Huatai Baoxing Fund Management Co., Ltd
Huatai Baoxing Anxin Pure Bond Securities Investment Fund
Fund contract
Fund Manager: Huatai Baoxing Fund Management Co., Ltd
Fund Custodian: Bank of Communications Co., Ltd
January, 2012
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
catalog
Part I Preface one
Part II Definitions three
Part III Basic Information of the Fund eight
Part IV Sale of Fund Units ten
Part V Fund Filing twelve
Part VI Subscription and Redemption of Fund Units thirteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-three
Part VIII General Meeting of Fund Unitholders thirty
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian thirty-nine
Part X Custody of the Fund forty-two
Part XI Registration of Fund Units forty-three
Part XII Investment of the Fund forty-five
Part XIII Assets of the Fund fifty-two
Part XIV Valuation of Fund Assets fifty-three
Part XV Fund Fees and Taxes fifty-eight
Part XVI Income and Distribution of the Fund sixty
Part XVII Accounting and Audit of the Fund sixty-two
Part XVIII Information Disclosure of the Fund sixty-three
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy
Part XX Liability for Breach of Contract seventy-two
Part XXI Dispute Settlement and Applicable Law seventy-three
Part XXII Effectiveness of the Fund Contract seventy-four
Part XXIII Other Matters seventy-five
Part XXIV Summary of the Fund Contract seventy-six
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Contract Law of the People's Republic of China (hereinafter referred to as the "Contract")
The same law), the Law of the People's Republic of China on Securities Investment Funds (hereinafter referred to as the "Fund Law")
Administrative Measures for the Operation of Publicly Offered Securities Investment Funds (hereinafter referred to as the "Operation Measures")
Administrative Measures for the Sale of Securities Investment Funds (hereinafter referred to as "Sales Measures")
Administrative Measures for Information Disclosure of Funds (hereinafter referred to as "Information Disclosure Measures")
Provisions on Liquidity Risk Management of Open ended Securities Investment Funds (hereinafter referred to as "Provisions on Liquidity Risk Management")
And other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract
Any document or statement relating to the rights and obligations of the parties to the fund contract related to the fund, such as
In case of any conflict in the fund contract, the fund contract shall prevail. The parties to the fund contract shall comply with the Fund Law and the fund contract
And other relevant provisions.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Fund investment
The investor shall become the fund share holder and a party to the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of holding fund shares itself indicates its recognition and acceptance of the fund contract.
3、 Huatai Baoxing Anxin pure bond securities investment fund is invested by the fund manager in accordance with the Fund Law
The fund contract and other relevant regulations have been raised and approved by the China Securities Regulatory Commission (hereinafter referred to as "China
CSRC).
The registration of the Fund raised by the CSRC does not indicate the investment value of the Fund and the market value of the Fund
The fact that the Fund makes substantive judgments or guarantees does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence,
However, there is no guarantee that investment in the Fund will be profitable, nor will there be any guarantee of minimum return.
Investors should carefully read the fund contract, fund prospectus, fund product information summary and other information
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Disclose documents, judge the investment value of the fund independently, make investment decisions independently, and bear investment risks independently.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract
If the content involves defining the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract
The contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The number of fund units held by a single investor of the Fund shall not reach or exceed the total number of fund units
50%, but in the process of fund operation, if the redemption of fund shares or other circumstances lead to passive reaching or exceeding 50%, except
Outside. If there are other provisions in laws, regulations and regulatory agencies, such provisions shall prevail.
7、 The requirements for the preparation, disclosure and update of the fund product information outline agreed in the Fund Agreement are as follows:
The Disclosure Measures shall be implemented one year after the date of implementation.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: Huatai Baoxing Anxin Pure Bond Securities Investment Fund
2. Fund Manager: Huatai Baoxing Fund Management Co., Ltd
3. Fund Custodian: Bank of Communications Co., Ltd
4. Fund contract or this fund contract: Huatai Baoxing Anxin Pure Bond Securities Investment Fund
Gold Contract and any effective amendments and supplements to the Fund Contract
5. Custody Agreement: refers to the "Huatai Baoxing Anxin" signed between the Fund Manager and the Fund Custodian for the Fund
Custody Agreement of Pure Bond Securities Investment Fund and any effective amendment and supplement to the Custody Agreement
6. Prospectus: refers to the Prospectus of Huatai Baoxing Anxin Pure Bond Securities Investment Fund
And its updates
7. Summary of fund product information: Huatai Baoxing Anxin Pure Bond Securities Investment Fund
Product Data Summary and its updates
8. Announcement on the sale of fund shares: Huatai Baoxing Anxin pure bond securities investment fund shares
Announcement of Volume Sale
9. Laws and regulations: refer to the laws, administrative regulations, normative documents
Judicial interpretations, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
10. Fund Law: refers to the Law of the Standing Committee of the Tenth National People's Congress on October 28, 2003
Adopted at the fifth session of the National People's Congress and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the membership committee, implemented since June 1, 2013, and approved by the
Standing Committee of the National People's Congress
The People's Republic of China revised the Decision on Amending Seven Laws Including the Port Law of the People's Republic of China
Heguo Securities Investment Fund Law and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the CSRC on March 15, 2013 and implemented on June 1 of the same year
Administrative Measures for the Sale of Securities Investment Funds issued by the Ministry of Finance of the People's Republic of China and amendments made by the promulgating authority from time to time
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
The Administrative Measures for the Information Disclosure of Publicly Offered Securities Investment Funds, implemented on January 1, 2006, and the promulgating authority made to it from time to time
Revision of
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Administrative Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017, the same year
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1 and promulgated
As amended from time to time by the Authority
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Bancassurance supervision and administration institution: refers to the People's Bank of China and/or the Bank of China
committee
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
18. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal person, public institution legal person and society legally registered and existing or established and existing with the approval of relevant government departments
Groups or unincorporated organizations
20. Qualified foreign institutional investor: refers to the qualified foreign institutional investor who meets the requirements of the Management of Domestic Securities Investment
The Measures and relevant laws and regulations provide that it can invest in the securities investment funds legally raised in China
Institutional investors outside China
21. RMB Qualified Foreign Institutional Investor: refers to the qualified foreign institutional investor in China
The Pilot Measures for Securities Investment (including its amendments from time to time) and relevant laws and regulations have been approved by the CSRC
And obtain the investment quota approved by the State Administration of Foreign Exchange, and use RMB funds from abroad
Overseas legal persons investing in domestic securities
22. Investors/investors: individual investors, institutional investors, qualified foreign institutional investors
RMB Qualified Foreign Institutional Investors and the purchase of securities investment funds permitted by laws and regulations or the CSRC
Collectively referred to as other investors of
23. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
24. Fund sales business: refers to the promotion of funds and the sale of fund shares by fund managers or sales agencies,
Handle the subscription, redemption, conversion, non trading transfer, custody transfer, fixed investment and other businesses of fund units
25. Sales agency: Huatai Baoxing Fund Management Co., Ltd., and in compliance with the Sales Measures and China
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund sales contract with the fund manager
Service agreement, the institution handling fund sales business
26. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
27. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is Huatai Baoxing Fund Management
Management Co., Ltd. or the institution entrusted by Huatai Baoxing Fund Management Co., Ltd. to handle the registration business
28. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
29. Fund transaction account: refers to the account opened by the sales agency for the investor and recorded that the investor passes through the sales machine
To handle subscription, subscription, redemption, conversion, re custody business, fund transaction, fixed investment and other businesses
Account of fund share change and balance caused by
30. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
31. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
32. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than 3 months
33. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
34. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
35. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
36. T+n day: refers to the nth working day from T day (excluding T day), and n is a natural number
37. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
38. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other business on an open day
39. Business Rules: refer to Huatai Baoxing Fund Management formulated by the fund manager and revised from time to time
The Open ended Fund Business Rules of the Limited Company is to standardize the open-end securities investment fund managed by the fund manager
The business rules on gold registration shall be jointly observed by the fund manager and investors
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
40. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
41. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
42. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
43. Fund conversion: refers to the fund share holders' effective public funds in accordance with the Fund Agreement and the Fund Manager at that time
To apply for converting the fund units of a fund managed by the fund manager into
Behavior of other fund units managed by the fund manager
44. Custody transfer: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
45. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency and the agreement on each application
The purchase date, purchase amount and deduction method shall be recorded by the sales agency in the bank account designated by the investor on the agreed purchase date of each period
An investment method for automatically completing deduction and accepting fund purchase applications in the account
46. Massive redemption: refers to the application for net redemption of fund units (redemption of applied units) on a single open day of the Fund
The total amount plus the total number of transferred out application units in the fund conversion minus the total number of subscription application units and the total number of transferred out application units in the fund conversion
The balance after transferring the total number of applied shares) exceeds 10% of the total fund shares on the previous open day
47. RMB: refers to RMB
48. Fund income: refers to the bond interest obtained from fund investment, the price difference between buying and selling securities, bank deposit interest
Other legal income realized and cost and expense savings arising from the use of fund assets
49. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, and fund receivables
Total value of funds and other assets
50. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
51. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
52. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
53. Regulated media: national reports for information disclosure that meet the conditions specified by the CSRC
Internet websites (including the website of the fund manager and the website of the fund custodian) specified in the Information Disclosure Measures
Website, CSRC fund electronic disclosure website) and other media
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
54. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at a reasonable price, including but not limited to reverse repurchase with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares, and negotiable securities
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
Traded bonds, etc
55. Swing pricing mechanism: when open-end funds are subject to large purchase and redemption
In the form of net amount, the market shock cost of the fund's adjusted portfolio is allocated to the actual subscription and redemption investments
Investors, so as to reduce the adverse impact on the interests of stock fund share holders and ensure the legitimate rights and interests of investors
Be protected and treated fairly
56. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of account settlement is to effectively isolate and defuse risks and ensure that investors are treated fairly,
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account
The account is called side pocket account
57. Specific assets: including: (1) There is no active market price to refer to and the valuation technology is still adopted
Assets with significant uncertainty in fair value; (2) Measured at amortized cost and provision for asset impairment
Assets that still lead to significant uncertainty of asset value; (3) Significant inaccuracy in the value of other assets
Qualitative assets
58. Force majeure: refers to the objective that the parties to the Fund contract cannot foresee, avoid and overcome
event
59. China: refers to the People's Republic of China. For the purpose of this Fund Contract, Hong Kong Special Administrative Region
Macao Special Administrative Region and Taiwan
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part III Basic Information of the Fund
1、 Fund name
Huatai Baoxing Anxin Pure Bond Securities Investment Fund
2、 Category of fund
Bond securities investment fund
3、 Operation mode of the fund
Contractual and open
4、 Investment objectives of the Fund
Strive to achieve investment return beyond performance benchmark in the long term under the premise of strict control of investment risk
Newspaper.
5、 Total amount and amount of minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million, and the amount raised by the Fund is not less than 200 million yuan.
6、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
The subscription rate of the Fund shall be subject to the provisions of the Prospectus and the summary of fund product information.
7、 Duration of the Fund
Irregular
8、 Type of Fund Units
Without violating laws and regulations, the Fund Agreement and not materially adverse to the rights and interests of fund share holders
In case of influence, according to the actual operation of the Fund, after performing the appropriate procedures, the Fund Manager may
As the case may be, after consultation with the Fund Custodian, the Fund unit category setting and the Fund unit classification method shall be adjusted
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
And the rules, adjust the subscription rate of the Fund, lower the redemption rate, change the charging method or stop
To stop the sale of existing fund units, this adjustment does not need to convene a general meeting of fund unit holders, but it must be announced in advance
And report to the CSRC for filing.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Notice.
2. Way of sale
It is publicly sold through the fund sales outlets of each sales agency. For the specific list of each sales agency, see the fund
The amount offering announcement and the list of sales institutions disclosed on the fund manager's website.
The Fund is subscribed in full. Fund investors can subscribe for many times during the raising period,
However, once the subscription already applied for is accepted, the cancellation application will no longer be accepted.
The acceptance of the subscription application by the fund sales agency does not mean that the application must take effect, but only represents the sales machine
The organization has indeed received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application
Please refer to the confirmation of the subscribed shares. Investors should timely inquire and properly exercise their legal rights.
3. Target
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Qualified foreign institutional investors, RMB qualified foreign institutional investors, laws and regulations or permitted by the CSRC
Other investors who purchase securities investment funds.
2、 Subscription of Fund Units
1. Subscription fee
The subscription rate of the Fund shall be determined by the Fund Manager, and shall be listed in the Prospectus and Fund Product Information Summary
Listed in. The fund subscription fee shall not be included in the fund property.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the interest transfer share shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
Fund subscription shall be in the form of amount subscription. The specific calculation method of fund subscription units is shown in the prospectus
Listed in.
4. Handling method of subscribed share balance
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The calculation of subscribed shares shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. Investors may subscribe for fund units several times during the raising period, but the accepted subscription application is not allowed
revoke.
5. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds the total number of fund units
50%, the fund manager may limit the subscription application of the investor by means of proportion confirmation. base
The acceptance of a certain subscription application or some subscription applications by the fund manager may lead investors to evade the above 50% ratio in disguised form
If required, the Fund Manager has the right to reject all or part of such subscription applications. Fund shares subscribed by investors
The amount shall be subject to the confirmation of the registration authority after the fund contract takes effect.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part V Fund Filing
1、 Conditions for Fund Filing
The total number of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units,
If the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200
The offering period expires or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and
Engage a legal capital verification institution to verify the capital within 10 days, and report to the CSRC within 10 days from the date of receiving the capital verification report
It will handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall complete the fund filing procedures and obtain
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not take effect. base
The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
The fund manager shall deposit the funds raised during the fund raising into a special account, and before the end of the fund raising,
No one can use it.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Current deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; In case of the above circumstances for 60 consecutive working days, the Fund Manager shall, within 10 working days
The CSRC reports and proposes solutions, such as continuous operation, conversion of operation mode, merger with other funds, or
Or terminate the fund contract, and convene a general meeting of fund unit holders within six months.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be managed by the fund manager
Listed in the prospectus or other relevant announcements or publicized on the fund manager's website. The Fund Manager may
Change of situation or increase or decrease of sales agencies shall be publicized on the website of the fund manager. Fund investors should
Establishing a business place for fund sales business or handling fund units in other ways provided by the sales agency
Subscription and redemption.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription and redemption of fund units on the open day, and the specific handling time is Shanghai Stock Exchange
The trading hours of the Exchange and Shenzhen Stock Exchange on normal trading days, but the Fund Manager shall, in accordance with laws and regulations
Except for the suspension of subscription and redemption as required by the CSRC or the Fund Contract.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
Under other special circumstances, the Fund Manager will adjust the aforesaid opening days and hours accordingly, but
It shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date.
2. Start date of subscription and redemption and business handling time
The Fund Manager shall handle the subscription within 3 months from the effective date of the Fund Agreement, and the specific business shall be handled
The processing time shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
The starting time of subscription and redemption shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Redemption or conversion. The investor puts forward the subscription, redemption or transfer on a date and time other than that specified in the fund contract
If the application for exchange is confirmed and accepted by the registration authority, the subscription, redemption and conversion prices of the fund units shall be the next open day
The price of subscription, redemption and conversion of fund units.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption price is the net value of fund units calculated after the closing of the application day
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Value as the benchmark for calculation;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
4. Redemption follows the principle of "first in, first out", that is, it is carried out in the order of investors' subscription and purchase
Ordinal redemption;
5. The Fund Manager has the right to determine the maximum amount of the Fund held by the Fund Unitholders and the
Total scale limit, but it shall be regulated in accordance with the relevant provisions of the Information Disclosure Measures at the latest before the implementation of the new limit
Announcement on fixed media;
6. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed.
The Fund Manager may adjust the above principles if permitted by laws and regulations. Fund manager
It must be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption.
When subscribing for fund units, investors shall prepare sufficient subscription funds in the manner prescribed by the sales agency
When submitting the redemption application, there must be sufficient fund unit balance, otherwise the submitted application for subscription and redemption will not
Establishment.
Documents to be submitted by investors when handling subscription, redemption and other businesses, as well as handling procedures, handling time and handling
On the premise of complying with the provisions of the fund contract and the prospectus, the specific provisions of each sales agency are
Accurate.
2. Payment of subscription and redemption funds
When subscribing for fund units, the investor must pay the subscription amount in full within the specified time
Subscription funds, subscription application establishment; The subscription takes effect when the registration authority confirms the fund units.
The redemption is established when the fund unit holder submits the redemption application; The redemption takes effect when the registration institution confirms the redemption.
After the investor's redemption application takes effect, the fund manager will pay the redemption amount within T+7 days (including that day).
In the event of a major redemption or other circumstances specified in the Fund Contract where redemption is suspended or payment of redemption money is delayed
The payment method shall refer to the relevant provisions of the Fund Contract.
In case of data transmission delay, communication system failure, bank data exchange system failure
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Or other factors beyond the control of the fund manager and the fund custodian affect the business process
The payment time shall be postponed to the latest working day when the factor is eliminated.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day), under normal circumstances, the Fund's registration authority will
Validation. For the valid application submitted on T date, the investor shall timely submit the application after T+2 date (including that date)
Check the confirmation of the application at the counter of the sales outlet or in other ways specified by the sales agency. If the subscription fails
In case of failure, the subscription amount shall be returned to the investor. If the relevant laws and regulations and the CSRC stipulate otherwise,
The regulations shall prevail.
The acceptance of the application for subscription and redemption by the fund sales agency does not mean that the application must take effect, but only represents that
The sales agency has received the application for subscription and redemption. The confirmation of subscription and redemption is based on the confirmation result of the registration authority
Shall prevail. For the confirmation of the application, investors should timely inquire and properly exercise their legal rights.
The Fund Manager may, within the scope permitted by laws and regulations, not cause damage to the interests of Fund Unitholders
On the premise of damage, adjust the rules such as the time and method of handling the above business. The Fund Manager shall
Before the implementation of the rules, they shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
Please refer to the Prospectus or relevant announcements for the specific provisions of the minimum share returned.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to control the fund size based on the needs of investment operation and risk control
System. See the relevant announcement of the Fund Manager for details.
5. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Limit on the number of shares. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
It shall be announced on the specified media.
6. The Fund Manager has the right to determine the maximum amount of the Fund held by the Fund Unitholders and the
Total scale limit, but it shall be regulated in accordance with the relevant provisions of the Information Disclosure Measures at the latest before the implementation of the new limit
Announce on the fixed media.
6、 Purchase and redemption prices, fees and their uses
1. The calculation of the net value of the Fund units and the cumulative net value of the Fund units shall be retained to 4 decimal places,
The fifth digit after the decimal point shall be rounded off, and the resulting gains or losses shall be borne by the fund property. Fund on T day
The net value of units and the cumulative net value of fund units shall be calculated after the close of the day and announced within T+1 day. In case of special circumstances
The calculation or announcement may be appropriately delayed with the approval of the CSRC. Such as relevant laws and regulations and China
If the CSRC provides otherwise, the provisions shall prevail.
It is possible to confirm the subscription or redemption of investors according to the net value of fund units with the above reserved digits
If the net value of fund units fluctuates sharply, in order to protect the interests of fund unit holders, the Fund Manager and the Fund
The custodian may temporarily increase the reserved digits of the net value of fund units and the cumulative net value of fund units after reaching consensus
It shall be confirmed on this basis and restored after confirmation. The specific number of reserved digits shall be subject to the announcement at that time.
2. Calculation of subscription units and treatment of balance: calculation of subscription units of the Fund and treatment of balance
See the Prospectus for details. The subscription rate of the Fund is determined by the Fund Manager, and
Listed in the prospectus and fund product information summary. The effective share of subscription is the net subscription amount divided by the fund of the day
Net value of shares. The unit of effective shares is shares. The above calculation results are rounded to the decimal point
The last two, the income or loss arising therefrom shall be borne by the fund property.
3. Calculation and processing method of redemption amount: See details of calculation and processing method of redemption amount of the Fund
Prospectus. The redemption rate of the Fund shall be determined by the Fund Manager, and the redemption rate shall be determined by
Listed in the data summary. The redemption amount is the effective redemption unit actually confirmed multiplied by the net value of the fund unit on that day
And deduct the corresponding expenses, and the redemption amount unit is yuan. The above calculation results shall be rounded and retained
To 2 decimal places, the resulting gains or losses shall be borne by the fund property.
4. The subscription fee shall be borne by the investor and shall not be included in the fund property.
5. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. The proportion of redemption expenses included in the fund property shall be set in accordance with relevant laws and regulations
See the prospectus. The rest of the assets not included in the fund are used to pay the registration fee and other necessary
Service Charge. Among them, investors with a continuous holding period of less than 7 days will be charged a redemption fee of not less than 1.5%, and
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
It shall be included in the fund property in full.
6. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract, and shall be stated in the prospectus
Listed in the book. The fund manager may be within the scope agreed in the fund contract and have no real interest in the fund holder
Under the premise of adverse quality impact, the rate or charging method shall be adjusted and implemented at the latest in the new rate or charging method
Recently, it was announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
7. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations and
See the relevant announcements of the Fund Manager at that time for the provisions of the regulatory authorities and the self-discipline rules.
8. The fund manager may, within the scope of laws and regulations and the fund contract
On the premise that there is no material adverse effect on the interests of gold share holders, the fund promotion plan shall be formulated according to the market conditions,
Carry out fund promotion activities regularly or irregularly. During fund promotion activities
On the premise that there is no material adverse effect on the interests of some people, the Fund will
The manager may appropriately lower the fund subscription rate and the fund redemption rate and make an announcement.
9. The Fund Manager may, on the basis of the principle of protecting the interests of the Fund Unitholders, start after performing the legal procedures
Use the side pocket mechanism. At that time, the subscription and redemption arrangements of the Fund will be implemented in accordance with relevant laws and regulations and the provisions of the regulatory authorities
that 's ok.
7、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
2. The Fund Manager may refuse or temporarily suspend the valuation of the Fund assets as stipulated in the Fund Contract
Stop accepting the subscription application of investors. The assets with more than 50% of the net asset value of the fund on the current valuation date are unavailable
When the referenced active market price and the use of valuation techniques still lead to significant uncertainty in fair value
After the Fund Custodian has confirmed through consultation, the Fund Manager shall take measures to suspend the acceptance of the Fund subscription application.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. The Fund Manager's acceptance of one or some subscription applications may affect or damage the holding of existing fund units
When someone's interests or the interests of the holders of stock fund units are potentially adversely affected.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
It may have a negative impact on the performance of the Fund, or other circumstances may damage the interests of existing Fund Unitholders.
6. The abnormal conditions of the fund manager, fund custodian, fund sales agency or registration agency lead to
The gold sales system, fund registration system or fund accounting system cannot operate normally.
7. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of shares reaches or exceeds 50%, or evades 50% concentration in disguised form.
8. One or some subscription applications exceed the total fund size and net subscription ratio per day set by the fund manager
For example, the upper limit of a single investor's daily or single subscription amount.
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription under one of the above circumstances (1, 2, 3, 5, 6 and 9)
When applying for subscription, the fund manager shall publish a notice of suspension of subscription on the prescribed media in accordance with the relevant provisions. When
In case of any of the situations mentioned in Items 7 and 8 above, the Fund Manager may, by means of proportional confirmation
The Fund Manager shall also have the right to refuse all or part of the subscription applications. If cast
If the subscription application of the investor is rejected in whole or in part, the rejected subscription funds will be returned to the investor. Paused on
When the situation of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner and make an announcement according to law.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money. The net asset value of the fund on the current valuation date is more than 50%
There is no active market price for the asset to refer to and the use of valuation techniques still leads to significant non existence of fair value
In case of certainty, after consultation and confirmation with the Fund Custodian, the Fund Manager shall postpone the payment of redemption funds
Or suspend the acceptance of fund redemption applications.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders
The manager may suspend accepting the redemption application of the fund unit holder.
6. Other circumstances specified by laws and regulations or recognized by the CSRC.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
One of the above circumstances (except Item 4) occurs and the Fund Manager decides to suspend the holding of fund units
When a person applies for redemption or delays the payment of redemption money, the Fund Manager shall publish an announcement on the specified media
The Fund Manager shall pay in full the confirmed redemption application; If the payment cannot be made in full for the time being, the payable department shall
Distribute to the redemption applicant according to the proportion of the application amount of a single account in the total application amount, and the unpaid part can be deferred
The specific calculation standard shall be determined and announced by the fund manager at that time. In case of the situation described in item 4 above,
It shall be handled according to the relevant provisions of the fund contract. When applying for redemption, fund share holders may choose in advance to
The part that can not be accepted shall be revoked. When the suspension of redemption is eliminated, the Fund Manager shall resume redemption in a timely manner
The handling of return business shall be announced according to law.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
Under the premise of, the remaining redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on the current day shall be determined; For the non redeemable part
The investor can choose to postpone or cancel the redemption when submitting the redemption application. Those who choose to postpone redemption,
Will automatically transfer to the next business day to continue redemption until all redemption; If redemption is selected, the current day
Some redemption applications that have not been accepted will be cancelled. The deferred redemption application is together with the redemption application on the next open day
Processing, no priority and the redemption amount is calculated based on the net value of fund units on the following open day, and so on,
Until all redemption. If the investor fails to make a clear choice when submitting the redemption application, the investor fails to redeem
Some will be automatically postponed for redemption. Some deferred redemptions are not limited by the minimum amount of single redemption.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
If the fund is redeemed in a large amount, the redemption application of a single fund unit holder on the same day exceeds the previous open day
In the case of 20% of the total fund shares, the fund manager may postpone the application for redemption. Fund manager is working
On the premise that the proportion of redemption accepted per day is not less than 10% of the total fund shares of the previous open day, the rest of the redemption applications
Extension of time. For the redemption application on that day, the proportion of the redemption application amount of a single account in the total redemption application amount shall be
Proportion, to determine the redemption units accepted on that day; For the part that has not been redeemed, when the investor submits the redemption application
Redemption can be postponed or cancelled. If you choose to postpone redemption, it will be automatically transferred to the next open day to continue
Redemption until full redemption; If you choose to cancel redemption, some redemption applications that have not been accepted on that day will be
revoke. The deferred redemption application shall be processed together with the redemption application on the next open day, without priority and open to the next
The redemption amount is calculated on the basis of the net value of the fund units on the day of, and so on, until all the funds are redeemed.
(3) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money shall not exceed 20 working days and shall be announced on the specified media.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
Other methods specified in the prospectus (including but not limited to SMS, email or notification by the fund sales agency
Notify the fund share holders within 3 trading days, explain the relevant handling methods, and within 2 days
Publish a notice on the specified media.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall comply with the Information Disclosure Measures
The suspension notice shall be published on the specified media.
2. If the suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of subscription or redemption of the reopening of funds, and publish the net value of fund units on the latest open day.
3. If the suspension time exceeds 1 day, the Fund Manager may, according to the time of suspension of subscription or redemption
According to the relevant provisions of the Information Disclosure Measures, the reopening shall be published on the specified media at the latest on the reopening day
Announcement of subscription or redemption, and announcement of net value of fund units in the latest open day; It can also be based on the actual situation
The time for reopening subscription or redemption is specified in the suspension announcement, and the reopening will not be announced at that time
Notice.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
For the conversion business with other funds managed by the fund manager, a certain conversion fee may be charged for fund conversion,
The relevant rules shall be formulated and announced by the Fund Manager in accordance with relevant laws and regulations and the provisions of this Fund Agreement,
And inform the Fund Custodian and relevant institutions in advance.
12、 Transfer of Fund Units
If permitted by laws and regulations and conditions are met, the Fund Manager may accept the Fund Unitholders
The application for share transfer through the trading place or trading method recognized by the CSRC shall be submitted by the registration authority
Handle the transfer registration of fund units. If the Fund Manager intends to accept the transfer of fund units, it will make an announcement in advance,
Fund unit holders shall handle the transfer of fund units in accordance with the business rules announced by the Fund Manager.
13、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
Non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations, or
Conduct in accordance with relevant laws and regulations or the way required by the competent authorities of the state. Regardless of the above
Under such circumstances, the subject receiving the transfer must be an investor who can hold the fund shares of the Fund according to law, or
It shall be implemented in the manner required by laws and regulations or national authorities.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor;
Donation means that fund share holders donate their legally held fund shares to welfare foundations or societies
Association; Judicial enforcement means that the judicial authority holds
Fund units are forcibly transferred to other natural persons, legal persons or unincorporated organizations. Must be provided for non transaction transfer
Relevant materials required to be provided by the fund registration authority shall be registered as per the fund for qualified non transaction transfer applications
It shall be handled according to the regulations of the institution and charged according to the standards stipulated by the fund registration institution.
14、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
15、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager
Line regulations. The investor can agree on the amount of deduction in each period when handling the fixed investment plan
The amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
The minimum subscription amount of the investment plan.
16、 Freeze, unfreeze and pledge of fund shares
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, and
Freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations. If the fund shares are frozen,
The rights and interests generated by the frozen part are frozen at the same time, and the shares of the frozen part still participate in income distribution and payment. method
Unless otherwise specified by laws and regulations or regulatory authorities.
On the premise that there is no material adverse effect on unit holders, after performing relevant procedures, such as relevant laws
The laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses, and the fund manager will
Determine and implement corresponding business rules.
17、 The Fund Manager may, without violating the relevant laws and regulations or generating any benefit to the Fund Unitholders
Under the premise of adverse effects, supplement and adjust the above subscription and redemption arrangements and provide
As previously announced, it is unnecessary to convene a general meeting of fund share holders for deliberation.
18、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the Prospectus or relevant companies
Notice.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Legal representative: Yang Ping
Date of establishment: July 26, 2016
Approval authority and approval document number: CSRC, ZJXK [2016] No. 1309
Organizational form: limited liability company
Registered capital: RMB 240 million
Duration: continuous operation
Tel: 021-80299000
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions
Including but not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise the rights arising from the investment of fund assets in securities for the benefit of the Fund in accordance with laws and regulations;
(13) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(14) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(15) Formulate and adjust relevant fund subscription, subscription
Redemption, conversion, fixed investment, custody transfer, non trading transfer and other business rules;
(16) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
Including but not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property shall seek benefits for itself and any third party, and shall not entrust any third party to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report of the Fund;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
And reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, except for providing necessary information to external professional consultants such as audit and law consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law or in cooperation with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the raising period, and the Fund Contract cannot
In effect, the fund manager shall bear all the raising costs and add the raised funds to the bank demand deposit interest for the same period
Return to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Bank of Communications Co., Ltd
Address: No. 188, Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone (postcode: 200120)
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
Organizational form: limited liability company
Registered capital: 74.262 billion yuan
Duration: continuous operation
Approval document and document number of fund custody qualification: ZJJZ [1998] No. 25 of China Securities Regulatory Commission
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Custodian include
Including but not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(4) According to the relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund
Clearing securities trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Custodian include
Including but not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) In addition to the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions,
They shall not use the fund assets to seek benefits for themselves or any third party, and shall not entrust a third party to trust the fund assets;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract and the Custody Agreement, in accordance with the investment instructions of the Fund Manager, the Fund Manager shall promptly handle the liquidation
Closing matters;
(7) Keep fund business secrets, except for the Fund Law, Fund Contract, Custody Agreement and
Unless otherwise specified in other relevant regulations, the fund information shall be kept confidential and shall not be disclosed to others,
Except for the circumstances provided to regulatory authorities, judicial authorities, external professional consultants such as audit and law consultants according to law;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Accumulated net value of the amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the operation of the Fund Manager in all important aspects is strictly in accordance with the Fund Contract and the Custody Agreement
Specified; If the Fund Manager fails to implement the provisions of the Fund Contract and the Custody Agreement,
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
It shall also state whether the Fund Custodian has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the register of fund unit holders from the fund manager or its entrusted registration institution;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Unitholders in cooperation with the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Supervise the Fund Manager in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And bank regulators, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
3、 Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund shares obtained by the fund investor in accordance with the Fund Contract become the fund share holder and the Fund
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Each fund unit has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Benefits include but are not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. In accordance with the Fund Law, the Operation Measures and other relevant provisions
Services include but are not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) To pay the fund subscription and subscription funds and the fees prescribed by laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide information required by the fund manager and regulatory authority according to law, and update and supplement from time to time
And ensure its authenticity, accuracy and integrity;
(10) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights. If the future laws and regulations provide otherwise for the general meeting of fund share holders
The effective laws and regulations shall prevail.
The National People's Congress of the holders of Fund units does not have a daily institution. During the duration of the Fund, according to the operation of the Fund
If necessary, the general meeting of fund share holders can add daily institutions, and the establishment and operation of daily institutions should be based on
According to relevant laws and regulations and the provisions of the CSRC.
1、 Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be convened
Unless otherwise stipulated by laws and regulations and the CSRC:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
On the premise that there is no material adverse effect, the following circumstances may be modified by the Fund Manager and the Fund Custodian after consultation:,
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
It is not necessary to convene a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the redemption rate or change the charging method or adjust the fund shares
Amount category setting, adjustment of fund share classification methods and rules, etc;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract does not involve the rights and obligations of the parties to the Fund Contract
Significant changes;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, custody transfer, etc;
(6) After performing relevant procedures, the Fund launches new businesses or services;
(7) Adjust the distribution principle and payment method of fund income;
(8) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
2、 Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. In the event that the Fund Manager fails to convene or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting or fails to make a written reply within the specified time, the Fund
If the custodian still deems it necessary to convene the meeting, it shall be convened by the fund custodian itself, and a written decision shall be issued
The Fund Manager shall convene and notify the Fund Manager within 60 days from the date of promulgation, and the Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting or fails to make a written reply within the specified time
If the fund share holders with more than 10% (including 10%) of the fund shares still think it is necessary to hold the meeting, they shall report to
The Fund Custodian makes a written proposal. The Fund Custodian shall make a decision within 10 days after receiving the written proposal
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Whether to convene the meeting and inform the representatives of the Fund Unitholders and the Fund Manager who put forward the proposal in writing; Fund Custody
If the Fund Manager decides to convene the meeting, it shall convene the meeting within 60 days from the date of issuing the written decision and notify the Fund Manager,
The Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
A general meeting of fund unit holders is held, but neither the fund manager nor the fund custodian convenes it, or within the specified time limit
Failing to make a written reply, the fund shares representing more than 10% (including 10%) of the fund shares alone or in total
The holder has the right to convene the meeting on his own and report to the CSRC for filing at least 30 days in advance. Fund share holders shall comply with
The Fund Manager and the Fund Custodian shall cooperate in convening the general meeting of Fund Unitholders on their own and shall not prevent
Obstruction and interference.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and
Other methods allowed by the regulatory authority, the convening method of the meeting shall be determined by the convener of the meeting.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, the convener may hold the fund unit holders' meeting at 3
The General Meeting of Fund Unitholders shall be reconvened within six months after the expiration of six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other forms specified in the notice of the meeting shall be delivered to the address designated by the convener or
System. The correspondence meeting shall vote in writing or in other forms specified in the notice of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) The convener of the meeting shall publish the notice of the meeting in accordance with the Fund Contract, and within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; If I directly give a vote or authorize another person to give a vote on behalf of the fund share holder
If the fund units held are less than half of the total fund units on the equity registration date, the convener may make an announcement in the original
Within 3 months and 6 months after the time of holding the general meeting of fund unit holders of
Convene a new general meeting of fund unit holders. The reconvened general meeting of fund unit holders shall have one-third of the representatives
One or more (including one third) holders of fund units directly issue voting opinions or authorize others to issue voting opinions
Voting opinions;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet or telephone
Or in other ways, the fund share holders can use written, online, telephone, SMS or other ways
The specific method of voting shall be determined by the convener of the meeting and listed in the notice of the meeting.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf, the authorization may be in writing
In face, network, telephone, SMS or other ways, the specific way shall be listed in the meeting notice.
5、 Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than 50% (including 50%) of the voting rights held by the agent shall elect a fund share holder as such
The chairperson of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or preside over the Fund
The general meeting of unit holders shall not affect the validity of the resolutions made at the general meeting of fund unit holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 5 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than 50% (including 50%) of the voting rights shall be valid; Except as provided in item 2 below, special decision shall be taken
Matters other than those passed by the conference shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Change the operation mode of the fund
Fund Manager or Fund Custodian, termination of the Fund Contract, merger of the Fund with other funds to
The resolution is valid only after it is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total number of fund units represented by the fund unit holders who issue voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
8、 Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
After the resolution of the general meeting of fund share holders takes effect, it shall, in accordance with the relevant provisions of the Information Disclosure Measures
Introduce the announcement. If voting is carried out by means of communication, the resolution of the general meeting of fund share holders must be announced
The full text of the notarial certificate, the name of the notary office and the notary must be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
9、 This part deals with the causes, conditions, procedures and tables of the general meeting of fund unit holders
Prerequisites and other contents, which directly refer to laws and regulations or regulatory provisions, such as laws and regulations or regulatory provisions
If the amendment results in the cancellation or change of the relevant content, the Fund Manager and the Fund Custodian shall reach an agreement and
After the announcement, the content of this part can be directly modified or adjusted without convening a general meeting of fund share holders.
10、 Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including half) of the relevant fund units on the equity registration date
One);
4. The fund units held by the fund unit holders who participate in the voting of the fund unit holders' meeting are small
One half of the relevant fund units on the equity registration date, and the fund unit holders originally announced by the convener
Fund unit holdings reconvened within 6 months and 3 months after the date of the meeting
The National People's Congress shall have holders representing more than one-third (including one-third) of the relevant fund units participate in or grant
To authorize others to vote at the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(50% included) elect a Fund Unitholder as the chairperson of the Fund Unitholder Meeting;
6. General resolutions shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
Each fund share in the same main side pocket account has equal voting rights.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution shall be made by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: the resolution of the General Meeting of Fund Unitholders to change the Fund Manager must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
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 assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The Fund Manager or the new Fund Manager shall take over in a timely manner. The new or temporary fund manager shall
The custodian checks the total value and net value of the fund assets;
7. Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for record
The fees shall be borne by the fund property;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
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 business
Information, timely handle the transfer procedures of fund assets and fund custody business, and appoint a new fund custodian or temporarily
The Fund Custodian shall take over in a timely manner. The new or temporary fund custodian checks the total assets of the fund with the fund manager
Value and net worth;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing. audit
The expenses shall be borne by the fund property.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
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
After the resolution of the general meeting of the Fund Unitholders in charge takes effect, the relevant provisions of the Information Disclosure Measures shall be followed
Joint announcement on the media.
（4） When the General Meeting of Fund Unitholders considers the change of the Fund Manager and the Fund Custodian
In addition to complying with the provisions of this Part, it shall also comply with the provisions of Part VIII of this Fund Contract.
3、 The new fund manager or temporary fund manager receives the fund management business, or the new fund custodian
The original fund manager or the original fund custodian
The custodian shall continue to perform relevant duties and ensure that it will not do anything that will harm the interests of fund share holders
Is. The original Fund Manager or Fund Custodian is still entitled to continue to perform relevant duties in accordance with the Fund Agreement
The same provisions apply to the collection of fund management fees or fund custody fees.
4、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
References to laws, regulations or regulatory rules, such as the relevant contents caused by the modification of laws, regulations or regulatory rules in the future
In case of cancellation or change, the Fund Manager and the Fund Custodian can directly compare with each other after reaching an agreement and making an announcement in advance
The contents shall be modified and adjusted without convening a general meeting of fund share holders for deliberation.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall, in accordance with the Fund Law, the Fund Contract and other relevant provisions
Depository Agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
Obligations and responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XI Registration of Fund Units
1、 Registration business of fund units
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf of others, establishing and keeping the register of fund share holders and handling non trading transfer.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
Handling. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall sign an entrustment agreement with the agent
Management agreement to clarify the fund manager and agency's management of the investor's fund account, fund share registration
The right to liquidate and confirm fund transactions, distribute dividends, establish and keep the register of fund share holders and other matters
And obligations to protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the specified media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institutions recognized by the CSRC. Its retention period shall not start from the date of cancellation of the fund account
Less than 20 years;
4. Having the obligation to keep confidential the fund account information of the fund share holder
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Investors or funds shall bear corresponding compensation liability for losses incurred, but judicial compulsory inspection and laws
Except for other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XII Investment of the Fund
1、 Investment objectives
Strive to achieve investment return beyond performance benchmark in the long term under the premise of strict control of investment risk
Newspaper.
2、 Investment scope
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
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.
3、 Investment strategy
The Fund will, within the investment scope agreed in the fund contract
Research on monetary policy and fiscal policy, national industrial policy and capital market capital environment, and actively grasp the macro economy
Economic development trend, interest rate trend, relative yield of bond market, liquidity and credit level of securities
Combined with quantitative analysis method, determine the assets in non credit fixed income securities (treasury bonds, central bank bills, etc.)
And credit fixed income securities.
1. Duration strategy:
The Fund will investigate the dynamic changes and expected changes of market interest rates, as well as the factors related to interest rate changes
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Track and analyze, and then formulate corresponding adjustment plans for the duration and position structure of the bond portfolio to reduce
The impact of low interest rate changes on the portfolio. The fixed income team of the Fund Manager will regularly
The structure shall be predicted, and the corresponding duration target shall be formulated. When the expected market interest rate level will rise, it shall be appropriately reduced
Duration of the portfolio; When the market interest rate is expected to decline, the duration of the portfolio should be appropriately increased. In order to make use of the market
The purpose of improving the yield of bond portfolio is to adjust the volatility of bond rate and the duration of bond portfolio.
2. Term structure strategy:
By predicting the shape and change trend of the yield curve, the duration of various types of bonds is allocated; When receiving
When it is difficult to judge the trend of the yield curve, reference the duration of the sample bonds of the benchmark index to build a portfolio duration to ensure that the portfolio
The return exceeds the benchmark return. Specifically, it can be divided into riding strategies that track the yield curve and riding strategies based on the yield curve
Curve changing bullet strategy, barbell strategy and ladder strategy.
(1) Ride strategy: When the yield curve is steep, that is, when the interest margin between adjacent terms is large,
Buying bonds with a maturity at the steep part of the yield curve can obtain capital through the decline of the bond yield
Income from principal and profit.
(2) Bullet strategy: it focuses the bond duration in the portfolio on the yield curve, which is applicable
When the yield curve is steep; The barbell strategy focuses the duration of bonds in the portfolio on the yield curve
At both ends, it is applicable to butterfly changes where the yield curve declines more at both ends than at the middle; The ladder strategy is to make
The bond duration in the portfolio is evenly distributed on the yield curve, which is suitable for the horizontal movement of the yield curve.
3. Generic configuration policy:
The Fund's credit risk, tax level, market liquidity and market for different types of fixed income varieties
Analyze risk and other factors, and study the treasury bonds, financial bonds, corporate bonds, exchanges and inter-bank markets with the same maturity
The interest margin and change trend of market investment varieties, and formulate the allocation strategy of bond categories to obtain
The investment income brought by the change of inter interest margin.
4. Credit bond investment strategy:
The Fund invests in credit bonds with a credit rating of AA or above.
The Fund's investment in credit bonds rated AAA shall not be less than 30% of credit bond assets; book
The fund's investment in credit bonds with a credit rating of AA+is not higher than 75% of bond assets; Investment of the Fund
Credit bonds rated AA shall not be higher than 20% of bond assets.
The main factors affecting the yield of credit varieties are the benchmark yield of interest rate varieties and the credit spread. credit spread
It is a source of higher income for credit products compared with interest rate products such as national debt and central bank bills. Main credit spreads
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Affected by two aspects, one is the market average credit spread level of the corresponding credit rating of bonds, the other is
The aspect is the credit status of the issuer itself.
Both the overall credit spread level of the credit bond market and the changes in the credit status of the credit bond issuers themselves
Will have an important impact on the spread level of individual credit bonds. Therefore, on the one hand, the Fund will
The overall change of credit spreads is considered in many aspects, such as national policies, industry prosperity and the supply and demand of the bond market
Trend; On the other hand, the Fund will also focus on internal credit rating, supplemented by external credit rating, namely
Using internal and external credit research and rating system, study the fundamentals of the main enterprise issuing bonds to determine the enterprise
The actual credit status of the owner's corporate debt.
5. Spread income investment strategy:
The Fund will consider the risk and return of bond investment, financing costs and other factors,
To earn a certain interest margin through inter-bank market financing within the scope of controllable risks and laws and regulations
profit.
6. Investment strategy of asset-backed securities:
The pricing of asset-backed securities is subject to market interest rate, liquidity, terms of issue, composition of underlying assets and
Quality, prepayment rate and other additional terms. The Fund will divide
On the basis of analysis, market liquidity analysis and credit rating support, supplemented by bond varieties such as government bonds and corporate bonds
And prudently invest in asset-backed securities assets.
7. Individual coupon mining strategy:
This part of the strategy emphasizes the importance of the company's value mining, and the risks in the industry cycle characteristics and company fundamentals
On the basis of characteristics, formulate the target strategy of absolute rate of return, identify companies with valuation advantages and improved fundamentals,
We will adopt a highly decentralized strategy, focus on the distribution of advantageous bonds, and strive to increase the space for portfolio excess returns.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(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;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(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
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
Keep the enclosure consistent;
(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.
In addition to the situations in (2), (9), (11) and (12) above, due to the fluctuation of the securities market
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Factors other than the fund manager, such as the issuer's merger and fund size change, cause the fund investment proportion to be inconsistent with the above
If the investment proportion is specified, the fund manager shall make adjustment within 10 trading days, but the CSRC
Except for special circumstances specified. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) 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 the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Unless otherwise stipulated by laws and regulations. Major connected transactions shall be submitted to the director of the fund manager
The board of directors reviewed and approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall at least
Review related party transactions in.
Laws and regulations or regulatory authorities cancel or change the above restrictions. If applicable to the Fund, the Fund Manager shall
After due process, the investment of the Fund will no longer be subject to relevant restrictions or the changed regulations.
5、 Performance Benchmark
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The benchmark for the performance comparison of the Fund is the yield of the comprehensive full price (total value) index of Chinese bonds.
Reasons for the Fund to select the above performance benchmark:
The China Bond Comprehensive Full Price (Gross Value) Index is a comprehensive counter index prepared by the Central Government Securities Depository and Clearing Co., Ltd
The cross market bond index of the inter-bank bond market and the Shanghai and Shenzhen Stock Exchanges bond market is reflected, and the index sample is from the inter-bank bond market
Treasury bonds, financial bonds, government supported bonds, corporate bonds, medium-term notes in the market and the Shanghai and Shenzhen Stock Exchanges
It is composed of bonds, short-term financing bonds, corporate bonds, etc. According to the investment scope and investment proportion of the Fund, the above shall be selected
The performance benchmark can objectively and reasonably reflect the risk return characteristics of the Fund.
If the future laws and regulations change, or there is a more authoritative and widely accepted performance ratio
The Fund Manager may
On the basis of the principle of safeguarding the legitimate rights and interests of investors, after consultation with the fund custodian and in accordance with the CSRC
It is required to adjust the performance benchmark and announce it in a timely manner after performing appropriate procedures.
6、 Risk return characteristics
The Fund is a bond fund, whose expected return and expected risk level are higher than those of money market funds, and lower than
Hybrid funds and equity funds.
7、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
The Fund Manager will independently exercise its rights under the invested securities on behalf of the Fund in accordance with relevant national regulations
To protect the interests of fund share holders. The Fund Manager shall exercise the rights under the invested securities on behalf of the Fund
The following principles shall be observed when making profits:
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
2. It is conducive to the safety and appreciation of fund assets;
3. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
8、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance comparison benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal changes of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as cash and payments that have a significant impact on investors' rights and interests.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to the value of various securities and notes purchased, the principal and interest of bank deposits and the amount receivable by the fund
The total value of fund subscription and other investments.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
And other special accounts required for investment. Special fund account opened, fund manager and fund custody
The property accounts owned by the fund sales agency, the fund registration agency and other fund property accounts are independent.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Some assets bear their own legal liabilities, and their creditors shall not apply for freezing or withholding of the Fund's assets
Pledge or other rights. Unless otherwise disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets shall not be disposed of
Points.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Assets and liabilities such as bonds, bank deposit principal and interest, receivables and other investments owned by the Fund.
3、 Valuation method
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 fair value measurement after the latest trading day
In case of major events, the closing price of bonds on the latest trading day or the corresponding varieties provided by a third-party valuation agency
The net price obtained by subtracting the closing price of bonds or the interest receivable of bonds contained in the full valuation price on the day
Line valuation. If the economic environment has changed significantly after the latest trading day or the securities issuer has affected the securities price
In case of serious events, the current market price and major change factors of similar investment varieties can be referred to to adjust the latest payment
The fair value shall be determined based on the market price.
(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 be reliable
In case of measurement of fair value, 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
If the quotation fails to represent the fair value on the valuation date, the market quotation shall be adjusted to confirm the
Fair value; If there is no active market or few market activities, valuation techniques should be used to determine
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
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. For with
For the fixed income variety of the investor's right to sell back, if the right to sell back is not exercised after the deadline (including the date) of the registration of the sale back
The valuation is based on the price corresponding to the long waiting period. Not listed in the inter-bank market, and the third-party valuation agency is not
There is no significant difference between the issuance interest rate and the secondary market interest rate for bonds with valuation price
If there is no major change in the market interest rate, it shall be valued at cost.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. 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
Or the agreed interest rate accrues interest every natural day. In case of early withdrawal or interest rate change, account adjustment shall be carried out as required
Whole.
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, value at the price that best reflects the fair 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, on the basis of the principle of protecting the interests of the Fund Unitholders, start after performing the legal procedures
Use 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 and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the fund manager to calculate the net fund value information and fund accounting are
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
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.
4、 Valuation procedures
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each valuation date
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place. Other national regulations
If it is determined, its provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund, the net value of the Fund units and the cumulative amount of the Fund units on each valuation date
The net value shall be announced as required.
2. The Fund Manager shall value the assets of the Fund on each valuation date. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. After the Fund Manager evaluates the assets of the Fund on each valuation date,
The results of net value of fund units and cumulative net value of fund units were sent to the fund custodian, and none was found after the review of the fund custodian
In case of any error, the Fund Manager shall publish it to the public.
5、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When the net value of fund units is within 4 decimal places (including the 4th decimal place), the valuation error occurs
In case of error, it shall be deemed that the net value of fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
"Valuation error handling principle" shall pay compensation and bear compensation liability.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the valuation error liability
Either party shall compensate the loss of the injured party, and within the scope of the compensation amount paid by it
The parties have the right to demand the delivery of unjust enrichment; If the party who has obtained unjust enrichment has excluded this part
When the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has already received to the amount of improper
The difference between the total return of profits and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(2) When the error deviation reaches 0.25% of the net value of fund units, the fund manager shall notify the fund trust
And report to the CSRC for filing; When the error deviation reaches 0.5% of the net value of fund units, the fund manager
It shall be announced.
(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions.
6、 Suspension of valuation
1. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. 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
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After recognition, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
7、 Recognition of net fund value
The fund manager shall be responsible for the net value of fund units and the cumulative net value of fund units used for fund information disclosure
The Fund Custodian shall be responsible for reviewing the calculation. The Fund Manager shall calculate the amount of
The net value of the fund assets, the net value of the fund units and the cumulative net value of the fund units on the day of and shall be sent to the fund custodian. base
The fund custodian shall review and confirm the net value calculation result and send it to the fund manager, who shall check the net value of the fund
The value information shall be published.
8、 Handling of special cases
1. Errors caused by the Fund Manager and the Fund Custodian when conducting valuation according to Item 8 of the valuation method
The difference is not treated as an error in the valuation of fund assets;
2. Due to the data error sent by the stock exchange and its registration and clearing company, or due to other irresistible reasons
As a result, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection
Check, but fail to find the error, resulting in fund asset valuation error, fund manager and fund
The trustee may be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures
Mitigate or eliminate the impact caused thereby.
9、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net 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. Side pocket account
The accounting of shall comply with the relevant requirements of the Accounting Standards for Business Enterprises.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Information disclosure fees related to the Fund after the Fund Contract takes effect;
4. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect;
5. Expenses for the general meeting of fund share holders (including but not limited to venue fees, accountant fees, attorney fees and
Notarization fee);
6. Securities trading or settlement fees of the Fund and fees arising from the investment of the Fund;
7. Bank transfer fees of the Fund;
8. Securities account opening fee and account maintenance fee;
9. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 0.30% of the net asset value of the Fund on the previous day. Calculation of management fee
The 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 days. In case of legal holidays, public holidays, etc
The 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. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.10% ÷ days of the year
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
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.
Items 3-9 of the above "I. Types of fund fees" are subject to relevant regulations and agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, and the Fund Custodian shall, according to the instructions of the Fund Manager
It shall be paid from the fund property according to the industry practice.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Cost adjustment
To adjust the fund management rate and fund custody rate, a general meeting of fund share holders must be convened for deliberation (Law
Unless otherwise specified in the regulations or the CSRC or the fund contract). The fund manager must pay the new fee at the latest
Before the implementation of the policy, an announcement shall be published on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
5、 Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
See the provisions of the Prospectus for details of fee management.
6、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
As for the balance after relevant expenses, the realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or cash dividends automatically converted into fund shares for reinvestment; If the investor does not choose, the Fund will
The recognized income distribution method is cash dividends;
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 convening
General Meeting of Fund Unitholders.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Information Disclosure Measures 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)
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The interval shall not exceed 15 working days.
6、 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 and is insufficient to pay the bank transfer or other handling fees, the fund
The registration institution may automatically convert the cash dividends of fund share holders into fund shares. Calculation of dividend reinvestment
Methods, in accordance with the Business Rules.
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not carry out income distribution. See the prospectus for details
Definitely.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next accounting year
Annual disclosure;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
It shall be confirmed in other ways agreed in the custody agreement or recognized by both parties.
2、 Annual audit of the Fund
1. The employment of the Fund Manager independently from the Fund Manager and the Fund Custodian complies with the Securities Law
The required accounting firms and their certified public accountants shall audit the annual financial statements of the Fund.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
3、 Audit of side pocket account
The Fund Manager shall, after enabling the side pocket mechanism and terminating the side pocket mechanism, timely employ the Chinese who meet the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall audit and disclose special audit opinions.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Relevant laws and regulations
When the provisions on interest disclosure change, the Fund shall comply with its latest provisions.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Natural persons, legal persons and non -
Legal organization.
The information disclosure obligor of the Fund shall take the protection of the interests of fund share holders as the fundamental starting point, according to
Disclose fund information in accordance with laws and regulations and the provisions of the CSRC, and ensure the authenticity and accuracy of the information disclosed
Integrity, timeliness, conciseness and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
Through the national newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") and Internet websites (
(hereinafter referred to as "regulated website") and other media, and ensure that fund investors can
Consult or copy publicly disclosed information at a fixed time and in a specified manner.
The regulated websites include the website of the fund manager, the website of the fund custodian, and the electronic disclosure of funds of the CSRC
Website. The website shall provide investors with fund information disclosure services free of charge.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. Fund letter in foreign language
The information disclosure obligor shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
This shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Yuan.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Contract, Fund Prospectus, Fund Product Information Summary, Fund Custody Agreement
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract
The rules and specific procedures for convening the general meeting of fund share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of major interests of the investors.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders. Information of the Fund Prospectus after the Fund Contract takes effect
In case of major changes, the Fund Manager shall update the Prospectus within 3 working days and publish it in the regulations
On the website; If other information in the prospectus changes, the fund manager shall update it at least once a year.
If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information of the fund. After the Fund Contract comes into force, the information in the fund product information summary has changed significantly
Furthermore, the fund manager shall update the summary of fund product information and publish it on the regulated website within three working days
Website or business outlet of the fund sales agency; In case of any change in other information of the fund product information summary
The gold manager shall be updated at least once a year. If the fund terminates its operation, the fund manager will no longer update the fund product assets
Material summary.
4. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
After the fund raising application is registered with the CSRC, the fund manager shall,
Publish the offering announcement of fund units, the indicative announcement of the prospectus and the indicative announcement of the Fund Contract
It shall be published in the required newspapers and periodicals, and the fund unit sale announcement, fund prospectus, fund product information summary
The Fund Contract and the Fund Custody Agreement are published on the specified website, and the summary of fund product information is published on
Website or business outlet of fund sales agency; The Fund Custodian shall simultaneously submit the Fund Agreement and the Fund Custodian Agreement
Published on the specified website.
（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units on the specific matters concerning the sale of fund units, and
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The prospectus was published on the specified media on the day of disclosure.
（3） Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC, publish the Fund on the specified media
Announcement of the effectiveness of the Contract.
（4） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be disclosed at least once a week on the specified website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day after, disclose the fund shares on the opening day through the specified website, fund sales agency website or business outlet
Net value and cumulative net value of fund units.
The Fund Manager shall disclose the information on the prescribed website no later than the next day after the last day of the half year and the year
Net value of fund units and accumulated net value of fund units on the year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall upload the base fund in the Fund Contract, Prospectus and other information disclosure documents
The calculation method of amount subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the sales agency looks up or copies the above information.
（6） Regular reports of the Fund, including annual reports, interim reports and quarterly reports of the Fund
The Fund Manager shall, within three months from the end of each year, prepare and complete the annual report of the Fund
The annual report is published on the specified website, and the advisory announcement of the annual report is published on the specified newspaper. Fund year
The financial accounting report in the report shall be audited by an accounting firm that complies with the provisions of the Securities Law.
The Fund Manager shall, within two months from the end of the first half of the year, prepare and complete the interim report of the Fund and
The interim report is published on the specified website, and the suggestive announcement of the interim report is published on the specified newspaper.
The fund manager shall complete the fund quarter within 15 working days from the end of each quarter
Report, publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper
On.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the rights and interests of other investors, the fund manager shall at least report regularly on "influencing investors' decisions"
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The category, holding shares and proportion at the end of the reporting period, and report of the investor are disclosed under "Other important information of the policy"
Changes in shares held during the period and the unique risks of the Fund, except for special circumstances recognized by the CSRC.
During the continuous operation of the Fund, the Fund Manager shall disclose the basic information in the annual report and interim report of the Fund
Portfolio assets and liquidity risk analysis.
If laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
（7） Interim report
In the event of a major event of the Fund, the relevant information disclosure obligor shall, in accordance with the provisions of the Measures for Information Disclosure
According to the relevant regulations, an interim report shall be prepared within 2 days and published on the specified newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. Terminate the fund contract and liquidate the fund;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation, review and other matters of the Fund on its behalf;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The fund management company changes the shareholders holding more than 5% of the equity, and changes the actual control of the company
People;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior managers of the Fund Manager, the Fund Manager and the Special Fund Custodian Department of the Fund Custodian
The responsible person changes;
10. If the directors of the Fund Manager have changed by more than 50% in the last 12 months, the Fund Manager
The main business personnel of the special fund custody department of the fund custodian have changed by more than one percent in the last 12 months
Thirty;
11. Litigation or arbitration involving fund property, fund management business and fund custody business;
12. The fund manager or its senior managers and fund managers are subject to
Major administrative punishment and criminal punishment, and the fund custodian or the head of its special fund custody department
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Business related behaviors are subject to major administrative and criminal penalties;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standards, methods and rates of management fees, custody fees, subscription fees, redemption fees and other fees
Change;
16. The valuation error of the net value of fund units reaches 0.5% of the net value of fund units;
17. The Fund begins to handle subscription and redemption;
18. The Fund is redeemed in large amount and postponed;
19. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
20. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
21. Adjust the setting of fund share categories;
22. The Fund launches new businesses or services;
23. Major events involving adjustment of fund subscription and redemption events or potential impact on investors' redemption occur;
24. The Fund Manager adopts the swing pricing mechanism for valuation;
25. Fund managers' use of side pocket mechanism, liquidation of specific assets, termination of side pocket mechanism and other matters;
26. The price that the Fund Information Disclosure Obligor believes may be paid to the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact or other matters specified by the CSRC.
（8） Clarification announcement
During the duration of the Fund Contract, any public media or market circulation
The interest may have a misleading impact on the price of fund units or cause major fluctuations, and may damage the fund
As for the rights and interests of unit holders, the obligor of relevant information disclosure shall immediately make public clarification on the information,
And immediately report the relevant information to the CSRC.
（9） Resolution of the general meeting of fund share holders
Matters decided by the general meeting of fund unit holders shall be announced in accordance with the law.
（10） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to conduct a review of the fund assets in accordance with the law
Bank liquidation and prepare liquidation report. The liquidation report shall be submitted to an accounting firm that complies with the provisions of the Securities Law
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Audit, and legal opinions shall be issued by the law firm. The fund assets liquidation group shall publish the liquidation report
On the specified website, and publish the suggestive announcement of the liquidation report on the specified newspaper.
（11） Investment in asset-backed securities
When the Fund invests in asset-backed securities, the Fund Manager shall disclose it in the Fund's annual report and interim report
The total amount of asset-backed securities held by it, the proportion of the market value of asset-backed securities in the net assets of the fund and the report period
Details of all asset-backed securities. The Fund Manager shall disclose the asset expenditure held by it in the quarterly report of the Fund
Total securities held, the proportion of market value of asset-backed securities in the net assets of the fund and the proportion of market value in the net assets of the fund at the end of the reporting period
Details of the top 10 asset-backed securities ranked by asset proportion.
（12） Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws, regulations and fund contracts
And the prospectus. See the prospectus for details.
（13） Other information required by the CSRC
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
The disclosure content and format standards and other laws and regulations.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net value of fund assets, net value of fund units, cumulative net value of fund units
Subscription and redemption price of gold units, regular report of the fund, updated prospectus, summary of fund product information
Review and review the publicly disclosed fund information such as the fund liquidation announcement, and report to the fund manager
Written or electronic confirmation.
The Fund Manager and the Fund Custodian shall choose one of the prescribed newspapers to disclose the information of the Fund.
The fund manager and the fund custodian shall submit the funds to be disclosed to the fund electronic disclosure website of the CSRC
Information, and ensure the authenticity, accuracy, integrity and timeliness of the information submitted.
In order to strengthen investor protection and improve the quality of information disclosure service, the fund manager shall, in accordance with the provisions of the CSRC
The fund sales agency shall provide investors with information that has a significant impact on their investment decisions in a timely manner according to
Do a good job of information transmission according to the provisions of the CSRC.
The Fund Manager and the Fund Custodian may, in addition to disclosing information on the prescribed media according to law
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Disclose information in other public media, but other public media shall not disclose information earlier than the specified media, and
The content of the same information disclosed on different media shall be consistent. In addition, the Fund Manager and the Fund Custodian also
It can focus on providing useful information for investors to make decisions, and ensure that investors are treated fairly and not mislead
Investors can independently improve the quality of information disclosure services without affecting the normal investment operation of the fund. have
The requirements of the company shall comply with the relevant provisions of the CSRC and the self regulatory rules. If the aforementioned independent disclosure generates information
Expenses shall not be disbursed from the fund property.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
7、 Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
Regulations require that information be kept at the company's domicile for public reference and reproduction.
8、 Suspension or delay of disclosure of fund related information
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
1. The Fund Manager and the Fund Custodian are unable to accurately evaluate the Fund due to force majeure or other circumstances
The asset value;
2. When the securities 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
If the fair value is still significantly uncertain due to the use of valuation techniques, it shall be agreed with the Fund Custodian
Deciding to suspend valuation;
4. Laws and regulations, fund contract or the situation stipulated by the CSRC.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
The Fund Manager and
The Fund Custodian shall make an announcement of the change upon consent and report it to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall come into force on the date of voting
The convener shall report to the CSRC for filing within 5 days from the date of adoption of the resolution. After the resolution takes effect
The relevant provisions of the Disclosure Measures are announced in the specified media.
2、 Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a 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 group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers qualified to engage in securities and futures related businesses, and CSRC
Fixed personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund 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 Fund Contract
(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.
4、 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.
5、 Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report is in compliance with the Securities Law
The required accounting firm shall audit and the law firm shall issue a legal opinion, which shall be submitted to the CSRC for record
And make an announcement. The fund assets liquidation announcement shall be made within 5 working days after the fund assets liquidation report is submitted to the CSRC for filing
The Fund Assets Liquidation Group shall make an announcement and publish the liquidation report in the regulations
Website, and publish the suggestive announcement of the liquidation report on the specified newspaper.
7、 Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
As stipulated in laws and regulations or the Fund Contract, losses are caused to fund assets or fund unit holders
Those who have caused damage shall be liable for compensation according to law for their respective acts; Fund assets or funds due to joint action
If the holder of the gold share causes damage, he shall bear joint and several liability for compensation, and the compensation for the loss shall be limited to direct
Losses.
The party concerned shall be exempted from liability in case of the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the then effective laws and regulations or the regulations of the CSRC
Losses caused by acts or omissions;
3. The Fund Manager has exercised or failed to exercise the investment right in accordance with the investment principles specified in the Fund Contract
Loss, etc.
2、 To protect the interests of fund share holders to the greatest extent in the event of breach of contract by one or more parties
If the Fund Contract can continue to be performed, it shall continue to be performed. The non defaulting party is in office
Within the scope of responsibility, it is obliged to take necessary measures in time to prevent the expansion of losses. Failure to take appropriate measures resulted in
If the loss is further expanded, no claim may be made for compensation for the expanded loss. The non defaulting party paid for preventing the loss from expanding
The reasonable expenses incurred shall be borne by the defaulting party.
3、 Due to factors beyond the control of the Fund Manager and the Fund Custodian, business errors occur
Although the Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they fail to
The Fund Manager and the Fund Custodian will be exempted from compensation for the loss of the Fund property or investors caused by the discovery of errors
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate this
The impact of success.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XXI Dispute Settlement and Applicable Law
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, it shall be submitted to the Shanghai International Economic and Trade Arbitration Commission
The arbitration shall be conducted in accordance with the effective arbitration rules in Shanghai. The arbitration award shall be final and binding upon all parties
The parties shall be binding, and the arbitration fee shall be borne by the losing party.
During the dispute settlement period, the parties to the Fund Contract shall strictly abide by their respective responsibilities and continue to be faithful, diligent
Fulfill the obligations specified in the fund contract conscientiously and safeguard the legitimate rights and interests of fund share holders.
The Fund Contract shall be governed by the laws of China.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XXII Effect of Fund Contract
The Fund Contract is a legal document that stipulates the rights and obligations between the parties to the Fund Contract.
1. The Fund Contract has been sealed by the Fund Manager and the Fund Custodian and the legal representatives of both parties
Or the authorized representative shall sign or seal and handle the fund reserve with the CSRC through the fund manager after the end of the offering
The procedures of the case shall come into force upon the written confirmation of the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
Until the date of filing and announcement.
3. From the effective date of the Fund Contract, the Fund Manager, Fund Custodian and Fund Units
All parties to the Fund Contract including the holder shall have the same legal binding force.
4. The original of the Fund Contract is in sextuplicate. In addition to reporting to the relevant regulatory authority in sextuplicate
The Manager and the Fund Custodian each hold two copies, each of which has the same legal effect.
5. The Fund Contract can be printed in a volume for investors to sell in the Fund Manager, Fund Custodian
Check the office and business premises of the institution.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall consult with each other in accordance with relevant laws and regulations
It shall be settled through negotiation.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Part XXIV Summary of the Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
（1） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions
Including but not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise the rights arising from the investment of fund assets in securities for the benefit of the Fund in accordance with laws and regulations;
(13) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(14) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(15) Formulate and adjust relevant fund subscription, subscription
Redemption, conversion, fixed investment, custody transfer, non trading transfer and other business rules;
(16) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
Including but not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property shall seek benefits for itself and any third party, and shall not entrust any third party to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report of the Fund;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
And reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, except for providing necessary information to external professional consultants such as audit and law consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law or in cooperation with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the raising period, and the Fund Contract cannot
In effect, the fund manager shall bear all the raising costs and add the raised funds to the bank demand deposit interest for the same period
Return to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Rights and obligations of the Fund Custodian
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Custodian include
Including but not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) According to the relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund
Clearing securities trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Custodian include
Including but not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) In addition to the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions,
They shall not use the fund assets to seek benefits for themselves or any third party, and shall not entrust a third party to trust the fund assets;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract and the Custody Agreement, in accordance with the investment instructions of the Fund Manager, the Fund Manager shall promptly handle the liquidation
Closing matters;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(7) Keep fund business secrets, except for the Fund Law, Fund Contract, Custody Agreement and
Unless otherwise specified in other relevant regulations, the fund information shall be kept confidential and shall not be disclosed to others,
Except for the circumstances provided to regulatory authorities, judicial authorities, external professional consultants such as audit and law consultants according to law;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Accumulated net value of the amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the operation of the Fund Manager in all important aspects is strictly in accordance with the Fund Contract and the Custody Agreement
Specified; If the Fund Manager fails to implement the provisions of the Fund Contract and the Custody Agreement,
It shall also state whether the Fund Custodian has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the register of fund unit holders from the fund manager or its entrusted registration institution;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Unitholders in cooperation with the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Supervise the Fund Manager in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And bank regulators, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（3） Rights and obligations of fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund shares obtained by the fund investor in accordance with the Fund Contract become the fund share holder and the Fund
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Each fund unit has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Benefits include but are not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. In accordance with the Fund Law, the Operation Measures and other relevant provisions
Services include but are not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) To pay the fund subscription and subscription funds and the fees prescribed by laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide information required by the fund manager and regulatory authority according to law, and update and supplement from time to time
And ensure its authenticity, accuracy and integrity;
(10) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights. If the future laws and regulations provide otherwise for the general meeting of fund share holders
The effective laws and regulations shall prevail.
The National People's Congress of the holders of Fund units does not have a daily institution. During the duration of the Fund, according to the operation of the Fund
If necessary, the general meeting of fund share holders can add daily institutions, and the establishment and operation of daily institutions should be based on
According to relevant laws and regulations and the provisions of the CSRC.
（1） Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be convened
Unless otherwise stipulated by laws and regulations and the CSRC:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
On the premise that there is no material adverse effect, the following circumstances may be modified by the Fund Manager and the Fund Custodian after consultation:,
It is not necessary to convene a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the redemption rate or change the charging method or adjust the fund shares
Amount category setting, adjustment of fund share classification methods and rules, etc;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract does not involve the rights and obligations of the parties to the Fund Contract
Significant changes;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, custody transfer, etc;
(6) After performing relevant procedures, the Fund launches new businesses or services;
(7) Adjust the distribution principle and payment method of fund income;
(8) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. In the event that the Fund Manager fails to convene or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting or fails to make a written reply within the specified time, the Fund
If the custodian still deems it necessary to convene the meeting, it shall be convened by the fund custodian itself, and a written decision shall be issued
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The Fund Manager shall convene and notify the Fund Manager within 60 days from the date of promulgation, and the Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting or fails to make a written reply within the specified time
If the fund share holders with more than 10% (including 10%) of the fund shares still think it is necessary to hold the meeting, they shall report to
The Fund Custodian makes a written proposal. The Fund Custodian shall make a decision within 10 days after receiving the written proposal
Whether to convene the meeting and inform the representatives of the Fund Unitholders and the Fund Manager who put forward the proposal in writing; Fund Custody
If the Fund Manager decides to convene the meeting, it shall convene the meeting within 60 days from the date of issuing the written decision and notify the Fund Manager,
The Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
A general meeting of fund unit holders is held, but neither the fund manager nor the fund custodian convenes it, or within the specified time limit
Failing to make a written reply, the fund shares representing more than 10% (including 10%) of the fund shares alone or in total
The holder has the right to convene the meeting on his own and report to the CSRC for filing at least 30 days in advance. Fund share holders shall comply with
The Fund Manager and the Fund Custodian shall cooperate in convening the general meeting of Fund Unitholders on their own and shall not prevent
Obstruction and interference.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and
Other methods allowed by the regulatory authority, the convening method of the meeting shall be determined by the convener of the meeting.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, the convener may hold the fund unit holders' meeting at 3
The General Meeting of Fund Unitholders shall be reconvened within six months after the expiration of six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Form or other forms specified in the notice of the meeting shall be delivered to the address designated by the convener or
System. The correspondence meeting shall vote in writing or in other forms specified in the notice of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) The convener of the meeting shall publish the notice of the meeting in accordance with the Fund Contract, and within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; If I directly give a vote or authorize another person to give a vote on behalf of the fund share holder
If the fund units held are less than half of the total fund units on the equity registration date, the convener may make an announcement in the original
Within 3 months and 6 months after the time of holding the general meeting of fund unit holders of
Convene a new general meeting of fund unit holders. The reconvened general meeting of fund unit holders shall have one-third of the representatives
One or more (including one third) holders of fund units directly issue voting opinions or authorize others to issue voting opinions
Voting opinions;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet or telephone
Or in other ways, the fund share holders can use written, online, telephone, SMS or other ways
The specific method of voting shall be determined by the convener of the meeting and listed in the notice of the meeting.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf, the authorization may be in writing
In face, network, telephone, SMS or other ways, the specific way shall be listed in the meeting notice.
（5） Discussion content and procedure
1. Discussion content and proposal right
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than 50% (including 50%) of the voting rights held by the agent shall elect a fund share holder as such
The chairperson of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or preside over the Fund
The general meeting of unit holders shall not affect the validity of the resolutions made at the general meeting of fund unit holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 5 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than 50% (including 50%) of the voting rights shall be valid; Except as provided in item 2 below, special decision shall be taken
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Matters other than those passed by the conference shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Change the operation mode of the fund
Fund Manager or Fund Custodian, termination of the Fund Contract, merger of the Fund with other funds to
The resolution is valid only after it is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total number of fund units represented by the fund unit holders who issue voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
（8） Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
After the resolution of the general meeting of fund share holders takes effect, it shall, in accordance with the relevant provisions of the Information Disclosure Measures
Introduce the announcement. If voting is carried out by means of communication, the resolution of the general meeting of fund share holders must be announced
The full text of the notarial certificate, the name of the notary office and the notary must be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
（9） The reasons, conditions, procedures and
Voting conditions and other contents, which directly refer to laws and regulations or regulatory provisions, such as laws and regulations or supervision
If the relevant contents are cancelled or changed due to the modification of the regulations, the Fund Manager and the Fund Custodian shall reach an agreement and propose
After the previous announcement, this part can be directly modified or adjusted without convening a general meeting of fund share holders.
（10） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The fund units held by the holder shall not be less than half (including half) of the relevant fund units on the equity registration date
One);
4. The fund units held by the fund unit holders who participate in the voting of the fund unit holders' meeting are small
One half of the relevant fund units on the equity registration date, and the fund unit holders originally announced by the convener
Fund unit holdings reconvened within 6 months and 3 months after the date of the meeting
The National People's Congress shall have holders representing more than one-third (including one-third) of the relevant fund units participate in or grant
To authorize others to vote at the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder as the chairperson of the Fund Unitholder Meeting;
6. General resolutions shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
Each fund share in the same main side pocket account has equal voting rights.
3、 Principle of fund income distribution
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 the investor does not choose, the Fund will
The recognized 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 impact on the interests of fund share holders
On the premise that the fund manager can adjust the fund income distribution principle and payment method without calling for the fund
General meeting of gold share holders.
4、 Withdrawal, payment method and proportion of expenses related to fund property management and utilization
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Information disclosure fees related to the Fund after the Fund Contract takes effect;
4. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect;
5. Expenses for the general meeting of fund share holders (including but not limited to venue fees, accountant fees, attorney fees and
Notarization fee);
6. Securities trading or settlement fees of the Fund and fees arising from the investment of the Fund;
7. Bank transfer fees of the Fund;
8. Securities account opening fee and account maintenance fee;
9. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
（2） Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 0.30% of the net asset value of the Fund on the previous day. Calculation of management fee
The 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 calculated daily, accumulated to the end of each month day by day, and paid monthly
The fund custodian sends the fund management fee transfer instruction, which is reviewed by the fund custodian within the first 5 working days of the next month
It shall be paid to the fund manager in a lump sum from the fund property. In case of legal holidays, public holidays or force majeure,
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
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
The fund custody fee is calculated daily, accumulated daily to the end of each month, and paid monthly
The Fund Custodian shall send the fund custody fee transfer instruction, which shall be reviewed by the Fund Custodian within the first 5 working days of the next month
One time withdrawal from fund assets. In case of legal holidays, public holidays or force majeure, the payment date shall follow
Extension.
Items 3-9 of the above "I. Types of fund fees" are subject to relevant regulations and agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be paid by the Fund Custodian from the Fund assets.
5、 Investment direction and investment restrictions of the Fund assets
（1） Investment scope
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
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） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(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
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
Etc;
(3) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund;
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(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
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
Keep the enclosure consistent;
(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.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
(15) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
In addition to the situations in (2), (9), (11) and (12) above, due to the fluctuation of the securities market
Factors other than the fund manager, such as the issuer's merger and fund size change, cause the fund investment proportion to be inconsistent with the above
If the investment proportion is specified, the fund manager shall make adjustment within 10 trading days, but the CSRC
Except for special circumstances specified. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
（3） Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) 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 the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Unless otherwise stipulated by laws and regulations. Major connected transactions shall be submitted to the director of the fund manager
The board of directors reviewed and approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall at least
Review related party transactions in.
Laws and regulations or regulatory authorities cancel or change the above restrictions. If applicable to the Fund, the Fund Manager shall
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
After due process, the investment of the Fund will no longer be subject to relevant restrictions or the changed regulations.
6、 Calculation method and announcement method of fund net asset value
（1） The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each valuation date
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place. Other national regulations
If it is determined, its provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund, the net value of the Fund units and the cumulative amount of the Fund units on each valuation date
The net value shall be announced as required.
2. The Fund Manager shall value the assets of the Fund on each valuation date. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. After the Fund Manager evaluates the assets of the Fund on each valuation date,
The results of net value of fund units and cumulative net value of fund units were sent to the fund custodian, and none was found after the review of the fund custodian
In case of any error, the Fund Manager shall publish it to the public.
（2） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be disclosed at least once a week on the specified website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day after, disclose the fund shares on the opening day through the specified website, fund sales agency website or business outlet
Net value and cumulative net value of fund units.
The Fund Manager shall disclose the information on the prescribed website no later than the next day after the last day of the half year and the year
Net value of fund units and accumulated net value of fund units on the year and the last day of the year.
7、 Causes and procedures for the dissolution and termination of the Fund contract and the liquidation method of the Fund assets
（1） Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
The Fund Manager and
The Fund Custodian shall make an announcement of the change upon consent and report it to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall come into force on the date of voting
The convener shall report to the CSRC for filing within 5 days from the date of adoption of the resolution. After the resolution takes effect
The relevant provisions of the Disclosure Measures are announced in the specified media.
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a 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 group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers qualified to engage in securities and futures related businesses, and CSRC
Fixed personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets 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.
（4） Liquidation expenses
Huatai Baoxing Anxin Pure Bond Securities Investment Fund Fund Contract
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.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report is in compliance with the Securities Law
The required accounting firm shall audit and the law firm shall issue a legal opinion, which shall be submitted to the CSRC for record
And make an announcement. The fund assets liquidation announcement shall be made within 5 working days after the fund assets liquidation report is submitted to the CSRC for filing
The Fund Assets Liquidation Group shall make an announcement and publish the liquidation report in the regulations
Website, and publish the suggestive announcement of the liquidation report on the specified newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
8、 Dispute resolution
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, it shall be submitted to the Shanghai International Economic and Trade Arbitration Commission
The arbitration shall be conducted in accordance with the effective arbitration rules in Shanghai. The arbitration award shall be final and binding upon all parties
The parties shall be binding, and the arbitration fee shall be borne by the losing party.
During the dispute settlement period, the parties to the Fund Contract shall strictly abide by their respective responsibilities and continue to be faithful, diligent
Fulfill the obligations specified in the fund contract conscientiously and safeguard the legitimate rights and interests of fund share holders.
The Fund Contract shall be governed by the laws of China.
9、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in a volume for investors to register with the Fund Manager, Fund Custodian and Sales Agency
For office and business premises.