed with the official seal);
6) Power of attorney of legal person with official seal and legal representative seal affixed;
7) Copy of the ID card of the legal representative (the second generation ID card must be provided with both sides and affixed with the official seal);
8) Copies of the approval documents for the establishment of the financial products of the CBRC/CSRC, copies of the trust contract (first/last page), etc. (for product account opening);
9) Fill in and sign the Fund Investor Risk Assessment Questionnaire (institutional version, applicable to ordinary investors) and Risk Reminder Letter;
10) Complete and sign the Declaration Document of Tax Resident Status of Institutional Customers (if necessary) and the Declaration Document of Tax Resident Status of Controller Customers (if necessary);
11) Professional investor qualification certificates (if necessary).
12) Qualification certificates of the organization;
13) Beneficial owner information sheet;
(2) Qualified foreign institutional investors (QFII) must provide the following materials when applying for opening fund accounts in the direct marketing center:
1) If the relevant business is handled through the custodian bank of the QFII, the custodian bank must provide the business license or business license in China, as well as a copy of the custody agreement, which must be stamped with the official seal of the custodian bank, notarized or witnessed by a lawyer;
2) The photocopy of the securities investment business license of the qualified foreign institutional investor and the approval certificate of the relevant investment quota must be stamped with the official seal of the custodian bank and notarized or witnessed by a lawyer;
3) Power of attorney signed and stamped by the QFII;
4) The original and photocopy of the current valid ID card of the agent who came to apply for opening an account (the second generation ID card must be provided with both sides and stamped with the official seal);
5) Reserved seal card in duplicate;
6) The completed Fund Account Opening Application Form shall be affixed with the seal;
7) Supporting documents and copies of the designated bank account;
8) Sign the Risk Reminder Letter;
9) Complete and sign the Declaration Document of Tax Resident Status of Institutional Customers (if necessary) and the Declaration Document of Tax Resident Status of Controller Customers (if necessary).
10) Beneficial owner information sheet.
3. Notes
1) Institutional investors who open fund accounts in the direct marketing center must designate a bank account opened by a commercial bank as the settlement account for the investors' capital transactions in the fund transaction process.
2) The institutional investor must designate the reserved seal and affix the official seal and the private seal of the legal representative; The seal on the reserved seal card must be consistent with the specified seal in the specified document.
According to the relevant provisions of the CSRC, ordinary investors should accept the evaluation of investors' appropriateness risk type before opening an account and subscribing.
（2） Subscription
1. Institutional investors must provide the following materials to subscribe for funds
1) The completed Fund Subscription/Purchase and Redemption Business Application Form shall be affixed with the reserved seal;
2) The original and copy of the bank payment voucher receipt stamped with the bank acceptance seal;
3) The original and photocopy of the current valid ID card of the agent of the institution who came to handle the subscription application (the second generation ID card must be provided with both sides and affixed with the official seal);
4) Power of attorney of legal person with official seal and legal representative seal affixed;
5) Risk Matching Notice and Investor Confirmation Letter (applicable to ordinary investors in case of risk matching), Risk Mismatch Warning Letter and Investor Confirmation Letter (applicable to ordinary investors in case of risk mismatch).
2. Contributions
1) Institutional investors applying for subscription of the Fund shall first go to the bank where the designated bank account is located and transfer the full amount of subscription funds from the designated bank account to the special account of the Fund Direct Marketing Center opened by the Company in the form of "credit voucher" or "telegraphic transfer". The direct marketing center of the Company does not accept cash subscriptions from institutional investors.
2) Institutional investors must transfer the subscription funds into the special account of the Fund Direct Marketing Center opened by the Company. The specific account information is as follows:
1. Account name: Special account of direct marketing center of Shenwanlingxin Fund Management Co., Ltd
Account No.: 1001202929025736553
Bank of deposit: Business Department of Shanghai Branch of Industrial and Commercial Bank of China
Large amount payment No.: 102290020294
Exchange No.: 022029
2. Account name: Shen Wanlingxin Fund Management Co., Ltd
Account No.: 212289058810001
Opening bank: Shanghai Huaizhong Branch of China Merchants Bank
Large amount payment No.: 308290003378
Exchange No.: 096657
3. Account name: Special account of direct marketing center of Shenwanlingxin Fund Management Co., Ltd
Account No.: 310066771018800056838
Bank of deposit: Shanghai Lujiazui Branch of Bank of Communications
Payment system bank No.: 301290050828
4. Account name: Special account of direct marketing center of Shenwanlingxin Fund Management Co., Ltd
Account No.: 216200100102084040
Opening bank: Shanghai Branch of Industrial Bank Co., Ltd
Payment system bank No.: 309290000107
If the investor fails to subscribe due to insufficient transfer of subscription funds, the Company and the bank of deposit of "Shenwanlingxin Fund Management Co., Ltd." and "Shenwanlingxin Fund Management Co., Ltd. Direct Sales Center Special Account" will not bear any responsibility.
（3） Precautions
1. If the subscription funds of institutional investors do not reach the designated account of the Company before 17:00 on the day of subscription application, the subscription application submitted on that day will be invalid. The application acceptance date (i.e. the effective application date) shall be subject to the fund receipt date.
2. After the end of the Fund raising period, the following subscriptions will be deemed invalid:
1) The investor transfers funds, but fails to handle account opening procedures within the time limit or fails to open an account;
2) The investor transfers funds but fails to go through the subscription procedures within the time limit;
3) The subscription fund transferred by the investor is less than the subscription amount applied for by the investor;
4) The subscription fund of the investor fails to reach the account designated by the Company within the validity period agreed in the subscription application form;
5) Other invalid funds or failed subscription funds confirmed by the Company.
3. Within 7 working days after the fund registration authority confirms that the subscription is invalid, the Company will transfer the principal of the subscription capital to the bank account designated by the investor.
4. Others:
1) Institutional investors who are interested in subscribing to the Fund in the Company's direct marketing center should request the Fund Account Opening Application Form, Fund Subscription/Purchase and Redemption Business Application Form and Seal Card that must be filled in for account opening and subscription from the Company's direct marketing center in advance. Investors can also download the above business documents through the company's website (www.swsmu. com) or obtain them by fax through the company's direct sales center, but they must ensure that the materials submitted are in the full set of original document formats required in the downloaded documents when handling the application. The sample form for filling in the above direct sales documents can also be downloaded from our website or obtained from our direct sales center.
2) The copies and downloaded documents that institutional investors must provide to the direct marketing center of the company when handling the application shall all use standard A4 paper.
3) The format of the application form of the direct sales center of the company is different from that of the outlets of the sales agency, so please do not mix them.
4) The Fund Manager intends to carry out relevant promotion activities for this Fund Offering in the near future. Institutional investors who are interested in subscribing to this Fund in the Company's direct marketing center should contact the direct marketing center as soon as possible.
2、 Institutional investors open accounts and subscribe to the sales agency
The procedures for institutional investors to open accounts and subscribe to the selling institutions on a commission basis shall be subject to the provisions of the selling institutions on a commission basis.
Part V Clearing and Settlement
1、 The Fund Manager shall deposit the funds raised during the fund raising into a special account, and no one may use them before the end of the fund raising. The interest generated from the effective subscription funds of the Fund during the raising period will be converted into fund units and owned by the fund unit holders, of which the specific amount of interest transferred to units shall be subject to the records of the registration authority.
2、 The investor's invalid subscription fund or the subscription fund that has not been confirmed will be transferred to the investor's designated account within 7 working days after the fund registration authority confirms that it is invalid.
3、 After the fund raising, the fund registration authority will complete the registration of the rights and interests of fund unit holders in accordance with relevant laws and regulations, business rules and the fund contract.
Part VI Capital Verification and Filing of Funds
1、 Fund filing and effectiveness of fund contract
Within three months from the date of the sale of the Fund units, the Fund Manager may decide to stop the sale of the Fund upon the expiration of the Fund raising period or in accordance with laws, regulations and the Prospectus, provided that the total amount of the Fund units raised is not less than 200 million, the amount of the Fund raised is not less than 200 million yuan and the number of subscribers to the Fund is not less than 200, It shall employ a legal capital verification institution to verify the capital within 10 days, submit the capital verification report to the CSRC within 10 days from the date of receiving the capital verification report, and handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund contract shall come into force from the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC; Otherwise, the fund contract will not take effect. The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC. The Fund Manager shall deposit the funds raised during the fund raising into a special account, and no one may use them before the end of the fund raising.
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 the investors within 30 days after the expiration of the fund raising period, plus the interest of the current deposit of the bank for the same period;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration. All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party.
Part VII Parties to the Fund Offering or Intermediaries
1、 Fund manager
Shen Wanlingxin Fund Management Co., Ltd
Registered address: Floor 11, No. 100, Zhongshan South Road, Shanghai
Legal representative: Liu Lang
Tel: 86-21-23261188
Fax: 86-21-2326199
Contact: He Yiming
Customer service hotline: 400-880-8588 (toll free) or 86-21-962299
Website: www.swsmu.com
E-mail: service@swsmu.com “ service@swsmu.com
2、 Fund Custodian
Name: Shanghai Pudong Development Bank Co., Ltd
Registered address: No. 12, Zhongshan East 1st Road, Shanghai
Office address: No. 12, Zhongshan East 1st Road, Shanghai
Legal representative: Zheng Yang
Time of establishment: October 19, 1992
Organizational form: limited liability company (listed)
Registered capital: 29.352 billion yuan
Duration: continuous operation
Approval document and document number of fund custody qualification: CSRC Zhengjian Jiji Zi [2003] No. 105
Contact: Hu Bo
Tel: (021) 616188888
3、 Sales organization
1. Direct selling mechanism
Shenwan Lingxin Fund Management Co., Ltd. Direct Marketing Center
Domicile: Floor 10, No. 100, Zhongshan South Road, Shanghai
Office address: 10th floor, No. 100, Zhongshan South Road, Shanghai
Legal representative: Liu Lang
Tel: 86-21-23261188
Fax: 86-21-2326199
Contact: Zhou Ziyi
Customer service hotline: 4008808588 (toll free) or 86-21-962299
Website: www.swsmu.com
E-mail: service@swsmu.com
2. Other sales organizations
The Fund Manager may, in accordance with the requirements of relevant laws and regulations and the actual situation, select other institutions that meet the requirements to sell the Fund or change the above sales institutions, and publish them on the Fund Manager's website. Please refer to the actual situation of each sales agency for details.
4、 Registration Authority
Name: Shen Wanlingxin Fund Management Co., Ltd
Address: Floor 11, No. 100, Zhongshan South Road, Shanghai
Office address: Floor 11, No. 100, Zhongshan South Road, Shanghai
Postal code: 200010
Legal representative: Liu Lang
Tel: (021) 23261188
Fax: (021) 23261199
Contact: Yan Jiahui
5、 Law firm issuing legal opinion
Name: Shanghai Yuantai Law Firm
Address: Floor 14, Huaxia Bank Building, 256 Pudong South Road, Pudong New Area, Shanghai
Office address: 14/F, Huaxia Bank Building, 256 Pudong South Road, Pudong New Area, Shanghai
Person in charge: Liao Hai
Tel.: 021-51150298
Fax: 021-51150398
Contact: Liu Jia
Handling lawyers: Liu Jia, Liu Cui
6、 Accounting firm auditing fund assets
Name: KPMG Huazhen Certified Public Accountants (Special General Partnership)
Registered address: Floor 8, Office Building 2, Oriental Plaza, No. 1, East Chang'an Street, Dongcheng District, Beijing
Office address: 16/F, Phase II, Hang Lung Plaza, 1266 Nanjing West Road, Jing'an District, Shanghai
Legal representative: Zou Jun
Tel: (010) 85085000
Fax: (010) 85085111
Contact: Yu Jingjing
Handling CPA: Wang Guobei, Yu Jingjing
Shen Wanlingxin Fund Management Co., Ltd
December 12, 2020
Shen Wanlingxin Fund Management Co., Ltd