Huatai Baoxing Anxin Pure Bond Securities Investment Fund
Custody Agreement
Fund Manager: Huatai Baoxing Fund Management Co., Ltd
Fund Custodian: Bank of Communications Co., Ltd
January, 2012
catalog
1、 Parties to the Fund Custody Agreement three
2、 Basis, purpose and principle of fund custody agreement four
3、 Fund Custodian's Business Supervision and Verification of Fund Manager four
4、 The Fund Manager's business verification of the Fund Custodian nine
5、 Custody of Fund Assets ten
6、 Sending, confirming and executing instructions thirteen
7、 Transaction, clearing and settlement arrangements fifteen
8、 Calculation and Accounting of Net Asset Value of the Fund seventeen
9、 Fund income distribution twenty-two
10、 Fund information disclosure twenty-four
11、 Fund expenses twenty-five
12、 Custody of the Register of Fund Unitholders twenty-six
13、 Preservation of Fund related documents and archives twenty-seven
14、 Replacement of Fund Manager and Fund Custodian twenty-seven
15、 Prohibited acts thirty
16、 Change and termination of fund custody agreement and liquidation of fund assets thirty-one
17、 Liability for breach of contract thirty-two
18、 Dispute resolution thirty-four
19、 Effectiveness of the Fund Custody Agreement thirty-four
20、 Other matters thirty-four
21、 Signing of Fund Custody Agreement thirty-five
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Whereas Huatai Baoxing Fund Management Co., Ltd. is legally established and validly existing in accordance with Chinese laws
The limited liability company of Huatai Baoxing Anxin Pure Bond Securities Investment Fund (hereinafter referred to as "the
Fund "or" Fund ");
Whereas Bank of Communications Co., Ltd. is a bank legally established and validly existing in accordance with Chinese laws
The Bank has the qualification and ability to act as the Fund Custodian in accordance with relevant laws and regulations;
Whereas Huatai Baoxing Fund Management Co., Ltd. plans to act as Huatai Baoxing Anxin pure bond securities investment
The fund manager of the fund, Bank of Communications Co., Ltd., plans to act as Huatai Baoxing Anxin pure bond certificate
Fund custodian of securities investment funds;
To clarify the fund manager and fund custodian of Huatai Baoxing Anxin pure bond securities investment fund
The rights and obligations between the two parties are hereby formulated;
Unless the context otherwise requires, all terms in this Agreement are consistent with Huatai Baoxing Anxin Pure Bond Securities
The corresponding terms defined in the Investment Fund Contract (hereinafter referred to as the Fund Contract) have the same
meaning. In case of any conflict, the Fund Contract shall prevail and be interpreted in accordance with its terms.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
1、 Parties to the Fund Custody Agreement
（1） Fund manager
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200120
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Approved by: China Securities Regulatory Commission
Approval No. of establishment: ZJXK [2016] No. 1309
Organizational form: limited liability company
Registered capital: RMB 240 million
Duration: continuous operation
Business scope: fund raising, fund sales, asset management, specific customer asset management and China Securities
Other businesses permitted by the Regulatory Commission.
（2） Fund Custodian
Name: Bank of Communications Co., Ltd. (hereinafter referred to as Bank of Communications)
Address: No. 188, Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone (postcode: 200120)
Office address: No. 18, Xianxia Road, Changning District, Shanghai (postcode: 200336)
Legal representative: Peng Chun
Time of establishment: March 30, 1987
Establishment approval authority and establishment approval document number: State Council Guo Fa (1986) No. 81 document and the Chinese people
YXF [1987] No. 40
Approval No. of fund custody business: ZJJZ [1998] No. 25 of China Securities Regulatory Commission
Business scope: absorbing public deposits; Issue short-term, medium-term and long-term loans; Handle domestic and foreign settlement;
Handle bill acceptance and discount; Issuance of financial bonds; Issuing, cashing and underwriting government bonds as an agent;
Buying and selling government bonds and financial bonds; Interbank lending; Buying and selling foreign exchange; Engaged in bank cards
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Business; Provide letter of credit service and guarantee; Agency collection and payment business; Provide safe deposit box service; State affairs
Other businesses approved by the banking regulatory authority of the Institute; Business of foreign exchange settlement and sales.
Registered capital: 74.262 billion yuan
Organizational form: limited liability company
Duration: continuous operation
2、 Basis, purpose and principle of fund custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the Fund Law)
Administrative Measures for the Sale of Securities Investment Funds (hereinafter referred to as Sales Measures), Public Offering of Securities
Administrative Measures for the Operation of Investment Funds (hereinafter referred to as the "Operation Measures"), and the Public Offering of Securities Investment Funds
Financial Information Disclosure Management Measures (hereinafter referred to as Information Disclosure Measures), Public Offering Open ended Securities
Provisions on Liquidity Risk Management of Securities Investment Funds (hereinafter referred to as the Provisions on Liquidity Risk Management)
Taibao Xinganxin Pure Bond Securities Investment Fund Fund Contract (hereinafter referred to as the Fund Contract) and
Other relevant provisions.
The purpose of this Agreement is to clarify the custody and investment of the Fund property between the Fund Manager and the Fund Custodian
Rights and obligations in matters related to capital operation, net worth calculation, income distribution, information disclosure and mutual supervision
To ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
The Fund Manager and the Fund Custodian shall follow the principle of equality, voluntariness, honesty and credibility, and fully protect the legality of investors
This agreement is signed based on the principle of interests.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian exercises supervision over the investment behavior of the Fund Manager
1. The Fund Custodian, in accordance with the provisions of relevant laws and regulations, the Fund Contract and this Agreement
The investment scope and investment objects of the Fund shall be supervised.
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Bonds (including national debt, local government bonds, financial bonds, government supported bonds, corporate bonds, corporate bonds
Subordinated bonds, central bank notes, medium-term notes, short-term financing bonds, ultra short-term financing bonds, separable trading convertible bonds
Net debt), asset-backed securities, bond repurchase, bank deposits (negotiated deposits, call deposits
Time deposits, etc.), inter-bank deposit receipts, money market instruments, laws and regulations or fund investment permitted by the CSRC
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Other financial instruments (subject to the relevant provisions of the CSRC).
The Fund does not buy stocks. The Fund does not invest in convertible bonds (pure debt part of convertible bonds that can be separately traded
And exchangeable bonds.
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 the Fund's investment in bond assets is not less than that of the Fund's assets
80%, and the total investment proportion of cash or government bonds with maturity within one year shall not be less than the net asset value of the fund
5%, of which cash does not include settlement provisions, deposits and subscription receivables.
If laws and regulations or the CSRC changes the investment proportion limit of investment varieties, the Fund Manager shall
After proper procedures, the investment proportion of the above investment varieties can be adjusted.
2. The Fund Custodian, in accordance with the provisions of relevant laws and regulations, the Fund Contract and this Agreement
Fund investment and financing ratio shall be supervised.
According to the Fund Contract, the proportion of the Fund's investment portfolio shall comply with the following provisions:
(1) The Fund's investment proportion in bonds shall not be less than 80% of the Fund's assets;
(2) At the end of each trading day, keep the cash or maturity date not less than 5% of the net asset value of the fund
Government bonds within one year, of which cash does not include settlement provisions, deposits and subscription 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 20% of the net asset value of the Fund;
(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
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
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 market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
15% of; Discrepancy of funds due to factors other than fund managers such as fluctuations in the securities market and changes in fund size
If the proportion is limited, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
(12) 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;
(13) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(14) The Fund invests in credit bonds with a credit rating of AA or above (including AA);
1) The Fund's investment in credit bonds rated AAA shall not be less than 30% of credit bond assets;
2) The Fund's investment in credit bonds with a credit rating of AA+is not higher than 75% of bond assets;
3) The Fund's investment in credit bonds with a credit rating of AA shall not exceed 20% of the bond assets.
(15) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Except for the situations in (2), (9), (11) and (12) above, due to the fluctuation of the securities market, the securities issuer
Factors other than the fund manager, such as merger and fund size change, result in the fund investment proportion not meeting the above provisions
The fund manager shall adjust the investment proportion within 10 trading days
Except for special circumstances. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
The Fund Custodian shall supervise the restrictions on the Fund's investment portfolio and the adjustment period in accordance with the above provisions.
3. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations, the Fund Contract and this Agreement
Supervise the prohibited acts of gold investment. The fund assets may not be used for the following investments or activities.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) 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 an international controller or a company with a significant stake in it or securities underwritten during the underwriting period,
Or engaged in other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund
The principle of giving priority to the interests of gold share holders, preventing conflicts of interests, establishing and improving the internal approval mechanism and evaluation mechanism
The system shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance,
And shall be disclosed in accordance with laws and regulations, unless otherwise provided by laws and regulations. Major related party transactions shall be submitted based on
The Board of Directors of the Fund Manager reviewed and approved by more than two-thirds of the independent directors. Director of the Fund Manager
The committee shall review related party transactions at least every half a year.
Laws and regulations or regulatory authorities cancel or change the above restrictions, if applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the changed regulations.
4. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations, the Fund Contract and this Agreement
The gold manager participates in the supervision of the inter-bank bond market.
The Fund Manager shall provide the Fund Custodian with a carefully selected base
The list of counterparties in the inter-bank bond market applicable to the fund, and agree on the transactions that the counterparties deal with with bonds
Settlement method. The Fund Manager updates the list of counterparties in the inter-bank bond market
Responsible for credit control of counterparties, trading according to the trading rules of the inter-bank bond market
The custodian supervises the performance of the contract according to the inter-bank bond market transaction sheet, but when fully performing the supervision
After the obligation of supervision and review, it will not bear the losses caused by the counterparty's failure to perform the contract. For example, after the fund trusteeship personnel
When it is found that the fund manager does not conduct transactions in accordance with the agreed counterparty or trading method
The custodian shall timely remind the Fund Manager that the Fund Custodian will not bear any losses and liabilities arising therefrom.
5. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations, the Fund Contract and this Agreement
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
The fund manager selects the deposit bank for supervision.
Where a fund invests in a fixed deposit with a bank, the fund manager shall, in accordance with the provisions of laws and regulations and the fund contract
The Fund Custodian shall invest in the Fund in accordance with the provisions of the Custodian Agreement
Supervise whether bank deposits comply with relevant regulations.
The investment bank deposits of the Fund shall comply with the following provisions:
(1) The Fund Manager and the Fund Custodian shall establish a regular reconciliation mechanism with the deposit bank to ensure that
The accounts and accounting of the deposit business of Golden Bank are true and accurate.
(2) The Fund Custodian shall strengthen the supervision and verification of the Fund's bank deposit business, strictly review and reply
Check relevant agreements, account information, investment instructions, deposit certificates and other relevant documents, and earnestly perform custody responsibilities.
(3) When carrying out fund deposit business, the Fund Manager and the Fund Custodian shall strictly observe
Law of the People's Republic of China, Operation Measures and other relevant laws and regulations, as well as national account management, interest rate management and payment
Provisions on settlement, etc.
6. The Fund Custodian shall, in accordance with the provisions of laws and regulations, the Fund Contract and this Agreement
Financial investment shall be supervised in other aspects.
7. When the fund holds specific assets and there are or potential large redemption applications, the maximum protection
The Fund Manager shall consult with the Fund Custodian on the principle of the interests of the Fund Unitholders
After the opinion of the accounting firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract.
During the implementation of the side pocket mechanism, the agreed portfolio proportion and portfolio restrictions in this part only apply
In the main pocket account.
The specific rules of the side pocket mechanism shall be implemented in accordance with the provisions of relevant laws and regulations and the fund contract.
The Fund Custodian shall, in accordance with laws and regulations and the Fund Contract, activate the side pocket mechanism
Review and supervise property disposal and information disclosure.
（2） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Calculation of net asset value, calculation of net fund share value, calculation of cumulative net fund share value, receipt of receivable funds
Confirmation of fund fees, expenses and income, distribution of fund income, relevant information disclosure, fund promotion materials
The fund performance data published in the. If the Fund Manager is not authorized by the Fund Custodian
If the Fund Custodian prints false performance data on promotional materials without authorization
They shall not bear any responsibility and have the right to report to the CSRC after discovery.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
（3） The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification
To make internal reply and correct, and explain or provide evidence on the Fund Custodian's doubts. In accordance with the law
If it is required by regulations to submit the fund supervision report to the CSRC, the fund manager shall actively cooperate in providing relevant information
Data and system, etc.
The Fund Custodian finds that the investment instruction or actual investment operation of the Fund Manager violates the Fund Law and
The behaviors specified in other relevant laws and regulations, the Fund Contract and this Agreement shall be notified in writing in a timely manner
The Fund Manager shall make corrections within a time limit, and the Fund Manager shall check in a timely manner after receiving the notice, and shall do so by telephone or in writing
Feed back to the Fund Custodian, explain the reasons for the violation and the time limit for correction, and ensure that the violation is corrected within the specified time limit.
Within the time limit, the Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections.
If the Fund Manager fails to correct the violations notified by the Fund Custodian within the time limit, the Fund Custodian has
Report to the CSRC.
If the Fund Custodian finds that the Fund Manager has major violations, it shall immediately report to the CSRC
The Fund Manager shall be notified to make corrections within the time limit.
The Fund Custodian finds that the instructions of the Fund Manager violate laws, administrative regulations and other relevant provisions,
Or in violation of the Fund Contract, it shall refuse to execute, immediately notify the Fund Manager, and have the right to
Report to the CSRC.
The Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate the laws and administration
In case of violation of laws, regulations and other relevant provisions or the Fund Contract, the Fund Management Department shall be notified immediately
And has the right to report to the CSRC.
4、 The Fund Manager's business verification of the Fund Custodian
In accordance with the Fund Law and other relevant regulations, the Fund Contract and this Agreement
The Fund Custodian shall check the performance of the custodian duties of the Fund Custodian, including but not limited to the Fund Custodian
Whether the custodian has safeguarded the fund property, opened the fund account, securities account and bond custody of the fund property
Whether the accounts required for investment, such as accounts, timely and accurately review the net asset value and
Whether the net value of fund units and the accumulated net value of fund units have been cleared and settled according to the instructions of the fund manager,
Whether to disclose relevant information and supervise fund investment operation in accordance with regulations and the Fund Contract
Etc.
The Fund Manager shall regularly and irregularly check the Fund assets under the custody of the Fund Custodian. fund
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
The custodian shall actively cooperate with the Fund Manager in its verification activities, including but not limited to: submitting relevant materials for
The Fund Manager shall verify the integrity and authenticity of the assets under custody, reply and correct within the specified time.
The Fund Manager finds that the Fund Custodian has not implemented separate account management of the Fund assets and misappropriated the Fund assets without authorization
Violation of the fund manager's fund transfer instructions, disclosure of fund investment information, etc
In case of any violation of the Fund Law, the Fund Contract, this Agreement and other relevant provisions, it shall be timely written
Inform the Fund Custodian to correct within the time limit, and the Fund Custodian shall check in time and submit a written form after receiving the notice
To send a reply to the fund manager. Within the time limit, the Fund Manager has the right to reply to the notice at any time
Check and urge the Fund Custodian to correct. The Fund Custodian fails to meet the limit for the violations notified by the Fund Manager
In case of correction within the period, the Fund Manager shall report to the CSRC. For the fund manager, it is required to
Where the CSRC submits the fund supervision report, the fund custodian shall actively cooperate in providing relevant data and materials and
System, etc.
If the Fund Manager finds that the Fund Custodian has major violations, it shall immediately report to the CSRC
The Fund Custodian shall be notified to make corrections within the time limit.
5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund Custodian shall keep the Fund assets in a safe manner and shall not operate them without the instruction of the Fund Manager
Use, dispose of and distribute any assets of the Fund.
2. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
3. The Fund Custodian shall open the fund account, securities account and bond custody account of the Fund assets in accordance with the provisions
Account required for investment.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody for independent accounting and separate account management
To ensure the integrity and independence of the fund assets.
5. For assets receivable arising from fund investment and assets receivable arising from fund purchase,
The Fund Manager shall be responsible for determining the date of receipt with the relevant parties and notifying the Fund Custodian of the date of receipt
If the gold assets fail to reach the fund's bank deposit account, the fund custodian shall promptly notify the fund manager to take
Take measures to collect. If losses are caused to the Fund, the Fund Manager shall be responsible for claiming compensation from the relevant parties
Fund losses. The Fund Custodian shall not bear any responsibility for this.
（2） Verification of fund raised assets
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Within 10 days after the expiration of the fund raising period or the early termination of the fund raising
An accounting firm with securities related business qualifications shall verify the capital, issue a capital verification report, and issue a capital verification report
The report shall be valid with the signatures of more than two (including two) Chinese certified public accountants participating in the capital verification. Capital verification completed,
The Fund Manager shall deposit all the raised funds into the fund bank deposit opened by the Fund Custodian for the Fund
In the account, the Fund Custodian shall issue relevant supporting documents on the day of receipt of funds.
（3） Opening and management of the Fund's bank deposit account
1. The Fund Custodian shall be responsible for the opening and management of the Bank Deposit Account of the Fund.
2. The Fund Custodian shall open a bank deposit account of the Fund in its business institution in the name of the Fund, and
Handle the receipt and payment of funds according to the legal and compliant instructions of the fund manager. The reserved seal of the Fund's bank shall be
Custodian custody and use.
3. The opening and use of the Fund's bank deposit account shall be limited to meet the needs of conducting the Fund's business.
The Fund Custodian and the Fund Manager shall not open any other bank deposit account in the name of the Fund;
It is also prohibited to use any bank deposit account of the Fund for activities other than the business of the Fund.
4. The Fund Custodian may apply for opening the corporate online banking business of the Fund's bank account
Fund payment, and use Bank of Communications corporate online banking (hereinafter referred to as "Bank of Communications online banking") for custody
Capital settlement and remittance of assets.
5. The management of the fund's bank deposit account shall comply with the relevant provisions of the banking regulatory authority.
（4） Opening and management of fund securities settlement account and capital settlement account
The Fund Custodian shall be jointly named by the Fund Custodian and the Fund in China Securities Depository and Clearing Co., Ltd
Open a securities account for the company.
The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custody
The Fund Manager and the Fund Manager shall not lend or transfer any securities account of the Fund without the consent of the other party; Neither
Any account of the Fund may be used for activities other than the business of the Fund.
The Fund Manager shall not oversell or oversell the securities in the fund securities settlement account or the capital settlement account
Buy.
The Fund Custodian shall open a settlement in the name of the Fund Custodian with China Securities Depository and Clearing Co., Ltd
The reserve account is the capital settlement account, which is used for the settlement of securities trading funds. The Fund Custodian
A secondary settlement reserve account for the settlement of the fund's securities trading funds shall be opened in the name of the fund with the fund custodian.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
（5） Opening and management of bond custody account
1. After the Fund Contract comes into effect, the Fund Custodian shall be responsible for reporting to the People's Bank of China and filing
After being approved, it will be registered with the Central Government Securities Depository and Clearing Co., Ltd. and the Inter bank Market Clearing House Co., Ltd
The Fund shall open a bond custody account in the name of the Fund, and the Fund Custodian shall be responsible for clearing the bonds and funds of the Fund
Calculate. The Fund Manager is responsible for applying for the Fund to enter the national interbank borrowing market for trading, and the Fund
The Manager shall open an interbank borrowing market trading account in the China Foreign Exchange Trading Center.
2. The Fund Manager, on behalf of the Fund, signed the Master Agreement on Bond Repurchase in the National Inter bank Bond Market
This is kept by the Fund Manager.
（6） Opening and management of other accounts
If the CSRC or other regulatory authorities allow the Fund to engage in other activities after the date of this Custody Agreement
If the investment business of investment varieties involves the opening and use of relevant accounts, the Fund Manager shall assist the Fund
The custodian shall open relevant accounts in accordance with the provisions of relevant laws and regulations and the Fund Contract. This account
Users use and manage according to relevant rules.
（7） Protection of valuable certificates such as physical securities and time deposit certificates of bank deposits invested by the Fund's assets
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Physical securities shall be deposited by the Fund Custodian in the Fund Custodian's vault. Purchase and transfer of physical securities
Transfer shall be handled by the Fund Custodian according to the instructions of the Fund Manager. The Fund Custodian
The Fund's assets actually and effectively controlled by an external institution shall not bear the custody responsibility.
The Fund Custodian shall be responsible for the custody of certificates of deposit and other valuable certificates.
（8） Custody of major contracts related to fund assets
The originals of major contracts related to the Fund signed by the Fund Manager on behalf of the Fund are respectively
Custody by the custodian and the fund manager, unless otherwise restricted by relevant business procedures. Except as otherwise provided in this Agreement,
When signing major contracts related to the Fund on behalf of the Fund, the Fund Manager shall ensure to hold more than two copies as far as possible
So that the Fund Manager and the Fund Custodian each hold at least one original
The person shall promptly deliver the original to the Fund Custodian. The term of custody of the contract shall be subject to the relevant provisions of the State.
If it is impossible to obtain more than two originals, the Fund Manager shall provide the Fund Custodian with a stamped authorization
The fax of the contract with the authority business seal shall not be the original of the contract without the negotiation of both parties or within the scope of the contract
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Transfer.
6、 Sending, confirmation and execution of instructions
（1） Written authorization of the Fund Manager to the personnel who send instructions
The Fund Manager shall give a prior written notice (hereinafter referred to as the "Authorization Notice") that the Fund Custodian has the right to
The list of personnel sending instructions, signature samples, reserved seal and start date, indicating the corresponding authority, and
When the Fund Manager sends instructions to the Fund Custodian, the Fund Custodian shall confirm that it has the right to send instructions to the person (hereinafter referred to as
Is called "authorized person"). The notice of authorization sent by the Fund Manager to the Fund Custodian shall add
Seal. After the Fund Manager sends out the authorization notice, it shall confirm with the Fund Custodian by telephone and authorize the
The Fund Manager shall, within three working days after the commencement date indicated above
The original of the Notice of Rights shall be delivered to the Fund Custodian.
After receiving the authorization notice, the Fund Custodian shall check the signature and seal with the reserved sample
Confirm with the fund manager by telephone on the day when the authorization notice is received.
The Fund Manager and the Fund Custodian are obliged to keep confidential the authorization documents, and their contents shall not be disclosed to the authorized
Disclosed by anyone other than the person and relevant operators, but otherwise stipulated by laws and regulations or required by the competent authority
Except as required.
（2） Content of instructions
The instruction refers to the fund manager's fund transfer and
His instructions for the receipt and payment of money. The instruction shall specify the payment reason, payment time, arrival time, amount, account
Large amount payment number and other contents required for payment shall be stamped with reserved seal.
（3） Time and procedure for sending, confirming and executing instructions
The Fund Manager shall, in accordance with the Fund Law and other relevant regulations
It is stipulated that the authorized person shall send instructions within its legal business authority and transaction authority in accordance with its authorization
Send instructions only. The party that instructs the authorized person identified in the "Authorization Notice" to use fax on behalf of the fund manager
To the Fund Custodian. After sending, the Fund Manager shall confirm the instructions with the Fund Custodian by telephone in a timely manner
Content. The Fund Manager must send payment instructions to the Fund Custodian before 15:00 and ensure that the gold and silver
The bank account has sufficient fund balance, and the payment instruction is sent after 15:00 or the account fund is not available by 15:00
If it is sufficient, the Fund Custodian cannot guarantee that the transfer will be completed on the same day. For fund managers who do not have sufficient funds
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
The Fund Custodian may refuse to execute the instructions sent to the Fund Custodian under the circumstances and immediately notify the Fund Custodian
The Fund Custodian shall not be liable for any loss caused by failure to execute the order. Such as fund manager
It is required to arrive at the account at a certain time of the day, and payment instructions must be sent to the fund custodian at least 2 working hours in advance
Order and confirm with the Fund Custodian by telephone. The transmission and confirmation of the fund manager's instructions are not timely or the account funds are not available
The Fund Custodian shall not be liable for the failure of timely execution of the order due to the failure to set aside sufficient execution time
Losses caused thereby. The Fund Manager shall affix the reserved seal on the inter-bank market transaction sheet and fax it to the Fund Manager
Gold Custodian. The fund manager shall not deny the effectiveness of the order issued by the authorized person. Fund Custody
The person can execute the order only after confirming the validity of the order in accordance with the method specified in the "Authorization Notice". Instruction execution
After completion, the Fund Custodian will feed back the implementation results to the Fund Manager. The Fund Custodian only
The authorization document of the manager conducts a formal review of the apparent conformity of the instructions, and is not responsible for its authenticity.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
The circumstances under which the fund manager sends wrong instructions include that the instruction sender has no right or exceeds the authority to send instructions
The order and delivery information are wrong, and the important information in the order is ambiguous or incomplete. The Fund Custodian is performing supervision
In case of any error in the instructions of the Fund Manager during the supervision of functions, the Fund Manager shall have the right to suspend or refuse to execute as the case may be, and
And notify the fund manager to make corrections.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
When the Fund Custodian reviews the OTC investment instructions of the Fund, if it finds the investment of the Fund Manager
The instruction violates the laws and regulations related to the fund, the Fund Contract and the provisions of this Agreement, if the transaction does not take effect,
Will not be executed and immediately notify the Fund Manager; If the transaction has taken effect, notify the fund management in writing
The manager shall make corrections within a time limit. After receiving the notice, the Fund Manager shall check it in a timely manner and deposit it with the Fund in an agreed form
People feedback. The Fund Custodian shall be exempted from liability for the losses caused thereby.
If the Fund Custodian finds that the investment instruction may violate the rules when reviewing the OTC investment instruction of the Fund
Anti laws and regulations, the Fund Contract and this Agreement shall be suspended and the Fund Management shall be notified
People correct. If the Fund Manager refuses to correct, the Fund Custodian has the right to report to the CSRC.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
If the Fund Custodian fails to follow the normal instructions sent by the Fund Manager due to its own reasons, it shall
Take timely measures to make up for the losses caused to fund share holders after discovery
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Shall be liable for direct economic losses.
（7） Replacement of authorized personnel
The fund manager must replace the authorized personnel or change the authority of the authorized personnel at least three times in advance
On working days, send a notice of change of the authorized person with official seal to the fund custodian by fax, indicating that the fund can be used
Date, and notify the Fund Custodian by telephone at the same time. The change notice of the authorized person starts from the date of activation indicated above
Effective from. The amendment of the Fund Manager to the content of the authorization notice shall take effect as of the activation date. Fund management
The Manager shall send the original of the notice of change of the authorized person to the Fund Custodian within three working days thereafter.
If the Fund Manager has revoked or changed the authorization of the person who sent the order, and notified the Fund Manager in writing
The gold custodian shall, for the instructions that the instruction sender is not authorized to send after the activation date of the change notice,
The Fund Manager shall not be liable for the instructions sent beyond its authority.
7、 Transaction, clearing and settlement arrangements
（1） Standards and procedures for selecting securities operating institutions to act as agents for securities trading
The Fund Manager shall be responsible for selecting the securities operating institutions that act as agents for the purchase and sale of the Fund's securities.
The Fund Manager shall, on behalf of the Fund, sign a transaction unit lease agreement with the selected securities operating institution.
The fund manager shall timely report the basic information such as the fund transaction unit number, commission rate and changes
Inform the Fund Custodian in writing and disclose relevant contents in the statutory information disclosure announcement.
（2） Settlement arrangements after the fund invests in securities
1. Fund allocation
For the fund manager's fund transfer instructions, the fund custodian shall, after reviewing them without error
Without delay. The Fund Manager shall ensure that the Fund Custodian executes the fund
When a fund transfer order is issued, there is sufficient funds in the fund bank account or the fund settlement account. Head of fund
In case of insufficient position, the Fund Custodian has the right to reject the transfer instruction sent by the Fund Manager and notify the Fund in a timely manner
administrator. The Fund Manager shall give full consideration to the Fund Custodian's transfer processing time when sending transfer instructions
And time in transit. When the fund fund position is sufficient, the fund custodian is in compliance with the laws of the fund manager
The instructions of laws and regulations, the Fund Contract and this Agreement shall not be delayed or refused to be executed. Transfer of excess position
The Fund Custodian has the right to stop payment, but shall notify the Fund Manager by telephone in a timely manner
The Fund Manager shall undertake.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
2. Settlement method
The payment and settlement shall be in the form of transfer. If the People's Bank of China has faster, safer and more feasible settlement
The Fund Custodian may make adjustments as required.
3. Clearing of securities trading funds
The clearing and settlement of OTC and over-the-counter transactions arising from the Fund's investment in securities shall be borne by the Fund Custodian
Responsible for handling.
The clearing and settlement of the OTC securities investment of the Fund shall be communicated by the Fund Custodian according to the instructions of the Fund Manager
It shall be handled by a registration and clearing institution. The clearing and settlement of the securities investment on the floor of the Fund shall be carried out by the Fund Custodian according to the
The Fund Custodian shall be responsible for the settlement of securities funds as stipulated in the Depository Bank Securities Settlement Agreement signed by Party A. But this
If the securities investment in the fund market involves the business of non guarantee and RTGS settlement on t+0, the fund manager shall
The Fund Custodian shall be notified in writing to handle the settlement before 15:00 on the th day, otherwise the Fund Custodian cannot guarantee the relevant liquidation
Successful delivery. If the loss of fund assets is caused in liquidation due to the Fund Custodian's own reasons
The Fund Custodian shall be responsible for compensating the losses of the Fund; If the fund manager violates laws and regulations
If the securities investment causes difficulties and risks in the settlement of the fund investment, the fund custodian shall immediately notify the Fund
The Fund Manager shall be responsible for solving the problem, and the Fund Custodian shall provide necessary cooperation to
The fund manager shall bear the losses caused by the fund.
The Fund Custodian shall notify the Fund in writing after completing the matters notified by the relevant registration and clearing company
administrator.
If the fund fails to pay the securities settlement amount on time due to the fund manager, the settlement shall be subject to registration
It shall be handled according to relevant regulations of the organization.
（3） The Fund Manager and the Fund Custodian shall check the capital, securities accounts and transaction records
The Fund Manager shall check the transaction records of the Fund on a daily basis. Daily disclosure of fund shares
Before net value and cumulative net value of fund units, all actual transaction records and fund accounting books of the day must be guaranteed
The transactions on the book are identical. If the transaction record is inconsistent with the accounting book record, the foundation
The losses caused by incomplete or untrue accounting shall be borne by the accounting responsible party of the Fund. fund management
The fund funds
The securities accounts are transmitted to the Fund Custodian, who checks the accounts on a daily basis.
For the accounts of physical coupons, the relevant parties shall check the accounts regularly.
The Fund Custodian shall regularly check the quantity and type of securities in the securities account.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Both parties can negotiate to use electronic reconciliation to check accounts.
（4） Time and procedure for capital clearing and data transmission of subscription, redemption and conversion of open-ended funds
And the responsibilities of the parties to the custody agreement
1. Confirmation of subscription, redemption and conversion of fund units and liquidation of the registration institution designated by the fund manager
be responsible for.
2. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day
To the Fund Custodian. The Fund Manager shall respond to the data transmitted on subscription, redemption and conversion of open-ended funds
Responsible for practicality, accuracy and integrity. The Fund Custodian shall timely check the receipt of subscription funds and
Timely transfer redemption and conversion funds according to the instructions of the Fund Manager.
3. The Fund Manager shall transfer the net subscription amount (excluding subscription fees) to the custody account before T+3 days.
If the net subscription amount fails to arrive on schedule, the Fund Custodian shall promptly notify the Fund Manager to take measures to urge
If any loss is caused to the fund, the responsible party shall bear the responsibility. The fund manager is responsible for recovering the fund from the responsible party
Loss of gold.
4. The Fund Manager shall promptly send the transfer instructions for redemption and conversion of funds to the Fund Custodian. fund
The custodian shall transfer the funds to the fund manager before T+3 days (including the payable expenses arising from redemption) according to the transfer instruction
Specify the account. The Fund Manager shall promptly notify the Fund Custodian of the transfer. If the redemption amount is not allocated as scheduled,
The losses caused thereby shall be borne by the responsible party. The Fund Manager shall be responsible for recovering the losses of the Fund from the responsible party.
（5） Settlement arrangements for fund income distribution
1. The Fund Manager shall decide on the income distribution plan and notify the Fund Custodian, which shall review it
Notice.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund income distribution, the fund
The Manager shall timely send the transfer instruction of distributing cash dividends to the Fund Custodian, and the Fund Custodian shall
The fund instruction shall transfer the funds to the account designated by the fund manager in time on the designated transfer date.
3. When issuing dividend payment instructions, the Fund Manager shall set aside necessary funds for the Fund Custodian
Time.
8、 Calculation and accounting of fund net asset value
（1） Calculation and review of net fund assets, net fund unit values and cumulative net fund unit values
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
The net asset value of the fund refers to the value of the total asset value of the fund minus the liabilities.
The Fund Manager shall value the Fund assets on each valuation date, but the Fund Manager shall, in accordance with laws, regulations or
Except when the valuation is suspended as stipulated in the fund contract. The valuation principle shall comply with the Fund Contract and the CSRC
The Commission's Guiding Opinions on Securities Investment Fund Valuation Business and other laws and regulations. For Base
The fund manager is responsible for calculating the net value of fund units and the cumulative net value of fund units disclosed by the fund information
Checked by the custodian. The Fund Manager shall calculate the net asset value
The net value of fund units and the cumulative net value of fund units shall be sent to the fund custodian in an agreed manner. Gikinto
After the custodian reviews the net value calculation result, it will feed back the review result to the fund manager, who will
The net fund value information shall be published.
The Fund is valued as follows:
1. Valuation of fixed income varieties traded in stock exchanges
(1) The bonds listed on the exchange for net price trading (unless otherwise specified) shall be subject to the third party on the valuation date
The net price of the corresponding variety provided by the valuation agency is used for valuation.
(2) The bonds listed on the Exchange but not traded at net price shall be subject to the closing price on the valuation date or the third-party valuation agency
The estimated full price of the corresponding varieties provided on the current day minus the bond closing price or the bond receivables included in the estimated full price
The net price of interest is estimated; There is no quotation on the valuation date and there is no impact on the fair value after the latest transaction date
For major events measured, the closing price of bonds on the latest trading day or the corresponding products provided by a third-party valuation agency
The net amount obtained by subtracting the closing price of bonds or the interest receivable of bonds contained in the full valuation price of bonds on the date of
Price. If the economic environment has changed significantly after the latest trading day or the securities issuer has had an impact
In case of major events of securities price, the current market price and major change factors of similar investment varieties can be referred to
The fair value is determined by adjusting the market price of the latest transaction.
(3) The fair value of the securities listed on the Exchange without an active market shall be determined by valuation techniques.
The fair value of asset-backed securities listed on the exchange is determined by valuation technology, which is difficult to
If the fair value is measured, it shall be valued at cost.
2. The securities in the unlisted period shall be handled according to the following circumstances:
(1) For the initial public offering of unlisted bonds, the fair value is determined using valuation techniques
If it is difficult to reliably measure the fair value, it shall be valued at cost.
(2) For unlisted or unlisted bonds issued in the exchange market
Under such circumstances, the unadjusted quotation in the active market shall be taken as the fair value on the valuation date; For active markets
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
If the market quotation fails to represent the fair value on the valuation date, the market quotation shall be adjusted to confirm the valuation
The fair value on the date; Valuation techniques should be used when there is no active market or few market activities
To determine its 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. yes
The fixed income varieties including the investor's right to sell back have not been sold back after the deadline (including the date) of the registration of the sale back
The right shall be valued at the price corresponding to the long outstanding period. Unlisted in the inter-bank market and assessed by a third party
There is no significant difference between the issuing interest rate and the secondary market interest rate for bonds whose valuation price is not provided by the value institution,
If there is no significant change in the market interest rate during the unlisted period, it shall be valued at cost.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. Repurchases are presented at cost, and interest receivable or payable is accrued daily during the repurchase period at the contractual interest rate.
6. 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
Amount or agreed interest rate accrues interest every natural day. In case of withdrawal in advance or change in interest rate, account shall be made as required
Business adjustment.
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 purchase or redemption, the Fund Manager may adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
10. The Fund Manager may, based on the principle of protecting the interests of fund share holders, perform legal procedures
Enable the side pocket mechanism.
11. 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 specified in the fund contract
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
If the procedures and relevant laws and regulations fail to fully protect the interests of fund share holders
Inform the other party, find out the reason together, and the two parties will solve it through consultation.
According to relevant laws and regulations, the obligations of the fund manager to calculate the net fund value information and fund accounting 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 relevant parties
The Fund Manager shall publish the results of the calculation of the net value of the Fund to the public, thereby providing information to the Fund Unitholders and
The loss caused by the fund and the loss caused by the error of deferral of the calculation of the net value of the fund on the trading day
The fund manager is responsible for compensation, and the fund custodian is not responsible for compensation.
（2） Net value error handling
In case of any error in the calculation of net value, the Fund Manager shall be responsible for handling it, and then give it to the Fund Unitholders
And the Fund, the Fund Manager shall pay compensation to the Fund Unitholders or the Fund in advance.
The Fund Manager and the Fund Custodian shall define the responsibilities of both parties according to the actual situation, and after confirmation
Compensation shall be made in the following clauses.
1. If Chapter VIII "Calculation and Review of Net Fund Assets and Net Fund Unit Values" of this Agreement is adopted
If the fund manager's net value is calculated incorrectly when processing from 1 to 7, 9 and 10 of the valuation method
If the custodian fails to find out in the review process and causes losses to fund share holders, it shall comply with laws and regulations
The amount of compensation actually paid to investors or funds,
The Fund Manager and the Fund Custodian shall bear their respective responsibilities according to the proportion of the management rate and the custody rate
Ren;
2. For example, the calculation results of the fund manager and the fund custodian on the net value of fund units, although repeated
Calculate and check. If no agreement can be reached, in order to avoid failing to publish the net value of fund units on time,
Losses caused to fund share holders and the fund due to the disclosure of the calculation results of the fund manager
The fund manager shall be responsible for the losses caused by the error of deferring the calculation of the net asset value of the fund on the trading day
The Fund Custodian shall not be liable for compensation;
3. 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.
Data sent by stock exchanges or registration and clearing companies due to force majeure
The Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures
The Fund Manager and
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
The Fund Custodian shall be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures
Mitigate or eliminate the resulting impact.
For the handling of net worth errors, if there are new provisions in laws and regulations or the CSRC, the new provisions shall prevail
that 's ok; If the industry has common practices, on the premise of not violating laws and regulations and not damaging the interests of investors,
Both parties shall renegotiate on the principles of equality and protection of the interests of fund share holders.
（3） 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
Evaluate and disclose the net asset value of the fund and the net share value of the main pocket account, and suspend the disclosure of the net share value of the side pocket account.
The accounting of side pocket accounts shall comply with the relevant requirements of the Accounting Standards for Business Enterprises.
（4） Fund accounting system
The accounting system formulated by relevant national departments shall be followed.
（5） Establishment of fund account book
After the Fund Agreement comes into force, the Fund Manager and the Fund Custodian shall follow the same principle as agreed by both parties
The bookkeeping method and accounting treatment principle shall independently set up, record and keep the full set of account books of the Fund,
Regularly check the account books of both parties and supervise each other to ensure the safety of fund assets. If both parties
If there are differences in the accounting treatment method, the treatment method of the fund manager shall prevail.
（6） Reconciliation of accounting data and financial indicators
Both parties shall check the accounts on each valuation day. If the accounts of both parties are found to be inconsistent, the fund manager
And the Fund Custodian must promptly identify the causes and correct them to ensure consistency. If the check on the same day is inconsistent, temporarily
If the reason for the wrong account cannot be found, which affects the calculation and announcement of the net asset value of the fund, the fund management
People's account books shall prevail.
（7） Preparation and review of regular reports of the Fund
The financial statements of the Fund shall be independently prepared by the Fund Manager and the Fund Custodian on a monthly basis. Of the monthly report
The preparation shall be completed within 5 working days after the end of each month. The regular report documents shall comply with the requirements of the CSRC
Ask for announcement. The preparation of quarterly statements shall be completed within 15 working days after the end of each quarter; In the Fund Agreement
If the information in the Prospectus and the summary of fund product information has changed significantly after the entry into force of the same Rules
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
The fund manager shall, within three working days, update the fund prospectus and the summary of fund product information and register
On the specified website; In case of any change in other information in the prospectus and the summary of fund product information,
The Fund Manager shall be updated at least once a year. If the fund terminates its operation, the fund manager will no longer update the recruitment statement
Description and product information summary. The Fund Manager shall complete the preparation within three months from the end of each year
The annual report of the Fund will be published on the specified website and the advisory announcement of the annual report will be published
In the required newspaper. The Fund Manager shall complete the preparation of the Fund within 2 months from the end of the first half of the year
The interim report will be published on the specified website, and the indicative announcement of the interim report will be published on the regulation
On the newspaper. The fund manager shall complete the fund quarter within 15 working days from the end of the quarter
The quarterly report will be published on the specified website, and the indicative announcement of the quarterly report will be published on the specified website
In the press. If the fund contract takes effect less than two months ago, the fund manager may not prepare the current quarterly report
Interim report or annual report.
The Fund Manager shall complete the preparation of the statements of the previous month within three working days at the beginning of the month, and shall agree to
To provide relevant statements to the Fund Custodian; The Fund Custodian shall review within 2 working days upon receipt,
And notify the Fund Manager of the review results in writing or in other ways agreed by both parties in a timely manner. For quarterly reports
The Fund Manager and
The Fund Custodian shall complete the preparation, review and announcement within the time specified by the above regulatory authorities. Fund Custodian
In the process of review, if the statements of both parties are found to be inconsistent, the Fund Manager and the Fund Custodian shall jointly check
The reason shall be specified and the adjustment shall be subject to the accounting treatment method agreed by both parties. If the Fund Manager and the Fund Manager
If the Fund Custodian fails to reach an agreement on the relevant statements before the date on which the announcement should be made, the Fund Manager has the right to
The statements prepared by the Fund Custodian shall be announced to the public, and the Fund Custodian shall have the right to report relevant information to the CSRC for filing.
After the Fund Custodian has reviewed the financial statements, quarterly reports, interim reports or annual reports,
The review confirmation letter (seal) or electronic confirmation can be issued for the competent authority to review the relevant documents
Check.
9、 Fund income distribution
Fund income distribution refers to the distribution of the distributable income of the Fund in proportion to the number of fund units held
Distribute to fund share holders.
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.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
（1） The fund income distribution shall comply with the provisions of the income distribution principle in the fund contract, and the specific provisions are as follows:
Bottom:
1. 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 investors do not choose, the Fund
The default income distribution method is cash dividends;
2. After the distribution of fund income, the net value of fund units cannot be lower than the par value, that is
The net value of fund units less the amount of income distribution per unit of fund units cannot be lower than the par value;
3. Each fund share has the same distribution right;
4. Income distribution can be carried out only when the profit available for distribution of the fund is positive;
5. The fund units formed by investors' cash dividends and dividend reinvestment are retained to the second decimal point
Digit, the third digit after the decimal point shall be rounded off, and the rounded part shall be returned to fund assets;
6. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In compliance with laws and regulations and the fund contract, and without material adverse effect on the interests of fund share holders
The Fund Manager may adjust the fund income distribution principle and payment method without calling
Hold a general meeting of fund unit holders.
（2） Determination and announcement of fund 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 are announced in the specified media.
The time from the fund dividend payment date to the base date of income distribution (i.e. the deadline for calculating the profit available for distribution)
The interval shall not exceed 15 working days.
（3） Expenses incurred in fund income distribution
The dividend reinvestment method is adopted for income distribution, and the reinvestment fee is exempted.
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, which is insufficient to pay the bank transfer or other handling fees
The fund registration institution may automatically convert the cash dividends of fund share holders into fund shares. Dividend reinvested
The calculation method shall be in accordance with the Business Rules.
（4） Income distribution during the implementation of side pocket mechanism
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution, and the Fund Manager can
Part of the agreement is to distribute the income to the main pocket account.
10、 Fund information disclosure
（1） Confidentiality obligations
Except in accordance with the Fund Law, the Fund Contract, the Information Disclosure Measures and the CSRC's
In addition to the disclosure of relevant provisions on fund information disclosure, the Fund Manager and the Fund Custodian shall make public disclosure
The former fund information, business information obtained from the other party and other fund information not suitable for public disclosure shall be insured
It shall not be disclosed to any third party. Unless otherwise stipulated by laws and regulations or required by audit.
The following circumstances shall not be deemed as breach of confidentiality obligations by the Fund Manager or the Fund Custodian:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the court judgment, arbitration award or CSRC
It will wait for the order of the regulatory authority to decide the information disclosure or disclosure.
（2） Responsibilities and information disclosure procedures of the Fund Manager and the Fund Custodian in fund information disclosure
The Fund Manager and the Fund Custodian shall, in accordance with relevant laws and regulations
Undertake corresponding information disclosure responsibilities. The Fund Manager and the Fund Custodian shall actively cooperate, supervise and urge each other
They shall supervise each other to ensure that they perform their obligations of disclosure in accordance with the statutory manner and time limit.
The documents for information disclosure of the Fund, including periodic reports, interim reports
Fund net value announcement, updated prospectus, summary of fund product information, liquidation report, clarification announcement
And other necessary announcement documents prescribed by the CSRC shall be drafted and announced by the fund manager.
The Fund Custodian shall review the relevant reports in accordance with Article 8 (6) of this Agreement. base
The Golden Annual Report may be disclosed only after being audited by an accounting firm qualified to engage in securities and futures related businesses.
The information disclosure announcement of the Fund must be released in the media specified by the CSRC.
（3） Suspension or delay of information disclosure
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 trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
3. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
If the fair value is still significantly uncertain due to the use of valuation techniques
To decide to suspend the valuation;
4. Laws and regulations, fund contract or the situation stipulated by the CSRC.
（4） Fund Custodian Report
The Fund Custodian shall issue a report on fund custody in accordance with the Fund Law and the relevant provisions of the CSRC
Notice. The report of the Fund Custodian states that the semi annual/annual Fund Custodian and the Fund Manager perform the Fund Agreement
The situation of the Fund is an integral part of the Fund's interim report and annual report.
11、 Fund expenses
（1） Management fee of fund manager
The management fee of the Fund is accrued at an annual fee rate of 0.30% of the net asset value of the Fund on the previous day. Calculation of management fee
The calculation method is as follows:
H ＝ E × 0.30% ÷ 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
The fund management fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
The fund custodian sends the fund management fee transfer instruction, and the fund custodian will review it for the fifth time from the first day of the next month
It shall be paid to the fund manager in a lump sum from the fund property within working days. In case of legal holidays, public holidays, etc,
The payment date shall be postponed.
（2） Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.10% of the net asset value of the Fund on the previous day. Custody fee
The calculation method is as follows:
H ＝ E × 0.10% ÷ 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, accumulated to the end of each month day by day, and paid monthly
The Fund Custodian sends the instruction of fund custody fee transfer, and the Fund Custodian reviews the instruction for the fifth task from the first day of the next month
One time withdrawal from fund assets within a day. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
Items 3-9 of the above (I) "Types of fund expenses" shall be subject 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
And shall be paid from the fund property in accordance with the industry practice.
（3） Expenditures from the fund assets other than the management fees of the fund manager and the custody fees of the fund custodian
Other fund expenses shall be in accordance with relevant laws and regulations and the provisions of the Fund Contract; Fund Manager and Fund Manager
Expenses or losses of the Fund property caused by the failure of the Fund Custodian to perform or fully perform its obligations; and
Expenses incurred in matters unrelated to the operation of the fund shall not be included in the fund expenses. Phase before the Fund Contract comes into effect
Relevant fees, including attorney fees, accountant fees and information disclosure fees, shall not be disbursed from the fund assets; Gikinto
If the administrator does not comply with the relevant provisions of the Fund Law, the Operating Measures and the Fund Contract
He has the right to refuse to pay the fees.
（4） Fund expenses during the implementation of the side pocket mechanism
1. If the Fund implements the side pocket mechanism, the management fee and custody fee of the main pocket account shall be based on the fund fund of the main pocket account
Net asset value is withdrawn as the base; No management fee is charged for the assets in the side pocket account, and the custody fee is changed according to the disposal of specific assets
The current value is withdrawn as the base.
2. The fund manager can disburse the expenses related to the side pocket account from the side pocket account, but should wait for the side pocket account
The specific assets in the pocket account can be disbursed only after they are realized.
12、 Custody of the Register of Fund Unitholders
The fund manager may entrust the fund registration institution to register and maintain the register of fund unit holders. Funds
The contents of the register of fund holders shall include but not limited to the names of fund unit holders and the fund units they hold.
The register of fund unit holders, including the register of fund unit holders at the end of the fund raising period
The register of fund unit holders on the registration date of gold equity, and the fund units on the registration date of the general meeting of fund unit holders
The register of holders and the register of fund share holders on the last trading day of each year shall be kept by the fund registration authority
Be responsible for the preparation and safekeeping of the register of fund share holders, and be responsible for the authenticity, integrity and accuracy of the register of fund share holders. protect
The deposit term shall not be less than 20 years from the date of cancellation of the fund account.
The Fund Manager shall provide funds to the Fund Custodian regularly and irregularly as required by the Fund Custodian
Register of unit holders.
（1） The Fund Manager shall work 10 days after the effective date of the Fund Agreement and the termination date of the Fund Agreement
Provide the Fund Custodian with the register of Fund Unitholders prepared by the registration institution within days;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
（2） The Fund Manager shall, within 5 working days after the registration date of the rights and interests of the general meeting of the Fund Unitholders
The fund custodian shall provide the register of fund unit holders prepared by the registration authority;
（3） The Fund Manager shall, within 10 working days after the last trading day of each year, submit to the Fund Custodian
The register of fund share holders prepared by the registration institution;
（4） In addition to the above agreed time, if it is really necessary for business, the Fund Custodian and the Fund Manager
After consultation, the Fund Manager shall provide the Fund Custodian with the holding of fund units prepared by the registration authority
roster.
The Fund Custodian shall properly keep the register of Fund Unitholders in electronic form and regularly print it into CD
The backup shall be kept for 15 years. The Fund Custodian shall not use the register of Fund Unitholders kept for
Other purposes other than fund custody business, and shall comply with confidentiality obligations. If the fund manager or fund custodian
If a person is unable to properly keep the register of fund share holders due to his/her own reasons, he/she shall undertake
Take corresponding responsibilities.
13、 Preservation of Fund related documents and archives
The Fund Manager shall keep records, account books, statements and other relevant information on the business activities of fund property management
The Fund Custodian shall keep the records, account books, statements and other relevant information of the Fund custody business activities
Materials.
The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers
Financial books, accounting reports, transaction records and important contracts shall be kept for at least 15 years.
After the Fund Manager signs a major contract, it shall promptly deliver the original of the contract to the Fund Custodian
At. The Fund Manager shall promptly transmit the contracts and agreements related to the accounting treatment and fund allocation of the Fund
To the Fund Custodian.
After the change of the Fund Manager or the Fund Custodian, the party that has not changed is obliged to assist the successor in taking over the Fund
Gold related documents.
14、 Replacement of Fund Manager and Fund Custodian
（1） Replacement of Fund Manager
1. Termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
(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. 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 formed by the fund managers, and such resolution shall be subject to the voting rights held by the fund share holders attending the meeting
The resolution shall come into force as of the date when it is passed by more than two-thirds (including two-thirds) of the votes;
(3) Temporary Fund Manager: The CSRC shall designate a temporary fund manager before the new fund manager is appointed
Fund manager;
(4) Filing: the resolution of the general meeting of fund share holders to change the fund manager must be reported to the CSRC for filing
Case;
(5) Announcement: After the replacement of the Fund Manager, the Fund Custodian shall replace the Fund Manager's shares of the Fund
After the resolution of the general meeting of shareholders takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
(6) Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business
And timely handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager,
The temporary fund manager or the new fund manager shall take over in a timely manner. The new or temporary fund manager shall
The Fund Custodian checks the total value and net value of the Fund's assets;
(7) Audit: If the duties of the fund manager are terminated, the fund manager shall employ an accounting firm in accordance with laws and regulations
The financial office shall audit the fund assets, announce the audit results, and report to the CSRC for filing,
The audit fee shall be borne by the fund property;
(8) Change of fund name: after the replacement of the 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） Replacement of Fund Custodian
1. Circumstances of termination of the Fund Custodian's duties
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;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
(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 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 shall form a resolution, which shall be subject to the voting rights held by the Fund Unitholders attending the meeting
The resolution shall come into force as of the date when it is passed by more than two-thirds (including two-thirds) of the votes;
(3) Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Fund 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
Case;
(5) Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund shares of the Fund Custodian
After the resolution of the general meeting of shareholders takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
(6) Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody industry
To handle the transfer procedures of fund assets and fund custody business in a timely manner
The temporary fund custodian shall accept it in a timely manner. The new or temporary fund custodian checks the fund with the fund manager
Total value and net value of assets;
(7) Audit: If the duties of the Fund Custodian are terminated, an accounting firm shall be employed in accordance with laws and regulations
The financial office shall audit the fund assets, announce the audit results and report to the CSRC for filing.
The audit fee shall be borne by the fund property.
（3） The Fund Manager and the Fund Custodian are replaced at the same time
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
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
Joint announcement shall be made on the specified media within 2 working days after the resolution of the general meeting of fund unit holders of the custodian takes effect
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
（4） The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
The part that directly refers to laws and regulations or regulatory rules, such as the revision of laws and regulations or regulatory rules in the future
If the relevant content is cancelled or changed, the Fund Manager and the Fund Custodian may, after reaching an agreement and making an announcement in advance
Directly modify and adjust the corresponding contents without convening a general meeting of fund share holders for deliberation.
15、 Prohibited acts
The prohibited acts of the Fund Manager and the Fund Custodian under this Agreement are as follows:
（1） Acts prohibited by Articles 20 and 38 of the Fund Law.
（2） Unless otherwise stipulated by laws and regulations and the CSRC, the parties to the custody agreement shall not use the fund
The property is engaged in investment or activities prohibited by Article 73 of the Fund Law.
（3） Unless otherwise specified in the Fund Law and other relevant regulations, the Fund Contract and the CSRC,
The Fund Manager and the Fund Custodian shall not use the Fund assets to seek benefits for themselves or any third party.
（4） The Fund Manager and the Fund Custodian have not yet complied with the relevant laws and regulations
The information publicly disclosed in a prescribed manner shall not be disclosed to others.
（5） The Fund Manager shall not send a transfer to the Fund Custodian when the fund position is insufficient
Instruction.
（6） When the fund position is sufficient and sufficient time is allowed for the fund custodian to execute the instructions,
The Fund Custodian shall not delay the Fund Manager's instructions in compliance with laws and regulations, the Fund Contract and this Agreement
Or refuse to execute.
（7） Unless otherwise specified in the Fund Manager's instructions or the Fund Agreement, the Fund Custodian shall not
The fund assets may be used or disposed of.
（8） The Fund Manager and the Fund Custodian shall not be the same institution, nor shall they make capital contributions or hold
shares. The Fund Custodian and the Fund Manager shall be administratively and financially independent from each other
Managers or other employees shall not take part-time jobs with each other.
（9） Investment prohibited in the investment restrictions of the Fund Contract.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
（10） Other behaviors prohibited by laws and regulations, the Fund Contract and this Agreement.
If laws, regulations and regulatory authorities cancel the above prohibitive provisions, the Fund will not be subject to the above restrictions.
16、 Change and termination of fund custody agreement and liquidation of fund assets
（1） Changes to the Fund Custody Agreement
The parties to this agreement may amend the agreement upon consensus. The revised new agreement,
Its contents shall not conflict with the provisions of the Fund Contract in any way. The revised new agreement shall be reported to the Chinese Securities
Recorded by the Regulatory Commission.
（2） Termination of the Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is dissolved, revoked or bankrupt according to law, or is disqualified from fund custody according to law or
Other fund custodians take over the fund property due to other reasons;
3. The Fund Manager is dissolved, revoked or bankrupt according to law, or is disqualified from fund management according to law or
He caused other fund managers to take over the fund management right.
4. The Fund Law, Sales Measures, Operation Measures or other laws and regulations
Termination.
（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 fund asset liquidation group, and the fund manager shall organize the fund asset liquidation group and supervise it in the CSRC
Supervise the fund liquidation.
2. Composition of the Fund Assets Liquidation Team: the members of the Fund Assets Liquidation Team are entrusted by the Fund Manager and the Fund
People, certified public accountants and lawyers qualified to engage in securities and futures related businesses, and designated by the CSRC
The personnel composition of. 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 Property Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
(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 shall not exceed 6 months, but the liquidity of the securities held by the Fund is subject to
If the securities cannot be realized in a timely manner due to restrictions, the fund manager may conduct a secondary liquidation after such securities are negotiable. Base
The liquidation period of the fund shall be automatically extended to the date when all fund assets have been liquidated.
6. Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid from the fund assets by the fund assets liquidation group in priority.
7. Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
8. Announcement of Fund Asset Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report has been approved in accordance with the Securities
The accounting firm specified in the Law of the People's Republic of China shall audit and the law firm shall issue a legal opinion and report it to the CSRC
Record and publish. 5 fund asset liquidation announcements after the fund asset liquidation report is submitted to the CSRC for filing
The Fund Assets Liquidation Group shall make an announcement within working days, and the Fund Assets Liquidation Group shall register the liquidation report
It shall be published on the specified website, and the suggestive announcement of the liquidation report shall be published on the specified newspaper.
9. Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian for at least 15 years.
17、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or the performance of this Agreement is inconsistent with the agreement,
It shall bear the liability for breach of contract.
（2） The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
If any damage is caused to the Fund property or the Fund Unitholders as stipulated in the provisions or this Custody Agreement
Respectively bear the liability for compensation for their respective acts according to law; Holding of fund assets or fund units due to joint act
If anyone causes damage, he shall bear joint and several liability for compensation, and compensation for losses shall be limited to direct losses.
However, the party concerned shall be exempted from liability in the following circumstances:
1. The Fund Manager and/or the Fund Custodian shall comply with the provisions of the CSRC or the then effective laws
Losses caused by acts or omissions of laws and regulations;
2. The Fund Manager exercises or does not exercise the investment right in accordance with the investment principles specified in the Fund Contract
And losses caused by it;
3. Force majeure.
If the fund asset or fund is given due to the default of one party to this Agreement (the "defaulting party")
The investor causes losses, and the other party (the "observant party") compensates the fund assets or fund investment
The observant party shall have the right to recover all direct losses incurred from the defaulting party.
If one party breaches the contract, the other party is obliged to take necessary measures in a timely manner within the scope of its duties
Prevent the expansion of losses. If the loss is further expanded due to failure to take appropriate measures, it shall not
Claim for compensation. The reasonable expenses incurred by the non defaulting party to prevent the loss from expanding shall be borne by the defaulting party.
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 failed to
If this error is found, it will cause losses to the fund assets or fund investors, and the fund manager and fund custody
A person may be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate
Remove or reduce the resulting impact.
（3） If a party to the trusteeship agreement violates the trusteeship agreement and causes losses to the other party, it shall bear
Be liable for compensation.
（4） Although the breach of contract has occurred, this custody agreement can continue to be performed to the maximum extent
On the premise of protecting the interests of fund share holders, the Fund Manager and the Fund Custodian shall continue to perform this Agreement
agreement.
（5） The losses referred to in this agreement are direct losses.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
18、 Dispute resolution
Both parties agree that all disputes arising from or in connection with this Agreement shall be settled through
Amicable negotiation or mediation. The parties to the trusteeship agreement are unwilling to solve the problem through negotiation or mediation or negotiation
If mediation fails, either party has the right to submit the dispute to the Shanghai International Economic and Trade Arbitration Commission,
The arbitration shall be conducted in accordance with the Commission's arbitration rules in force at that time. The place of arbitration shall be Shanghai, and the arbitral award shall be final
And binding on both parties concerned. The arbitration fee shall be borne by the losing party.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian and continue to be loyal
Fulfill the obligations specified in the Fund Contract and this Agreement in a practical, diligent and responsible manner, and maintain the holding of fund shares
The legal rights and interests of people.
This Agreement shall be governed by the laws of the People's Republic of China.
19、 Effectiveness of the Fund Custody Agreement
（1） The Fund Custodian Association submitted by the Fund Manager when applying to the CSRC for the sale of fund units
The draft resolution shall be sealed by both parties to the custody agreement and signed by the legal representatives or authorized representatives of both parties
Sealed, both parties to the agreement modify the draft custody agreement according to the opinions of the CSRC. Escrow Agreement to
The text reported to the CSRC for registration is the official text.
（2） The Fund Custody Agreement shall be established as of the date of establishment of the Fund Contract
Effective from the effective date. The term of validity of the Fund Custody Agreement shall be from the effective date to the report of the liquidation results of the Fund assets
The date of filing and announcement by the CSRC.
（3） The Fund Custody Agreement shall have the same legal constraints on the parties to the Custody Agreement as of the effective date
power.
（4） The fund custody agreement is in six copies, except for one copy to be submitted to the CSRC and one copy to the CBRC
In addition, the Fund Manager and the Fund Custodian hold two copies respectively, each of which has the same legal effect.
20、 Other matters
Matters not covered in this agreement shall be handled through consultation by the parties in accordance with the fund contract, relevant laws and regulations, etc.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Custody Agreement
21、 Signing of Fund Custody Agreement
After this Custody Agreement is approved by the Fund Manager and the Fund Custodian, the two parties shall
The meeting shall be sealed and signed by their respective legal representatives or authorized representatives.