Minsheng Plus Bank Zhaoli One year holding period hybrid securities investment
Fund
Fund contract
Fund manager: Minsheng Jiayin Fund Management Co., Ltd
Fund Custodian: Postal Savings Bank of China Limited
February, 2021
catalog
Part I Foreword two
Part II Definitions four
Part III Basic Information of the Fund ten
Part IV Sale of Fund Units twelve
Part V Fund Filing fourteen
Part VI Subscription and Redemption of Fund Units fifteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-five
Part VIII General Meeting of Fund Unitholders thirty-two
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian forty-one
Part X Custody of the Fund forty-four
Part XI Registration of Fund Units forty-five
Part XII Investment of the Fund forty-seven
Part XIII Assets of the Fund fifty-six
Part XIV Valuation of Fund Assets fifty-seven
Part XV Fund Fees and Taxes sixty-four
Part XVI Income and Distribution of the Fund sixty-seven
Part XVII Accounting and Audit of the Fund sixty-nine
Part XVIII Information Disclosure of the Fund seventy
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-seven
Part XX Liability for Breach of Contract seventy-nine
Part XXI Dispute Settlement and Applicable Law eighty
Part XXII Effectiveness of Fund Contract eighty-one
Part XXIII Other Matters eighty-two
Part XXIV Summary of Fund Contract eighty-three
Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Contract Law of the People's Republic of China (hereinafter referred to as "the Contract")
Law of the People's Republic of China on Securities Investment Funds (hereinafter referred to as the "Fund Law")
Management Measures for the Operation of Raised Securities Investment Funds (hereinafter referred to as "Operation Measures"), Securities Investment Funds
Sales Management Measures (hereinafter referred to as "Sales Measures"), Information Disclosure of Publicly Raised Securities Investment Funds
Administrative Measures (hereinafter referred to as "Information Disclosure Measures"), Public Offering of Open ended Securities Investment Fund Flow
Provisions on Liquidity Risk Management (hereinafter referred to as "Provisions on Liquidity Risk Management") and other relevant laws
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 other documents or statements related to the Fund involving the rights and obligations between the parties to the Fund Contract,
In case of any conflict with the fund contract, the fund contract shall prevail. The parties to the fund contract shall, in accordance with the Fund Law
The Fund Contract and other relevant provisions provide for rights and obligations.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. fund
The investor becomes the fund share holder and the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of the parties holding fund shares itself indicates their recognition and acceptance of the fund contract.
3、 The one-year holding period hybrid securities investment fund of Minsheng Plus Bank of China will be invested by the fund manager according to
The Fund Law of the People's Republic of China, the Fund Contract and other relevant regulations have been issued and approved by the China Securities Regulatory Commission (hereinafter referred to as the CSRC)
Referred to as "China Securities Regulatory Commission").
The registration of the Fund raised by the CSRC does not indicate the investment value and market of the Fund
Substantive judgment or assurance on the prospect does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund Assets in accordance with the principles of due diligence, honesty, prudence and diligence
However, it does not guarantee that the investment in the Fund will be profitable, nor does it guarantee the minimum return.
The Fund Custodian shall keep the Fund assets in accordance with the principles of due diligence, good faith, prudence and diligence, but
It does not bear the investment risk of the Fund and does not guarantee the minimum return.
Investors should carefully read the fund prospectus, fund contract, fund product information summary and other letters
Information disclosure documents, independently judge the investment value of the fund, independently make investment decisions, and independently bear the investment risk
Insurance.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract,
Its content involves defining the rights and obligations between the parties to the fund contract, such as conflicts with the fund contract,
The fund contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of the 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 passively reaching or exceeding 50% due to redemption of fund units and other circumstances during fund operation
except. If there are other provisions in laws, regulations and regulatory agencies, such provisions shall prevail.
7、 The fund assets are invested in Hong Kong stocks, and meet with the Hong Kong Stock Connect mechanism due to the investment environment, investment target
The unique risks brought by differences in market systems and trading rules, including those with large fluctuations in stock prices in the Hong Kong stock market
Risk (the Hong Kong stock market implements T+0 reverse trading, and there is no limit on the rise and fall of individual stocks, so the Hong Kong stock price may
It shows more violent stock price fluctuation than A-share), exchange rate risk (exchange rate fluctuation may invest in the fund
Loss caused by gains), possible risks caused by inconsistent trading days under the Hong Kong Stock Connect mechanism (market opening in the mainland
When Hong Kong is closed, Hong Kong Stock Connect cannot be traded normally and Hong Kong stocks cannot be sold in time, which may bring some
Liquidity risk). For specific risks, please refer to
Details.
8、 The Fund may choose to transfer part of the
Fund assets are not necessarily invested in Hong Kong stocks or choose not to invest in Hong Kong stocks
Hong Kong shares may not be invested in Hong Kong shares.
9、 The Fund has set a minimum holding period of one year for each fund unit,
Investors can only apply for redemption from the next working day (inclusive) after the end date of the shortest holding period.
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to the one-year holding period hybrid securities investment fund of Minsheng Plus Bank
2. Fund manager: Minsheng Jiayin Fund Management Co., Ltd
3. Fund Custodian: Postal Savings Bank of China Limited
4. Fund contract or this fund contract: refers to the one-year holding period hybrid securities investment of Minsheng Plus Bank
Fund Agreement and any effective amendments and supplements to the Fund Agreement
5. Custody Agreement: refers to the "Minsheng Plus Bank Profit Attraction" signed between the Fund Manager and the Fund Custodian for the Fund
One year holding period hybrid securities investment fund custody agreement and any effective amendment to the custody agreement
supplement
6. Prospectus: Refers to the Recruitment Theory of Minsheng Plus Bank's One year Holding Period Hybrid Securities Investment Fund
Ming Shu and its update
7. Summary of fund product information: refers to Minsheng Plus Bank Profit Attraction One year Holding Period Hybrid Securities Investment Fund
Summary of Fund Product Information and its updates
8. Announcement on the sale of fund shares: refers to the one-year holding period hybrid securities investment fund of Minsheng Plus Bank
Announcement on Offering Fund Units
9. Laws and regulations: refer to the laws, administrative regulations and normative documents currently in force and promulgated for implementation in China
Documents, judicial interpretations, administrative rules and other decisions, resolutions
Notice, etc
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
The Standing Committee of the National People's Congress
Decision of the Commission on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law of the Republic of China and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the CSRC on March 15, 2013 and June 1 of the same year
The Administrative Measures for the Sale of Securities Investment Funds implemented and the amendments made by the promulgating authority from time to time
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019 and in September of the same year
Implemented on March 1, 2020, and approved by the CSRC on March 20, 2020
The Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds as amended by the Decision of
Amendments from time to time
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
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1, 2006
As amended from time to time by the promulgating authority
15. Hong Kong Stock Connect: refers to the mainland securities companies entrusted by the mainland investors through the Shanghai Stock Exchange and Shenzhen Stock Exchange
The securities trading service company established by Shenzhen Stock Exchange shall report to the Stock Exchange of Hong Kong, and the trading rules
Stock listed on the Stock Exchange of Hong Kong within a specified range
16. China Securities Regulatory Commission: China Securities Regulatory Commission
17. Banking regulatory authority: refers to the People's Bank of China and/or the Insurance Regulatory Commission of the Bank of China
Member Council
18. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume responsibilities under the Fund Contract
Legal subjects of obligations, including fund managers, fund custodians and fund share holders
19. Individual investor: refers to the natural investors who can invest in securities investment funds according to relevant laws and regulations
people
20. 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 persons, public institutions legal persons
Social groups or other organizations
21. Qualified foreign institutional investor: refers to the qualified foreign institutional investor who meets the requirements of the Regulations on Domestic Securities Investment
The Administrative Measures of the People's Republic of China and relevant laws and regulations provide that it can invest in the securities investment funds legally raised in China
Of institutional investors outside China
22. RMB Qualified Foreign Institutional Investor: Refers to the qualified foreign institutional investor
Pilot Measures for Domestic Securities Investment and relevant laws and regulations, using RMB funds from abroad
Overseas legal person for domestic securities investment
23. Investors, investors: individual investors, institutional investors, qualified foreign institutional investors
And RMB qualified foreign institutional investors, as well as laws and regulations or the CSRC's permission to purchase securities investment base
Other investors of Jin
24. Fund share holder: refers to the investment that legally obtains fund shares in accordance with the fund contract and prospectus
Funders
25. Fund sales business: refers to the promotion of funds by fund managers or sales agencies, and the sale of funds
Amount, handling such businesses as subscription, redemption, conversion, transfer to custody and fixed investment of fund units
26. Sales agency: refers to Minsheng Jiayin Fund Management Co., Ltd. and conforms to the Sales Measures and
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund agreement with the fund manager
Sales service agreement, the institution handling fund sales business
27. Registration business: refers to fund registration, depository, transfer, clearing and settlement business. The specific content includes
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, establishing and keeping the register of fund share holders and handling non trading transfer, etc
28. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is Minsheng Jiayin Fund
Management Co., Ltd. or institution entrusted by Minsheng Jiayin Fund Management Co., Ltd. to handle registration business
29. Fund account: refers to the fund manager opened by the registration institution for the investor, whose holding is recorded
Account for the balance and changes of fund units under management
30. Fund transaction account: refers to the account opened by the sales agency for the investor and recorded by the investor through the sale
Basis arising from the agency's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in gold shares and balances
31. The effective date of the fund contract: the fund raising meets the provisions of laws and regulations and the provisions of the fund contract
The fund manager has completed the fund filing procedures with the CSRC and obtained the written form from the CSRC
Confirmed date
32. The termination date of the fund contract: refers to the date when the fund contract terminates as specified in the fund contract
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of property liquidation
33. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering
No longer than 3 months
34. Minimum holding period: for each fund unit, it refers to the period from the effective date of the fund contract (inclusive)
For subscription units) or from the confirmation date (inclusive) of subscription of fund units (for subscription units)
To the corresponding day of the year after one year (if the corresponding day is a non working day or there is no such corresponding day, it shall be postponed to the next day
Working days). Fund unit holders cannot apply for redemption within the shortest holding period
35. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
36. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
37. T day: means that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
's Open Day
38. T+n day: refers to the nth working day from T day (excluding T day)
39. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
(If the Fund participates in Hong Kong Stock Connect trading and the working day is not a Hong Kong Stock Connect trading day, the Fund Manager may
Decide whether the Fund will open subscription, redemption and conversion business according to the actual situation, and the specific announcement will be made at that time
Shall prevail)
40. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other business on the opening day
41. Business Rules: refers to the Open ended Fund Business Rules of Minsheng Jiayin Fund Management Co., Ltd
Rules are the business rules regulating the registration of open-ended securities investment funds managed by fund managers,
To be jointly observed by the fund manager and investors
42. Subscription: during the fund raising period, investors shall, in accordance with the provisions of the fund contract and prospectus
Application for purchase of fund units
43. Subscription: after the Fund Contract comes into effect, the investor shall, in accordance with the provisions of the Fund Contract and the Prospectus
Application for purchase of fund units
44. Redemption: refers to that after the Fund Agreement comes into effect, the Fund Unitholders shall, in accordance with the Fund Agreement and the Prospectus
The act of converting fund units into cash as required by the specified conditions
45. Fund conversion: means that the Fund Unitholders shall be valid at that time in accordance with the Fund Agreement and the Fund Manager
The conditions specified in the announcement apply for the conversion of the fund units of a fund managed by the fund manager
Behavior of other fund units managed for the fund manager
46. Custody transfer: refers to the change implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of fund unit sales agency
47. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency and the agreement on each period
On the subscription date, the amount of deduction and the method of deduction, the sales agency shall, on the agreed deduction date of each period, pay the amount of deduction at the bank designated by the investor
An investment method for automatically completing deduction and accepting fund purchase application in bank account
48. Massive redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units
Add the total number of transferred out application units in fund conversion and deduct the total number of subscription application units and transferred in in fund conversion
The balance after the total number of applied shares) exceeds 10% of the total fund shares of the previous working day
49. RMB: refers to RMB
50. Fund income: refers to the dividend, dividend, bond interest, price difference of securities
Interest on bank deposits, other legal income realized and costs and expenses arising from the use of fund assets
save
51. Total value of fund assets: refers to all kinds of securities owned by the fund, principal and interest of bank deposits
Total value of receivables and other assets
52. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
53. 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
54. Fund asset valuation: it refers to calculating and evaluating the value of fund assets and liabilities to determine the fund assets
The process of net value and fund unit net value
55. Regulated media: It refers to the nationwide information disclosure that meets the conditions specified by the CSRC
Newspapers and periodicals and Internet websites specified in the Information Disclosure Measures (including fund manager websites and fund custody
People's website, CSRC fund electronic disclosure website) and other media
56. Liquidity restricted assets: none due to laws and regulations, supervision, contracts or operational barriers
Assets that can be realized at a reasonable price, including but not limited to reversals with maturity of more than 10 trading days
Purchase of fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares
Restricted new shares, non-public issuance of shares, asset-backed securities, and failure to proceed due to the issuer's debt default
Transferred or traded bonds, etc
57. Swing pricing mechanism: when open-end funds are subject to large purchase and redemption
In the form of net share value, the market shock cost of the fund's adjusted portfolio is allocated to the actual purchase and redemption
So as to reduce the adverse impact on the interests of stock fund share holders and ensure the cooperation of investors
Legal rights and interests are not damaged and treated fairly
58. Sales service fee: It refers to the amount withdrawn from the fund assets and used to promote and sell the fund
And service fees for fund share holders
59. Class A fund unit: refers to the subscription/subscription fees charged by the investor when subscribing/subscribing, and no longer
Fund shares of this category of fund assets for which sales service fees are accrued
60. Class C fund unit: refers to that investors do not charge subscription/subscription fees when subscribing/subscribing, and
Fund shares with sales service fees withdrawn in category fund assets
61. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of settlement of accounts is to effectively isolate and defuse risks and ensure that investors receive fair treatment
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account,
Special account is called side pocket account
62. Specific assets: including: (I) There is no active market price for reference and the valuation technology is still adopted
Assets that cause significant uncertainty in fair value; （2） Assets measured at amortized cost and withdrawn less
Assets whose value reserves still lead to significant uncertainty of asset value; （3） The value of other assets is heavy
Assets with great uncertainty
63. Force majeure: refers to the unforeseeable, unavoidable and insurmountable clients of the Fund contract
Observe events
Part III Basic Information of the Fund
1、 Fund name
Minsheng Jiayin Zhaoli one-year holding period hybrid securities investment fund
2、 Category of fund
Hybrid securities investment fund
3、 Operation mode of the fund
Contractual and open, with a minimum holding period of one year, the single transaction locking continues to operate.
The Fund sets a minimum holding period of one year for each fund unit. Minimum holding period of fund shares
The investor cannot apply for redemption, and the next day after the end of the shortest holding period of each fund unit
From working days (inclusive), fund share holders can apply for redemption. For each fund share, the minimum
Holding period refers to the effective date (inclusive) of the fund contract (for subscription units) or the confirmation date of subscription of fund units
(inclusive) (for subscription units) to the annual corresponding day one year later (if the corresponding day is a non working day or
If there is no such corresponding day, it shall be postponed to the next working day).
4、 Investment objectives of the Fund
On the basis of strictly controlling risks and maintaining high liquidity, we pursue sustainable and stable returns.
5、 Total minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million.
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 Class A fund units of the Fund shall be subject to the provisions of the Prospectus and the summary of fund product information
Execution. There is no subscription fee for Class C fund units.
7、 Duration of the Fund
Irregular
8、 Type of Fund Units
The Fund divides the Fund units into
For different categories. Including:
(1) Collect subscription and subscription fees when investors subscribe, but not from fund assets of this category
The fund units for which the sales service fee is accrued are called Class A fund units.
(2) Funds that withdraw sales service fees from fund assets of this category without charging subscription/purchase fees
Shares are called Class C fund shares.
Due to different fee collection methods, the fund units of each category of the Fund will be calculated and published separately
The net value of gold units is calculated by dividing the net asset value of each type of fund on the calculation date by the amount of
Total number of class fund units.
Investors can choose the types of fund units to subscribe and subscribe for at their own discretion
We have to convert each other.
According to the actual operation of the fund, if the fund does not violate laws and regulations and the fund contract
On the premise that the interests of the holders are not materially adversely affected, the Fund Manager may, after performing appropriate procedures
Adjust the classification of fund units, stop the sale of fund unit categories or add new fund unit categories
Class, before the date of implementation of the adjustment, the fund manager shall, in accordance with the provisions of the Information Disclosure Measures
Announce and report to the CSRC for filing, and it is not necessary to convene a general meeting of fund share holders.
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
Sales announcement.
2. Way of sale
Public offering through the fund sales outlets of each sales agency. See the fund for the specific list of each sales agency
The list of fund sales institutions published on the manager's website.
3. Target
Individual investors, institutional investors
QFII and RMB QFII as well as laws and regulations or the CSRC
Other investors allowed to purchase securities investment funds.
2、 Subscription of Fund Units
1. Subscription fee
The subscription rate for Class A fund units of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and
Listed in the gold product data summary. The fund subscription fees for Class A fund units are not included in the fund assets. Class C
No subscription fee will be charged for fund units.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the specific amount of interest transferred to shares shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
The handling method of the balance of subscription units is listed in the prospectus.
5. Confirmation of subscription application
The acceptance of the subscription application by the fund sales agency does not necessarily mean that the application is successful, but only represents the sales
The institution did receive the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration authority. about
The investors shall timely inquire about the subscription application and the confirmation of the subscription shares and properly exercise their legal rights
Any losses arising therefrom shall be borne by the investors themselves.
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. 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.
The Fund Manager's acceptance of a certain subscription application or some subscription applications may lead investors to avoid the aforementioned 50% ratio in disguised form
The Fund Manager shall have the right to reject all or part of such subscription applications as required by the regulations. Basis subscribed by investors
The amount of funds shall be subject to the confirmation of the registration authority after the fund contract takes effect.
5. Investors can subscribe for fund units for many times during the raising period, and the subscription fee is separate for each subscription application
Calculated, the accepted subscription application cannot be revoked.
Part V Fund Filing
1、 Conditions for Fund Filing
The total amount 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
The fund raised amount shall not be less than RMB 200 million and the number of fund subscribers shall not be less than 200
The fund raising period expires or the fund manager may decide to suspend the fund in accordance with laws, regulations and the prospectus
The fund will be sold, and a legal capital verification agency will be hired to verify the capital within 10 days, and 10 days from the date of receiving the capital verification report
And go through the fund filing procedures with the CSRC.
If the fund raising meets the conditions for fund filing, the fund manager shall take
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not be born
Effectiveness. The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC
To be announced. The fund manager shall deposit the funds raised during the fund raising period into a special account and raise funds in the fund
No one can use it before the end of the act.
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
Ren:
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 in the same period;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All fees paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Undertake.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract comes into effect, the number of fund share holders is dissatisfied for 20 consecutive working days
If there are 200 persons or the net asset value of the fund is less than 50 million yuan, the fund manager shall report regularly
Disclosed in; In case of the above circumstances for 60 consecutive working days, the Fund Manager shall
Report to the CSRC and propose solutions, such as changing operation mode, merging with other funds or
Terminate the fund contract, etc., and hold a general meeting of fund share holders to vote within 6 months.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
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
People are listed in the prospectus or other relevant announcements. The Fund Manager may change, increase or decrease as the case may be
The selling institution shall be publicized on the website of the fund manager. Fund investors shall handle fund sales at the sales institution
Purchase and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription and redemption of fund units on the open day, and the specific handling time is Shanghai Securities Exchange
Trading hours on normal trading days of the Exchange and Shenzhen Stock Exchange. If the Fund participates in the Hong Kong Stock Connect transaction and
If the working day is not a Hong Kong Stock Connect trading day, the Fund Manager may decide whether the Fund will
The subscription, redemption and conversion business shall be open, and the specific announcement shall prevail, but the fund manager shall
Except for the announcement of suspension of subscription and redemption as required by laws and regulations, the CSRC or the Fund Contract. open
The specific business handling time of the release date shall be specified in the prospectus.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
In other special circumstances, the Fund Manager will adjust the aforesaid opening days and hours accordingly
However, 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
The processing time shall be specified in the announcement of subscription start.
From the next working day (inclusive) after the end date of the shortest holding period of each fund unit
The holder may apply for redemption of such fund units. For each fund unit, the minimum holding period is from
Effective date of fund contract (including) (for subscription units) or confirmation date of fund unit subscription (including) (for subscription units)
For subscription units) to the corresponding day of the year one year later (if the corresponding day is a non working day or there is no corresponding day
On the next working day). If the investor subscribes/subscribes to the Fund for many times
The redemption opening time of each fund unit held may be different.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
Announce the start time of subscription and redemption on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
The Fund Manager may not apply for Fund units on a date or time other than that specified in the Fund Contract
Purchase, redemption or conversion. The investor puts forward the subscription and redemption on a date and time other than that specified in the fund contract
Or if the application for conversion is confirmed and accepted by the registration authority, the subscription and redemption prices of the fund units shall be deemed as the next opening
The subscription and redemption price of the fund units on.
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
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. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. fund management
Before the implementation of the new rules, people must publish on the specified media in accordance with the relevant provisions of the Information Disclosure Measures
Notice.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must, in accordance with the procedures stipulated by the sales agency, withdraw within the specific business handling time on the opening day
Apply for subscription or redemption.
2. Payment of subscription and redemption funds
When subscribing for fund units, the investor must pay the subscription amount in full before the specified time, otherwise
The subscription application submitted is invalid. The investor shall pay the subscription amount in full before the specified time, and the subscription application shall be
stand; The subscription takes effect when the registration authority confirms the fund units.
When submitting the redemption application, the fund unit holder must have sufficient fund unit balance, otherwise
The redemption application submitted is invalid. The redemption is established when the fund unit holder submits the redemption application; Registration Authority
The redemption takes effect when the redemption is confirmed. After the redemption application of the fund share holder takes effect, the fund manager will
+7 days (including that day). In the event of major redemption or other temporary
When the redemption is suspended or the payment of redemption money is postponed, the payment method shall refer to the relevant provisions of the Fund Contract
Payment processing.
In case of data transmission delay, communication system failure, bank data of securities/futures exchanges or trading markets
Exchange system failure or other factors beyond the control of the Fund Manager and Fund Custodian affect business processing
Process, the time of redemption payment shall be postponed accordingly to the latest working day when the factor is eliminated.
The fund manager may, within the scope permitted by laws and regulations and the fund contract, conduct the above business
The Fund Manager must make adjustments between the two parties according to the provisions of the Information Disclosure Measures before the implementation of the new rules
The relevant regulations shall be announced on the specified media.
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 is not
If it is successful or invalid, the principal of the subscription amount shall be returned to the investor.
The acceptance of the application for subscription and redemption by the fund sales agency does not mean that the application is necessarily successful, but only represents that
The sales organization did receive the application. The confirmation result of the application for subscription and redemption shall be
Accurate. For the confirmation of the application, the investor shall timely inquire and properly exercise its legal rights, otherwise
Any loss arising from this shall be borne by the investor.
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 net subscription ratio of a single day of the Fund
Measures such as restricting or rejecting large amount subscription, suspending fund subscription, etc. to effectively protect the joint venture of stock fund unit holders
Legal interests. The fund manager can take the above measures for the fund based on the needs of investment operation and risk control
The scale shall be controlled. 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 adjustment
Announce on the specified media.
6、 Purchase and redemption prices, fees and their uses
1. The net value of the Fund units shall be calculated to 4 decimal places and the fifth decimal place shall be rounded
The income or loss arising therefrom shall be borne by the fund property. The net value of fund units on T day is closed on that day
It will be calculated later and announced within T+1 days. In case of special circumstances, the calculation can be delayed appropriately after performing appropriate procedures
Calculation or announcement.
2. The calculation of subscription units and the handling method of the balance: For the calculation of the subscription units of the Fund, see Recruitment
Instructions. The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and it shall be announced that
Listed in the prospectus and fund product information summary. There is no subscription fee for Class C fund units of the Fund. Subscribed
The effective units are the net subscription amount divided by the net value of such fund units on the current day
The calculation results are rounded to 2 decimal places, and the resulting gains or losses are
Fund property commitment.
3. Calculation and handling method of redemption amount: For the calculation of redemption amount of the Fund, see the Prospectus
Books. The redemption rate of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and the Fund product information
Listed in the summary. The redemption amount is the effective redemption unit actually confirmed multiplied by the net amount of such fund unit on the day
The unit of redemption amount is yuan. The above calculation results are all rounded,
It shall be retained to 2 decimal places, and the resulting gains or losses shall be borne by the fund property.
4. There is no subscription fee for Class C fund units of the Fund, and the subscription fee for Class A fund units shall be paid by
Class A fund shares shall be borne by investors and shall not be included in the fund assets.
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 fees to fund assets shall be set in accordance with relevant laws and regulations
In accordance with the provisions of the prospectus, the part not included in the fund property is used to pay the registration fee and other necessary
Service Charge.
6. Subscription rate of Class A fund units of the Fund, application of Class A fund units and Class C fund units
The specific calculation method, redemption rate, redemption amount and charging method of the purchased shares are determined by
The fund manager shall be determined in accordance with the provisions of the fund contract and listed in the prospectus. The fund manager can
The rate or charging method shall be adjusted within the scope agreed in the fund contract, and shall be no later than the new rate or charging party
In accordance with the relevant provisions of the Measures for Information Disclosure, it shall be announced on the specified media before the implementation date.
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 regulations of regulatory authorities and self regulatory rules.
8. The Fund Manager may, without violating the provisions of laws and regulations and the Fund Contract
Under the premise that the Fund Unitholders have no material adverse effects, they shall formulate the fund promotion plan according to the market conditions
Plan, regularly or irregularly carry out fund promotion activities. During the fund promotion activities, according to the relevant supervision department
The Fund Manager may appropriately reduce the fund subscription rate and fund redemption fee after the Fund Manager has required to perform the necessary procedures
Rate.
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 suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Investor's application for subscription.
3. The trading time of the securities and futures exchanges is abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
4. Accepting one or some subscription applications may affect or damage the interests of existing fund share holders
When.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It can have a negative impact on the performance of the fund, or other situations that damage the interests of existing fund share holders occur
Shape.
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. 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 adoption of valuation techniques still leads to significant uncertainty in the fair value, after consultation with the Fund Custodian
After confirmation, the fund manager shall suspend accepting the application for fund subscription.
10. The fund participates in Hong Kong Stock Connect transactions and the daily limit of Hong Kong Stock Connect transactions is insufficient.
11. Other circumstances specified by laws and regulations or recognized by the CSRC.
One of the above situations of suspension of subscription in items 1, 2, 3, 5, 6, 9, 10 and 11 occurs and the fund manager
When deciding to suspend the acceptance of investors' subscription applications, the Fund Manager shall, in accordance with relevant regulations
Publish the announcement of suspension of subscription. In case of any of the situations mentioned in Items 7 and 8 above, the Fund Manager may adopt the proportion to determine
The fund manager has the right to reject all or
Partial subscription application. If the investor's application for subscription is rejected in whole or in part, the rejected subscription
The principal will be returned to the investor. When the suspension of subscription is eliminated, the Fund Manager shall resume it in a timely manner
Handling of subscription business.
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 payment
Redemption proceeds:
1. The fund cannot operate normally due to force majeure.
2. The trading hours of the securities and futures exchanges are temporarily suspended, which makes the fund manager unable to calculate the daily basis
Net value of gold assets.
3. Huge redemption occurs for two or more consecutive open days.
4. 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.
5. 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 adoption of valuation techniques still leads to significant uncertainty in the fair value, after consultation with the Fund Custodian
After confirmation, the Fund Manager shall suspend the payment of the redemption amount or the acceptance of the Fund redemption application.
6. 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.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
In case of any of the above circumstances and the Fund Manager decides to suspend the redemption or postpone the payment of redemption money
The fund manager shall report to the CSRC for filing on the same day. For the confirmed redemption application, the fund manager shall fully
Payment; If the payment cannot be made in full for the time being, the payable part shall be calculated according to the proportion of the application amount of a single account in the total application amount
The proportion is allocated to the redemption applicant, and the unpaid part can be postponed. In case of the situation described in item 3 above
And shall be handled according to the relevant provisions of the fund contract. When applying for redemption, investors can choose in advance to
The unaccepted part shall be withdrawn. When the suspension of redemption is eliminated, the Fund Manager shall resume redemption in a timely manner
The handling and announcement of return business.
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
The balance after the total amount) exceeds 10% of the total fund shares of the previous working day, which means that a huge amount of money has been redeemed
Back.
2. Treatment method of huge redemption
In case of a huge redemption of the Fund, the Fund Manager can make a decision based on the current asset portfolio of the Fund
Full redemption, partial deferred redemption or deferred payment of redemption money shall be determined.
(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. Redemption application on the current day shall be based on a single account
The proportion of the redemption application volume of the household in the total redemption application volume, and the redemption units accepted on the current day shall be determined; For failure to redeem
For the return part, the investor can choose to postpone or cancel the redemption when submitting the redemption application. Choose deferred redemption
If it is returned, it will automatically transfer to the next business day to continue to redeem until it is fully redeemed; Select to cancel redemption
Some redemption applications that were not accepted on that day will be revoked. Deferred redemption application and redemption on the next open day
The redemption application shall be processed at the same time, and the redemption shall be calculated based on the net value of such fund units on the following opening day without priority
The amount to be refunded, and so on, until all redemption. If the investor fails to make clear when submitting the redemption application
If it is selected, the part that the investor fails to redeem will be automatically postponed. Partial deferred redemption is not subject to single redemption
Limitation on minimum shares.
(3) In case of massive redemption, and the fund units applied for redemption by a single fund unit holder account for the most
1. When the proportion of the total fund shares exceeds 30% on an open day, the Fund Manager may
The redemption application of more than 30% of the holders will be postponed. 30% to the single fund unit holder
Redemption applications within 30% (inclusive), together with other redemption applications on the day, shall be subject to the above (1) and (2)
Mode. For the part that cannot be redeemed due to the delay in processing, the investor can
To choose to postpone redemption or cancel redemption. 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 are not accepted on that day will
Be revoked; If the investor does not make a clear choice when submitting the redemption application, the part that has not been redeemed will be automatically postponed
Period redemption processing. Some deferred redemptions are not limited by the minimum amount of single redemption. The Fund Manager is performing
After proper procedures, they have the right to adjust the aforesaid proportion and handling rules according to the market environment at that time, and
Announcement on.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can be postponed
The redemption money shall be paid within 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 send the funds by mail, fax or
Other methods specified in the Prospectus (including but not limited to SMS, email or
Notice, etc.) notify the fund share holders within 3 trading days, explain the relevant handling methods, and
Publish an announcement on the specified media within two days.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall specify the media within the specified period
The suspension notice is published on the website.
2. If the suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of subscription or redemption of the reopening of the fund, and publish the information of various fund units in the latest working day
Net value of fund units.
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
Announce the subscription or redemption, and announce the net amount of fund units of all types of fund units in the latest working day
Value; The time for reopening subscription or redemption can also be specified in the suspension announcement according to the actual situation
No further announcement of re opening will be issued.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For conversion business with other funds managed by the fund manager, a certain amount of conversion can be charged for fund conversion
The relevant rules shall be formulated by the Fund Manager in accordance with the relevant laws and regulations and the provisions of this Fund Agreement
And notify the fund custodian and relevant institutions in advance.
12、 Transfer of Fund Units
Provided that laws and regulations permit and conditions are met, and there is no material adverse effect on share holders
On the premise that relevant procedures have been performed, the Fund Manager may accept the Fund Unitholders to pass the CSRC
The application for share transfer shall be made at a trading place recognized by the Commission or by other means, and the registration authority shall handle the share transfer of funds
Transfer registration of the amount.
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
It is the behavior of handling in accordance with the relevant laws and regulations or the way required by the competent authorities of the state. Whether in the above
Under what circumstances, the subject receiving the transfer must be an investor who can hold the fund shares of the Fund according to law.
Inheritance refers to the death of the fund unit holder, whose fund units shall be succeeded by his legal successor
Undertaking; Donation means that fund share holders donate their legally held fund shares to welfare foundations
Or social groups; Judicial enforcement means that the judicial authority will transfer the fund share holders
The fund units held are forcibly transferred to other natural persons, legal persons or other organizations. Necessary for non transaction transfer
Relevant materials required by the fund registration authority must be provided. For qualified non transaction transfer applications
It shall be handled in accordance with the provisions of the fund registration authority and charged in accordance with the standards prescribed by the fund registration authority.
14、 Custody transfer of funds
Fund share holders may handle the transfer of custody of their held fund shares between different sales institutions
A gold 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 determined by the Fund Manager
As otherwise specified. When handling the regular and quota investment plan, the investor can agree on the amount of deduction for each period
The amount of deduction must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
Minimum subscription amount of periodic fixed investment plan.
16、 Freeze, unfreeze and pledge of fund shares
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law
And freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations. Fund shares are frozen
The rights and interests generated by the frozen part will be frozen at the same time, and the frozen part will still participate in income distribution and disbursement
Pay. Unless otherwise specified in laws and regulations or the Fund Agreement.
On the premise that there is no material adverse effect on fund share holders, after performing relevant procedures
Relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses
The manager will formulate and implement corresponding business rules.
17、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the Prospectus or relevant
Notice.
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Minsheng Jiayin Fund Management Co., Ltd
Address: 13A, Floor 13, Minsheng Financial Building, No. 2005, Fuzhong Third Road, Lianhua Street, Futian District, Shenzhen
Office address: 13A, Floor 13, Minsheng Financial Building, No. 2005, Fuzhong Third Road, Lianhua Street, Futian District, Shenzhen
Legal representative: Zhang Huannan
Date of establishment: November 3, 2008
Establishment approval authority and establishment approval document number: CSRC approval
[2008] No. 1187
Organizational form: limited liability company (Sino foreign joint venture)
Registered capital: 300 million yuan
Duration: sustainable operation
Tel: 010-68960030
（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 the person violates the Fund Contract and relevant national laws and regulations, it shall be reported to the CSRC and other regulatory departments
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) Refuse or suspend acceptance of subscription, redemption and conversion within the scope agreed in the Fund Contract
apply;
(12) Exercising shareholders' rights against the invested company for the benefit of the fund in accordance with laws and regulations
Interests Exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager or
To commit other legal acts;
(15) Selection and replacement of law firms, accounting firms, securities, futures brokers or others
External institutions providing services to the Fund;
(16) Formulate and adjust relevant fund subscription and application on the premise of compliance with relevant laws and regulations
Business rules such as purchase, redemption, conversion, fixed investment, custody transfer and non transaction transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
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 mutually independent
Separate 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
Interest, determining 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;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant regulations
Disclosure and reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. Except Fund
Unless otherwise specified in the Law, the Fund Contract and other relevant provisions, the fund information shall be
Keep confidential and not disclose to others;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and timely hold
Someone distributes the fund income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(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 Custodian and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Keep accounting books, statements, records and others of fund property management business activities as required
Relevant data over 15 years;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
And ensure that investors can check the information about the fund at any time according to the time and method specified in the Fund Contract
Relevant public 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, clearing and evaluation of fund assets
Price, realization and distribution;
(19) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
In the case of legal rights and interests, it shall bear the liability for compensation, and its liability for compensation shall not be exempted by its 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
The interests of the holders shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the third party
Responsibility for the conduct of fund affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise litigation rights or implement
Other legal acts;
(24) If the Fund Manager fails to meet the filing conditions of the Fund during the raising period, the Fund Contract shall not
It can take effect. The fund manager shall bear all the raising costs and add the raised funds to the bank demand deposits for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Postal Savings Bank of China Co., Ltd
Address: No. 3, Financial Street, Xicheng District, Beijing
Office address: Block A, No. 3, Financial Street, Xicheng District, Beijing
Legal representative: Zhang Jinliang
Time of establishment: March 6, 2007
Organizational form: limited liability company
Registered capital: RMB 81.031 billion
Duration: continuous operation
Approval authority and approval document number: CBRC YJF [2006] No. 484
Approval document and document number of fund custody qualification: ZJXK [2009] No. 673
（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
And national laws and regulations, causing significant losses to the fund property and the interests of other parties
Shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) According to relevant market rules, open capital account, securities account and other investment accounts for the fund
To handle the clearing of securities and futures 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,
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
The fund assets of are mutually independent; Set up separate accounts for different funds under custody, conduct independent accounting and separate accounts
Management to ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property seeks benefits for itself and any third party, and may not entrust a third party to trust the fund property;
(5) Custody of major contracts and certificates related to the Fund signed by the Fund Manager on behalf of the Fund
Syndrome;
(6) The fund account, securities account and other accounts required for investment of the fund property shall be opened in accordance with the provisions
As agreed in the Fund Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager
Should;
(7) In addition to the Fund Law, the Fund Contract and other relevant provisions
Unless otherwise specified, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
(10) To give opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund,
Explain whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract;
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state that the Fund Custodian is
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities no less than
The minimum period stipulated by laws and regulations;
(12) Receive and keep fund shares from the fund manager or its entrusted registration institution as required
Register of holders;
(13) Prepare relevant account books as required and check with the fund manager;
(14) Pay fund income to fund share holders in accordance with the instructions of the fund manager or relevant regulations
And redemption payments;
(15) In accordance with the Fund Law, the Fund Contract and other relevant provisions, call for the holding of fund units
The general meeting is held or the general meeting of fund unit holders is convened in accordance with the law in cooperation with the fund manager and fund unit holders;
(16) Supervise fund management in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Human investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and realization of fund assets
And distribution;
(18) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
Will work with the bank regulator and notify the fund manager;
(19) In case of fund property loss due to violation of the Fund Contract and the Custody Agreement
The liability for compensation shall not be exempted by his retirement;
(20) Supervise the Fund Manager to perform his/her own duties in accordance with laws, regulations and the Fund Contract
Obligation. The Fund Manager shall hold
The fund manager is required to recover the interests of others;
(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
Yes, the fund investor will become the holder of the fund unit when he/she obtains the fund unit in accordance with the Fund Contract
And the parties to the Fund Contract until they no longer hold the Fund units of the Fund. Fund share holding
As a party to the Fund Contract, it is not necessary to sign or seal the Fund Contract in writing
Pieces.
Each fund unit of the same category 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) Convene a general meeting of fund unit holders or a general meeting of fund unit holders as required
meeting;
(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) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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 by the fund unit holders
Representatives have the right to attend and vote on behalf of fund share holders. Each base held by fund share holders
Gold shares have equal voting rights. If the future laws and regulations provide otherwise for the general meeting of fund share holders
The laws and regulations in effect at that time 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
For operational needs, the general meeting of fund share holders can add daily institutions, and the establishment and operation of daily institutions should
It shall be conducted in accordance with relevant laws and regulations and the provisions of the CSRC.
1、 Reason for convening
1. Unless otherwise stipulated by laws and regulations, CSRC or the Fund Contract
Or if it is necessary to decide on one of the following matters, a general meeting of fund unit holders shall be convened:
(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 or increase the sales service fees;
(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 based on the fund units on the day when the Fund Manager receives the proposal, the same below) on the same matter
Request in writing to convene 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 funds shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters relating to the general meeting of holders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the sales service fee rate or change the charging method, lower
Redemption rate;
(3) Increase, decrease or adjust the categories or classification rules of fund units;
(4) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(5) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(6) The Fund launches new businesses or services;
(7) Fund manager, registration institution and fund sales institution adjust relevant subscription, redemption, conversion
Fund transaction, non transaction transfer, custody transfer and other business rules;
(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 and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall write on the same matter
To request the convening of a general meeting of fund share holders, a written proposal shall be submitted to the fund manager. Fund manager
It shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the proposed fund in writing
Unit holders' representatives and fund custodians. If the fund manager decides to convene the meeting, it shall issue a written decision by itself
Held within 60 days from the date of; The Fund Manager decides not to convene, representing more than 10% of the Fund shares (including
10%) of the Fund Unitholders who still think it necessary to hold the meeting shall submit a written request to the Fund Custodian
Discussion. The Fund Custodian shall decide whether to convene the meeting or not within 10 days from the date of receipt of the written proposal and notify it in writing
Representatives of the Fund Unitholders and the Fund Manager who put forward the proposal; If the Fund Custodian decides to convene the meeting, it shall
The Fund Manager shall, within 60 days from the date of issuing the written decision, convene and notify the Fund Manager, who shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of fund shares require the same matter
If a general meeting of fund unit holders is held but neither the fund manager nor the fund custodian convenes it, either alone or jointly
Fund share holders representing more than 10% (including 10%) of the Fund shares have the right to convene on their own, and at least
Report to the CSRC for filing 30 days in advance. Fund unit holders convene fund unit holders by themselves according to law
If yes, the Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. 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
Contact information and contact person, deadline for sending and receiving written voting opinions.
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 management in writing separately
People go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall
The Fund Manager and the Fund Custodian shall be notified in writing to go to the designated place to supervise the counting of votes
Du. If the Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes of written votes,
It shall not affect the counting effect of voting opinions.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
The convener of the meeting shall determine other methods allowed by the administrative authority.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
Representatives shall attend the on-site meeting. The authorized representatives of the Fund Manager and the Fund Custodian shall attend the fund units as nonvoting delegates
The voting effect shall not be affected if the Fund Manager or the Fund Custodian does not send representatives to attend the shareholders' meeting. present
The agenda of the general meeting of Fund Unitholders can be held when the following conditions are met at the same time:
(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
The provisions of the Contract and the notice of the meeting, and the vouchers for holding fund shares and the registration held by the fund manager
Data consistency;
(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 those of the Fund on the equity registration date
One half of the total fund units, the convener may hold the meeting of fund unit holders at the time originally announced
The general meeting of fund unit holders shall be reconvened three months later and six months later on the matters originally scheduled for consideration.
The valid fund units represented by the attendees of the reconvened fund unit holders' meeting on the equity registration date shall
Not 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 means specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting.
The communication meeting shall vote in writing or in other ways specified in the announcement of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of written votes. The convener of the meeting
Supervision of the Fund Custodian (or the Fund Manager if the Fund Custodian is the convener) and the notary organ
The written voting opinions of fund share holders shall be collected in the manner specified in the notice of the meeting; Fund Custodian
Or if the fund manager is notified not to participate in the collection of written voting opinions, the voting effect shall not be affected;
(3) Fund units that directly issue voting opinions or authorize others to issue voting opinions
The fund units held by the holder shall not be less than half (including half) of the total fund units on the equity registration date
One); If I directly give a vote or authorize others to give a vote on behalf of the fund unit holding
If the fund units held by the convener are less than half of the total fund units on the equity registration date, the convener may
The original decision shall be made within 3 months and 6 months after the time of the fund unit holders' meeting originally announced
The general meeting of fund unit holders shall be reconvened on the agenda. The reconvened general meeting of fund unit holders shall include
Directly issue voting opinions or authorization on behalf of the holders of more than one-third (including one-third) of the fund shares
Voting opinions issued by other representatives;
(4) Fund share holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinions, the certificate of holding the fund units submitted at the same time, and the resolution of the trustee to issue the statement
See the certificate of fund shares held by the principal and the proxy voting authorization certificate of the principal issued by the agent
It clearly complies with the provisions of laws and regulations, the Fund Contract and the notice of the meeting, and is consistent with the records of the fund registration authority
Symbol.
3. The Fund Unitholders of the Fund may also adopt
Authorize its agent to attend the general meeting of fund share holders by other means, which may be in writing
Network, telephone, SMS or other means, the specific means shall be determined by the convener and listed in the meeting notice
Ming; In terms of the way of holding the meeting, the Fund can also use other off-site ways or on-site ways to communicate with non
The general meeting of fund share holders shall be held in a combination of on-site methods, and the procedures of the meeting shall be in accordance with the on-site meeting
The procedures for holding meetings by means of information. Fund share holders may use written, internet, telephone, SMS or
Voting in other ways shall be determined by the convener of the meeting and specified in the notice of the meeting.
5、 Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings are major matters that affect the interests of fund share holders, such as the major issues of the Fund Contract
Modify, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and
Financial merger, other matters specified in laws and regulations and the Fund Contract, and matters deemed necessary by the convener of the meeting
Other matters discussed at the general meeting of fund share holders.
Modification of the original proposal after the convener of the general meeting of fund unit holders sends the notice of convening the meeting
It shall be announced in time before the general meeting of fund unit 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
Announce the scrutineers, and then the presider of the conference will read out the proposal. After discussion, the proposal will be voted and the resolution of the conference will be formed
Discussion. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
If it is able to preside over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the fund management
If neither the authorized representative of the manager nor the authorized representative of the fund custodian can preside over the meeting
More than one half (including one half) of the voting rights held by the holder and agent of the amount shall be elected to one person
The gold share holder shall be the chairman of the general meeting of fund share holders. Fund Manager and Fund Custody
The refusal of person to attend or preside over the general meeting of fund unit holders shall not affect the decision made by the general meeting of fund unit holders
Validity of the discussion.
The convener of the meeting shall prepare the signature book of the attendees. The signature book indicates the surname of the participants
Name (or unit name), ID document number, fund shares held or represented with voting rights
Name (or unit name) and contact information of the trustor.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the certification authority.
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 half (including half) of the voting rights are valid only after passing; Except for the requirements specified in item 2 below
Matters other than those passed by special resolution 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
Change the Fund Manager or Fund Custodian, terminate the Fund Contract, and merge the Fund with other funds
The special 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 in the counting of votes
Investors who submit the voting documents confirming the identity of investors as specified in the notice of the meeting shall be deemed to be effectively present,
Written voting opinions that appear to conform to the provisions of the notice of meeting shall be regarded as valid voting, and the voting opinions are ambiguous or inconsistent
Contradictory cases shall be deemed as abstention from voting, but shall be included in the amount of
The total number of fund units.
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 meeting is held by
Although the Fund Unitholders themselves or the general meeting is convened by the Fund Manager or the Fund Custodian
If the Fund Manager or Fund Custodian fails to attend the meeting, the chairperson of the Fund Unitholders' meeting shall be present
At the beginning of the meeting, it was announced that three representatives of fund share holders would be elected from among the fund share holders present at the meeting
Serve as scrutinizer. 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 enter
The line shall be re counted only once. After the re counting, the presider of the conference shall announce the re counting on the spot
New counting 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 meeting are based
Supervision of the authorized representative of the Fund Custodian (or the authorized representative of the Fund Manager if convened by the Fund Custodian)
And the notary office shall notarize the counting process. Fund Manager or Fund Custodian
Refusal to send representatives to supervise the counting of votes of written votes 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
It will be filed.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the specified media within 2 days from the effective date. If mining
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the notarial certificate must be completed
The document, the name of the notary office and the notary public will be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective holding of fund units
Resolution of the General Meeting of the People. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders and funds
The Manager and the Fund Custodian are both binding.
9、 Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund shares or voting rights refers to the holding of main pocket shares
The fund shares or voting rights held or represented by the person and the side pocket unit holder respectively meet these proportions, but if
If the matters to be convened and deliberated at the relevant fund unit holders' meeting do not involve the side pocket account, it only refers to the main pocket units
The fund shares or voting rights held or represented by the holders meet such 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 two) of the relevant fund units on the equity registration date
1/1);
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 previously announced by the convener
Fund units reconvened within 6 months and 3 months after the date of the meeting on the matters originally scheduled for consideration
The general meeting of shareholders shall have participants representing more than one-third (including one-third) of the relevant fund units
And or authorize others to participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to two percent 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.
10、 This part deals with the causes, conditions, procedures and tables of the general meeting of fund unit holders
Prerequisites and other provisions, which directly refer to laws and regulations, such as the relevant
If the content is cancelled or changed, or if laws and regulations add a new shareholders' meeting mechanism, the fund manager shall
After the announcement, the contents of this part can be directly modified, adjusted or supplemented without holding fund units
Deliberated by the National People's Congress.
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 is formed by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of 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 share holders to change the fund manager must be reported to the CSRC for filing
Case;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner,
The temporary fund manager or the new fund manager shall take over in a timely manner. New fund manager or temporary fund manager
The Manager shall check the total value and net value of the Fund's assets with the Fund Custodian;
7. Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
Accrued expenses shall be disbursed from the fund assets;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of 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
Case;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
6. Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and newly appointed fund custodian or temporary
The Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian shall cooperate with the fund management
Check the total value and net value of the fund assets;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The accrued expenses shall be disbursed from the fund assets.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and Fund Custodian shall change the Fund Manager and Fund Custodian
A joint announcement shall be made on the specified media within 2 days after the resolution of the general meeting of fund unit holders of the custodian takes effect.
3、 The new fund manager or temporary fund manager receives fund management business, or the new fund trust
Before the custodian or temporary fund custodian receives the fund property and fund custody business, the original fund manager or the original fund
The Fund Custodian shall continue to perform the relevant duties and ensure that it will not cause any loss to the interests of the Fund Unitholders
Harmful behavior. The original fund manager or the original fund custodian still has the right to
Collect fund management fees or fund custody fees in accordance with the provisions of this Fund Agreement.
4、 The provisions of this part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
The reference to laws, regulations or regulatory rules is followed, such as the revision of laws, regulations or regulatory rules in the future
If the content is cancelled or changed, the Fund Manager and the Fund Custodian can directly
The corresponding contents shall be modified and adjusted without convening a general meeting of fund share holders for deliberation.
Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall comply with the Fund Law, the Fund Contract and other relevant provisions
Enter into a custody 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
To ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
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 of fund sales business
Clearing and settlement, distributing dividends on behalf, establishing and keeping the register of fund share holders and handling non trading
Households, etc.
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 fund registration business, it shall sign a entrustment with the agent
Agency agreement to specify the fund manager and agency's management of the investor's fund account and registration of fund shares
Recording, clearing, fund transaction confirmation, dividend distribution, establishment and custody of the register of fund share holders and other matters
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
The investors or funds shall bear the corresponding compensation liability for the losses caused by them, but the situation and law of judicial compulsory inspection
Except for other circumstances stipulated by the law, 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.
Part XII Investment of the Fund
1、 Investment objectives
On the basis of strictly controlling risks and maintaining high liquidity, we pursue sustainable and stable returns.
2、 Investment scope
The investment scope of the Fund includes stocks (including the main board, SME board, GEM and other securities
Stocks allowed to invest), Hong Kong stocks, bonds (including national debt, financial bonds, corporate bonds, and companies
Bonds, local government bonds, subordinated bonds, convertible bonds, separately traded convertible bonds, exchangeable bonds, central bank
Notes, medium-term notes, short-term financing bonds (including ultra short-term financing bonds) and other investments permitted by the CSRC
), asset-backed securities, bond repurchase, stock index futures, treasury bond futures, stock options, banks
Deposits, inter-bank certificates of deposit, cash and other financial workers allowed by laws and regulations or the CSRC to invest funds
Yes (subject to the relevant provisions of the CSRC).
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform the following duties:
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment portfolio is: the Fund's stock investment accounts for 0-30% of the Fund's assets, and Hong Kong Stock Standard
The investment proportion of the stock is 0% - 50% of the stock assets. The proportion of the Fund's investment in interbank deposit receipts shall not exceed
20% of the fund assets, and the total proportion of investment in convertible bonds and exchangeable bonds does not exceed the fund assets
20%。 At the end of each trading day, deduct the payment of stock index futures, treasury bond futures and stock option contracts
Cash that remains no less than 5% of the net asset value of the fund or government bonds with a maturity of less than one year after margin trading
Coupon. Among them, cash does not include settlement provisions, deposits and subscription receivables.
If permitted by laws and regulations or the CSRC, the fund manager may make adjustments after performing appropriate procedures
The investment proportion of the above investment varieties.
3、 Investment strategy
The Fund aims to focus on risk control through rigorous asset allocation strategy and selection of individual bonds
Strategies control downside risks and use diversified investment strategies to achieve stable appreciation of fund assets.
1. Asset allocation strategy
The Fund's asset allocation strategy is mainly based on the domestic and foreign macroeconomic operation and market interest rate
Analysis and prediction of the trend, national fiscal and monetary policies, capital environment of the capital market and the trend of the securities market
Macroeconomic development trend, and evaluate the relative returns of stocks, bonds and cash assets in the future
Ratio, dynamic allocation between stocks, bonds and cash assets, etc., to maintain the overall risk of the fund
Optimize the portfolio on the basis of relatively stable risk level.
2. Bond investment strategy
(1) Interest rate strategy
Study the operation of the national economy such as GDP, price, employment and balance of payments, and analyze the macroeconomic operation
Possible scenarios of the Bank, forecast the government's macroeconomic policy orientation such as fiscal policy and monetary policy, and analyze finance
Change trend and structure of market capital supply and demand, and predict the change trend of financial market interest rate level on this basis
And the change trend of the slope of the financial market yield curve.
The portfolio duration is the most important indicator to reflect interest rate risk
Based on the analysis and judgment of macroeconomic conditions, monetary policy and other factors
Target duration: when the market interest rate level is expected to rise, reduce the duration of the portfolio to avoid the bond price
Reduce the risk and capital loss, and obtain higher reinvestment income; When market interest rate is expected to decline, increase
The duration of the portfolio, when the market interest rate actually drops, to obtain the yield of bond price rise, and obtain higher interest
Interest income.
(2) Credit strategy
According to the stage of the national economic operation cycle, analyze the development prospect of the bond issuer's industry and the issuer
Business development status, enterprise market position, financial status, management level, debt level and other factors, evaluation
The credit risk of the bond issuer, and the credit rating of the bond according to the issuance contract of the specific bond,
Determine the credit risk spread and investment value of bonds.
The credit bonds referred to in the Fund are those with a credit rating of AA or above. Including this fund
The credit bonds invested in AA (inclusive) shall not exceed 20% of the credit bond assets invested by the Fund; Invest in AA+
Its credit bonds shall not exceed 80% of the credit bond assets invested by the Fund; Letter of investment above AA+(excluding)
The investment ratio of debt use is 30% - 100% of the credit bond assets invested by the Fund (during the operation, due to the
Except for the case of redemption of shares and other circumstances leading to passive exceeding the standard).
Financial bonds (excluding policy financial bonds), local government bonds, corporate bonds, corporate bonds, and asset support
The credit rating of credit bonds such as securities, subordinated bonds and medium-term notes shall be based on the rating agency selected by the fund manager
Bond credit rating issued; The credit rating of credit bonds such as short-term financing bonds and ultra short-term financing bonds shall be based on
The main credit rating issued by the rating agency selected by the financial manager.
(3) Bond selection and portfolio optimization
The Fund will, based on the bond market situation, the term structure of interest rates and the credit rating of bonds
Basis for considering liquidity, market segmentation, coupon rate, tax characteristics, prepayment, redemption and other factors
First, evaluate the value of bond investment, select bonds with reasonable pricing or undervalued value to build a portfolio,
And optimize the portfolio according to market changes.
(4) Convertible bond investment
Convertible bonds (including separately traded convertible bonds) have the characteristics of both equity securities and fixed income securities
It has the characteristics of resisting downside risks and sharing the gains from rising stock prices. In the comprehensive analysis and
On the basis of studying the terms of convertible bonds and the fundamentals of bond issuing companies, investment has a high margin of safety
And convertible corporate bonds with good liquidity to obtain stable investment returns.
3. Stock investment strategy
On the premise of strictly controlling risks and maintaining asset liquidity, the Fund will moderately participate in equity equity
Investment in profit assets to increase fund income.
The Fund mainly adopts the bottom-up strategy of selecting individual stocks. On the one hand, the Fund will make profits from the Company
Model, profitability, development prospects of the industry, the company's industry position, competitive advantages, governance structure, etc
The Company has conducted in-depth analysis and research on the Company, and selected the companies with sustainable growth and relatively reasonable valuation
Focus on. On the other hand, the Fund will also actively track the performance of the company's share price, and use the trend to follow
The tracking and pattern recognition model tracks the stock price, focusing on individual stocks with upward trend. Based on
The above two aspects construct the stock portfolio to improve the overall income level of the fund.
4. Stock investment strategy of Hong Kong Stock General Standard
The Fund may, according to the needs of its investment strategy or the changes in the market environment of different allocation places, choose to transfer part of the
Gold assets invest in Hong Kong stocks or choose not to invest fund assets in Hong Kong stocks. Fund assets are not necessarily invested in Hong Kong
Shares.
5. Investment strategy of treasury bond futures
The Fund will invest in treasury bond futures with the purpose of hedging in accordance with the principle of risk management
Considering the liquidity and risk return characteristics of treasury bond futures, appropriately participate in treasury bonds under the premise of controllable risk
Futures investment.
6. Investment strategy of stock index futures
The Fund's investment in stock index futures will be based on the principle of risk management, with the purpose of hedging
Avoid market risks. Therefore, the contract value of the short position of stock index futures mainly corresponds to the long position value of the stock portfolio.
The fund manager dynamically manages the number of stock index futures contracts to extract the excess income of the corresponding stock portfolio
Benefits.
7. Stock Option Investment Strategy
The Fund's investment in stock options will be based on the principle of risk management, with hedging as the main purpose
Trading with stock options. The Fund will combine investment objectives, proportional restrictions, risk return characteristics and laws
Relevant restrictions and requirements of laws and regulations, and determine the investment opportunity and investment proportion of participating in stock option trading.
8. Asset backed securities investment strategy
Deeply analyze the market interest rate of asset-backed securities, terms of issue, composition and quality of supporting assets
Prepayment rate, risk compensation income, market liquidity and other fundamental factors, estimate the asset default risk and
Prepayment risk, and simulate the principal of asset-backed securities according to the income structure of asset securitization
Cash flow process of repayment and interest income, assisted by Monte Carlo method and other quantitative pricing models
Evaluate its intrinsic value, and invest in such types of assets in combination with the market characteristics of asset-backed securities
Capital.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The share investment of the Fund accounts for 0-30% of the Fund's assets, and the investment proportion of Hong Kong stocks is
0% - 50% of equity assets, and the proportion of the Fund's investment in inter-bank deposit receipts shall not exceed 20% of the Fund's assets
The total proportion of convertible bonds and exchangeable bonds shall not exceed 20% of the fund assets;
(2) At the end of each trading day, deduct the amount of stock index futures, treasury bond futures and stock option contracts that need to be paid
After the transaction margin, the amount of cash kept not less than 5% of the net asset value of the fund or the maturity date is within one year
Government bonds, the aforesaid cash does not include settlement provisions, deposits, subscription receivables, etc;
(3) The Fund holds securities issued by a company (the same company is listed in both the Mainland and Hong Kong
A+H shares), 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 (the same company
A+H shares listed in both the mainland and Hong Kong), no more than 10% of the securities
The fund varieties that invest in securities according to the composition proportion of the relevant index may not be subject to the proportion limit specified in this article
System;
(5) All open-ended funds managed by the Fund Manager (including open-ended funds and open funds
The holding of tradable shares issued by a listed company shall not exceed that of the listed company
15% of the company's tradable shares;
(6) Negotiable issued by a listed company held by all investment portfolios managed by the Fund Manager
Shares shall not exceed 30% of the tradable shares of the listed company;
(7) 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;
(8) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(9) 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;
(10) All funds managed by the Fund Manager invest in various assets of the same original equity holder
Holding securities shall not exceed 10% of the total size of its various asset-backed securities;
(11) The Fund shall invest in asset support certificates with a credit rating of BBB or above (including BBB)
Coupon. During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards,
All of them shall be sold within 3 months from the date of rating report release;
(12) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the amount of
Total assets, the number of shares declared by the Fund shall not exceed the total number of shares issued this time by the company to be issued
Quantity;
(13) 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 the fund, and the maximum term of bond repo in the national inter-bank market is 1
The bond repurchase period shall not be extended after maturity;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the Fund's assets
15% of the net value, due to fund management such as fluctuations in the securities market, stock suspension of listed companies, and changes in fund size
If the fund does not meet the limit of this proportion due to factors other than human factors, the fund manager shall not actively increase liquidity
Investment in restricted assets;
(15) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(16) The Fund deals with private securities asset management products and other entities recognized by the CSRC
If the counterparty carries out reverse repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment
The scope of capital is consistent;
(17) The Fund shall comply with the following requirements when participating in the trading of stock index futures and treasury bond futures:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of net asset value; The contract price of treasury bond futures held by the Fund at the end of any trading day
Value, which shall not exceed 15% of the net asset value of the fund;
2) At the end of any trading day, the value of the purchased stock index futures and treasury bond futures contracts held by the Fund
The sum of market values of securities shall not exceed 95% of the net asset value of the fund; Among them, marketable securities refer to stocks
Bonds (excluding government bonds with a maturity of less than one year), asset-backed securities, redemptory financial assets for sale
Property (excluding pledge repurchase), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed that of the Base
20% of the total market value of shares held by Jin; The selling treasury bond futures held by the Fund at the end of any trading day
The contract value shall not exceed 30% of the total market value of bonds held by the fund;
4) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold, total (netting
Calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment; Bonds held by the Fund
(excluding government bonds with a maturity date of less than one year) market value and the value of treasury bond futures contracts purchased and sold,
The total amount (netting calculation) shall comply with the relevant provisions of the fund contract on the proportion of bond investment;
5) The transaction amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 20% of the net asset value of the Fund on the previous trading day; The Fund trades on any trading day (excluding
The transaction amount of the treasury bond futures contract (including closing position) shall not exceed the net asset value of the fund on the previous trading day
30%；
(18) The Fund's participation in stock option trading shall comply with the following investment proportion restrictions:
1) The total amount of premium paid and received by the Fund due to open position option contracts shall not exceed the fund assets
10% of net worth;
2) Where the Fund opens positions to sell call options, it shall hold sufficient underlying securities; Open put option
Should hold the full amount of cash required for the exercise of the contract or the offsetting option margin recognized by the rules of the Exchange
Cash equivalents;
3) The par value of the option contracts with open positions of the Fund shall not exceed 20% of the net asset value of the Fund. Among them,
The nominal value of the contract is calculated by multiplying the exercise price by the contract multiplier;
(19) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Except for items (2), (11), (14) and (16) above, due to fluctuations in securities and futures markets
Factors other than the fund manager, such as the merger of the securities issuer and the change of the fund size, result in the non investment proportion of the fund
If the investment proportion meets the above provisions, the fund manager shall make adjustment within 10 trading days, but China
Except for special circumstances stipulated by the CSRC.
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 conform to
Agreement of the mutual fund contract. The Fund Custodian's supervision and inspection of the Fund's investment has taken effect since the Fund Agreement came into force
Starting from.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
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
Active:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Make capital contributions to its fund manager and fund custodian;
(5) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by an international controller or a company with other significant interests with it or underwritten during the underwriting period
Securities or other major related party transactions shall conform to the investment objectives and strategies of the Fund,
Follow the principle of giving priority to the interests of fund share holders, prevent conflicts of interest, and establish and improve the internal approval mechanism
And the evaluation mechanism, in accordance with fair and reasonable prices in the market. Relevant transactions must be obtained from the fund custodian in advance
And disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review
And passed by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related transactions.
Laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Base
After the Fund Manager performs the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or after the change
Implementation of the provisions of.
5、 Performance Benchmark
The performance benchmark of the Fund is: China Bond Composite Index yield × 80%+Shanghai Shenzhen 300 Index yield
Rate × 15%+yield of Hang Seng Composite Index × 5%.
The China Bond Composite Index is prepared by the Central Government Securities Depository and Clearing Co., Ltd
Bond index, China Bond Composite Index belongs to the total value index family of China Bond, and the component bonds of the index include bonds excluding asset support
All the remaining publicly issued and listed bonds other than securities, dollar bonds and convertible bonds are
The broad base index reflecting the price trend of the domestic RMB bond market is a professional and authoritative index in the market at present
And a stable bond index that can better reflect the overall situation of the bond market.
The CSI 300 Index is the authority compiled and released by CSI Index Co., Ltd. to represent the trend of A-share market
Index. The index is compiled by selecting 300 A-shares from the Shanghai and Shenzhen stock markets as samples
Component stock index. The Fund selects the return rate of this index to measure the performance of A-share stock investment. Base
The performance benchmark of King is set according to the investment style and strategic characteristics of the Fund, which can accurately reflect the
The risk return characteristics facilitate the Fund Manager to reasonably measure and compare the performance of the Fund.
The Hang Seng Composite Index is compiled by Hang Seng Index Services Limited, covering the main board of the Stock Exchange of Hong Kong
The total market value of listed shares is about 95%, which is the most influential stock index reflecting the price trend of Hong Kong stock market.
If the laws and regulations change in the future, or there are more authoritative and generally accepted performance in the market
The benchmark is launched, or the market changes so that this performance benchmark is no longer applicable or this performance comparison
The benchmark will not be released, and the Fund Manager may, in accordance with the principle of safeguarding the legitimate rights and interests of investors
After reaching consensus through consultation and reporting to the CSRC for filing, the custodian shall appropriately adjust the performance benchmark and make a timely announcement,
There is no need to convene a general meeting of fund share holders.
6、 Risk return characteristics
The Fund is a hybrid securities investment fund, with expected risks and expected returns higher than those of bond funds and bonds
Money market funds, but lower than equity funds. The Fund will invest in Hong Kong stocks, which are the general target stocks of Hong Kong stocks
Special wind brought by differences in investment environment, investment object, market system and trading rules under the general mechanism
Insurance.
7、 Principles and methods for the Fund Manager to exercise the rights of shareholders or creditors on behalf of the Fund
1. The Fund Manager shall independently exercise the rights of shareholders or creditors on behalf of the Fund in accordance with the relevant provisions of the State, and ensure that
Protect the interests of fund share holders;
2. Do not seek to control the listed company;
3. It is conducive to the safety and appreciation of fund assets;
4. 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, according to the maximum protection basis
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of the gold share holders and consulted the accountant
After the opinion of the accounting firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as realization and payment that have a significant impact on investors' rights and interests.
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to the value of various securities and bills purchased, the principal and interest of bank deposits and fund receivables
The total value of the fund subscription funds 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 for the Fund in accordance with relevant laws, regulations and normative documents
Account and other special accounts required for investment. Special fund account opened with fund manager and fund
Property accounts owned by the custodian, fund sales agency and fund registration agency and other fund property accounts
Independent of each other.
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 of the Fund Custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Its own property shall bear its own legal liability, and its creditors shall not apply for freezing of the Fund's property
To settle, detain or other rights. In addition to being disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets
No punishment is allowed.
The Fund Manager and the Fund Custodian are dissolved, canceled or declared bankrupt according to law
In case of liquidation for reasons, the fund assets shall not belong to its liquidation assets. Fund manager manages and operates fund assets
The creditor's rights generated shall not offset the debts generated from its inherent assets; Fund manager management and operation
The creditor's rights and debts arising from the fund assets of different funds shall not offset each other. Not due to the fund property itself
Shall not be enforced against the fund assets.
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
Stocks, stock index futures contracts, treasury bond futures contracts, stock option contracts and assets owned by the Fund
Support assets and liabilities such as securities, bonds, bank deposit principal and interest, receivables, and other investments.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with the requirements of the Enterprise
Accounting Standards and relevant regulations of regulatory authorities.
（1） For the investment varieties with active market and the same quoted price of assets or liabilities, they are under evaluation
If there is a quotation on the duty day, the quotation shall be applied to
The fair value measurement of the asset or liability. There is no quotation on the valuation date and there is no impact on fairness after the latest transaction date
For major events measured by value, the quoted price on the latest trading day shall be used to determine the fair value. Sufficient evidence
If it indicates that the quotation on the valuation date or the latest trading day cannot truly reflect the fair value, the quotation shall be adjusted
The fair value shall be determined.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
Value, and consider the influence of different characteristic factors in the valuation technology. Characteristic refers to the sale of assets or
Restrictions on use, etc. If the restrictions are for asset holders, then the
Limitations are considered as characteristics. In addition, the fund manager should not consider that due to its large holding of relevant assets or liabilities
The resulting premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable and sufficient for the current situation
The fair value can be determined by valuation techniques supported by data and other information. Using valuation techniques to determine the company
When the allowable value is available, the observable input value should be used preferentially. Only when the relevant assets or liabilities cannot be obtained, can they be observed
The unobservable input value can be used only when the input value or acquisition is impractical.
（3） In case of major changes in the economic environment or major events affecting the securities price of the securities issuer
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%
Adjust the valuation and determine the fair value.
4、 Valuation method
1. Valuation of securities listed on stock exchanges
(1) Securities (including stocks, etc.) listed on the stock exchange shall be listed on the stock exchange on the valuation date
Valuation of the market price (closing price) of the card; There is no transaction on the valuation date, and the economic environment has not occurred since the most recent transaction date
In case of major changes or no major event affecting the securities price occurs to the securities issuer
Market price (closing price) valuation; If the economic environment has changed significantly or the securities issuer has
In case of major events affecting the securities price, the current market price and major changes of similar investment varieties can be referred to
Adjust the market price of the latest transaction and determine the fair price;
(2) Fixed income varieties listed or transferred on the exchange market (unless otherwise specified
Select the net valuation price of the corresponding varieties provided by the third-party valuation agency on the valuation date;
(3) Convertible bonds listed and traded on the exchange market shall be subject to the closing price on the valuation date minus the closing price of bonds
Net price valuation of bond interest receivable included in; There is no transaction on the valuation date, and after the most recent transaction date
If there is no significant change in the economic environment, the closing price of bonds on the latest trading day minus the
Net valuation of bond interest receivable; If the economic environment has changed significantly since the recent trading day,
The current market price and major change factors of similar investment varieties can be referred to, and the market price of the latest transaction can be adjusted
Allowable price;
(4) The fair value of asset-backed securities listed on the exchange is determined by valuation techniques
If it is difficult to reliably measure the fair value, it shall be valued at cost;
(5) 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.
2. The securities in the unlisted period shall be handled according to the following circumstances:
(1) The new shares issued for stock dividend, conversion, allotment and public issuance shall be listed on the stock exchange on the valuation date
The valuation method of the same stock; If there is no transaction on that day, the market price (closing price) of the latest day shall be used for evaluation
Value;
(2) For the initial public offering of unlisted shares, the fair value is determined using valuation techniques
If it is difficult to reliably measure the fair value, it shall be valued at cost;
(3) Circulating restricted stock (refers to the stock with a certain period of restricted sale specified at the time of issuance, including but not limited to
Public offering of shares by shareholders of companies in non-public offering and initial public offering of shares, and block trading
The stocks obtained with a sales restriction period, etc., do not include the pledged bonds in the suspension of trading, newly issued unlisted and repurchase transactions
Determine the fair value according to the relevant regulations issued by the regulatory authority or industry association;
(4) The exchange market issues unlisted or unlisted transferred fixed income varieties, using valuation techniques
To determine the fair value, if the valuation technology is difficult to reliably measure the fair value, it shall be valued at cost.
3. Valuation of transaction varieties in the national inter-bank market
(1) Fixed income varieties of inter-bank market transactions, select the corresponding products provided by third-party valuation institutions
And the estimated net price on the same day.
(2) For bonds that are not listed in the inter-bank market and the third-party valuation agency does not provide valuation prices
There is no significant difference between the issuance interest rate and the secondary market interest rate, and the market interest rate is not large during the unlisted period
In case of change, it shall be valued at cost.
4. If the same security is traded in two or more markets at the same time, it shall be separately evaluated according to the market in which the security is located
Value.
5. The Fund's investment in stock index futures, treasury bond futures and stock option contracts is generally settled on the valuation day
If there is no settlement price on the valuation date, and the economic environment has not changed significantly since the most recent trading day
The settlement price on the latest trading day shall be used for valuation.
6. The interbank deposit receipt is valued at the net valuation price provided by the third-party valuation agency on the valuation date; Selected Third Parties
If the valuation agency does not provide the valuation price, the valuation shall be based on the cost.
7. The fair value of the share allotment right due to the holding of shares is determined by the valuation technique
If it is difficult to reliably measure the fair value, it shall be valued at cost.
8. On the fund valuation date, the valuation of foreign currency securities assets held by Hong Kong Stock Connect involves Hong Kong dollars versus RMB
For the exchange rate, refer to the central parity of RMB exchange rate published by the People's Bank of China or its authorized institution on that day.
9. 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.
10. 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, determine the price that best reflects the fair value
Valuation.
11. As for the fees payable in accordance with the laws and regulations of China and the laws and regulations of the place where the fund is invested
The Fund will evaluate such taxes on the accrual basis; For tax regulation adjustment or other reasons
If there is a difference between the actual tax paid by the Fund and the estimated tax payable, the Fund will adjust the relevant tax
Make corresponding valuation adjustment on the date of payment or the actual payment date.
12. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there is anything new
The valuation is based on the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method specified in the fund contract
If the procedures and relevant laws and regulations fail to fully protect the interests of fund share holders
Inform the other party, find out the reason together, and the two parties will solve it through consultation.
According to relevant laws and regulations, the obligation of calculating the net asset value of the fund and accounting of the fund is managed by the fund
People bear. The fund manager is the fund accounting responsible party of the Fund, so it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
See. According to the fund manager's calculation results of the fund net value information, the fund manager shall publish the results in accordance with the regulations
Losses caused by fund share holders and the fund, and errors in deferral of the calculation of the net asset value of the fund on the trading day
The fund manager shall be responsible for the compensation of the losses incurred.
5、 Valuation procedures
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each working day by the number of fund units on that day
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place. Fund manager
An emergency adjustment mechanism for net worth accuracy in the case of large redemption can be established. If it is otherwise stipulated by the state, its regulations shall prevail
Definitely.
The Fund Manager shall calculate the net asset value of the Fund and the net value of various fund units every working day, and
The announcement will be made.
2. The Fund Manager shall evaluate the assets of the Fund every working day. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. The Fund Manager's valuation of the Fund's assets on each working day
After that, the net value results of various fund units will be sent to the Fund Custodian. After the Fund Custodian has verified that there is no error
The Fund Manager shall publish it to the public as agreed.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
The accuracy and timeliness of the value. When the net value of fund units is valued within 4 decimal places (including the 4th decimal place)
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
Where the error in valuation is caused by the fault of the sales agency or the investor itself, causing losses to other parties,
The person responsible for the fault shall press
It states the "principle of handling valuation errors" to make compensation and bear the liability for compensation.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
Data calculation error, system failure error, order issuing error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct 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
Dan; Loss caused to the parties due to the failure of the responsible party to timely correct the valuation errors that have occurred
The party responsible for the valuation error shall be liable for the direct loss; If the responsible party for the valuation error has been active
Coordination, and the party who has the obligation to assist has enough time to make corrections, but has not made corrections, it has the meaning of assistance
The parties concerned shall bear the corresponding liability for compensation. The party responsible for the valuation error shall report the correction to the relevant party
The parties concerned shall confirm to ensure that the valuation errors have been corrected.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the relevant parties, not for the indirect losses
And 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 improper benefits does not return
If the improper enrichment is returned or not returned in full, resulting in the loss of interests of other parties (the "injured party"), the valuation error liability
Either party shall compensate the loss of the injured party, and within the scope of the compensation amount paid by the party
The parties have the right to demand the delivery of unjust enrichment; If the party who has obtained unjust enrichment has
If the unjust enrichment is returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of compensation it has received
The difference between the total of the return of improper profits and the actual loss shall be paid to the party responsible for the valuation error.
(4) Valuation error adjustment adopts the method of recovering to the correct situation assuming no valuation error
Formula.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses.
(2) When the error deviation reaches 0.25% of the net value of such fund units, the Fund Manager shall notify the Fund Manager that
The fund custodian shall also report to the CSRC for filing; When the error deviation reaches 0.5% of the net value of such fund units
The fund manager shall make an announcement and report to the CSRC for the record.
(3) When the calculation error of the net value of fund units causes losses to the funds and fund unit holders
In case of compensation, the Fund Manager and the Fund Custodian shall define the responsibilities undertaken by both parties according to the actual situation
After recognition, compensation shall be made according to the following terms:
① The Fund Manager shall be responsible for the accounting of the Fund
If the two parties cannot reach an agreement after full discussion on the basis of equality
It is recommended to implement. The Fund Manager shall be responsible for the losses caused to the Fund Unitholders and the Fund property
Compensation.
② If the net value of the Fund units calculated by the Fund Manager has been reviewed and confirmed by the Fund Custodian and announced
In addition, the Fund Custodian did not raise doubts about the calculation process or require the Fund Manager to explain in writing
If the value is wrong and causes losses to the fund share holders, the investor or the fund share holder shall, in accordance with the provisions of laws and regulations
The fund manager and the fund trust
The administrator shall bear corresponding responsibilities according to the degree of fault.
③ For example, the calculation results of the fund manager and the fund custodian on the net value of fund units, although repeated
Calculate and check. If no agreement can be reached, in order to avoid failing to publish the net value of fund units on time,
Losses caused to fund share holders and the fund due to the disclosure of the calculation results of the fund manager
In case of loss, the fund manager shall be responsible for compensation.
④ Due to the information error provided by the fund manager (including but not limited to the fund purchase or redemption amount
And so on), resulting in the calculation error of the net value of fund units
The loss shall be compensated by the fund manager.
(4) The net value of the Fund Manager and the Fund Custodian due to their respective technical system settings
Poor, subject to the calculation result of the fund manager.
(5) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions. If line
In other general practice, the Fund Manager and the Fund Custodian shall act on the basis of equality and protect the Fund Unitholders
The principle of interests.
7、 Suspension of valuation
1. The securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately evaluate the Fund due to force majeure or other circumstances
The asset value;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances stipulated by laws and regulations, recognized by the CSRC and the fund contract.
8、 Recognition of net fund value
The net asset value of the Fund and the net value of various fund units shall be calculated by the Fund Manager, and the Fund Custodian shall bear
Responsible for review. The Fund Manager shall calculate the net asset value of the Fund on each working day after the end of trading
And the net value of various fund units and send them to the fund custodian. The Fund Custodian rechecks and confirms the net value calculation result
After confirmation, it will be sent to the fund manager, who will publish the net value of the fund as agreed.
9、 Handling methods for special cases
1. When the Fund Manager or the Fund Custodian conducts valuation according to Item 10 of the valuation method
Errors shall not be treated as errors in fund asset valuation.
2. Amount sent due to force majeure or securities, futures exchanges and registration and clearing companies
According to the error, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures to
The Fund Manager and the Fund Manager
The Fund Custodian shall be exempted from liability for compensation, but the Fund Manager and the Fund Custodian shall actively take necessary measures
Eliminate or mitigate the impact caused thereby.
10、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, it shall evaluate the assets of the main pocket account in accordance with the provisions of this Part and
Disclose the net fund value of the main pocket account, and suspend the disclosure of the net share value of the side pocket account.
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. The sales service fee withdrawn from the fund property of the Fund's Class C fund units;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
Fees;
6. Expenses for the general meeting of fund share holders;
7. Securities, futures and other transaction costs of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. Various expenses arising from the investment in Hong Kong stocks;
11. In accordance with the relevant provisions of the State and the Fund Contract
His expenses.
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 an annual fee rate of 0.80% of the net asset value of the Fund on the previous day. Calculation of management fee
The calculation method is as follows:
H ＝ E × 0.80% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
Fund management fees are accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
The financial data sent to will be automatically paid according to the designated account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses, the Fund Manager shall pay
If the data is found to be inconsistent, the Fund Custodian shall be contacted in a timely manner for settlement through consultation.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. Custody fee
The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
The financial data sent to will be automatically paid according to the designated account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses, the Fund Manager shall pay
If the data is found to be inconsistent, the Fund Custodian shall be contacted in a timely manner for settlement through consultation.
3. Sales service fee
There is no sales service fee for Class A fund units of the Fund, and annual sales service fee for Class C fund units
The rate is 0.50%. The calculation method is as follows:
H=E × 0.50% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The fund sales service fee is accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
For consistent financial data, it will automatically disburse according to the specified account path within 5 working days at the beginning of the next month
Pay. In case of legal holidays, rest days, etc., the payment date shall be postponed. Fund management after automatic expense deduction
The Fund Custodian shall check the data and timely contact the Fund Custodian for settlement if any discrepancy is found.
Items 4-11 of the above "I. Types of fund expenses" shall be paid according to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be disbursed from the fund assets by the fund custodian
Pay.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account,
However, 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 not
For the management fee, please refer to the prospectus.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
Execution. The relevant taxes on the investment of fund assets shall be borne by the fund share holders, and the fund manager or its
His withholding agent shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value
Eh.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. On the premise of meeting the conditions for fund dividends, the fund manager may, according to the actual situation
The specific distribution plan shall be subject to the announcement. If the Fund Contract takes effect less than 3 months ago, it may not
Income distribution;
2. The income distribution method of the Fund is: cash dividends;
3. After the distribution of fund income, the net value of fund units cannot be lower than the par value, that is, the base date of fund income distribution
The net value of the fund units less the amount of income distribution per unit fund unit cannot be lower than the par value;
4. Each fund unit of the same category of the Fund has the same right of distribution;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In compliance with laws and regulations and the fund contract, and without material adverse effect on the interests of fund share holders
The Fund Manager may adjust the fund income distribution principle and payment method without calling
Hold a general meeting of fund unit holders.
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 within 2 days
Announce in the specified media.
6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves.
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the prospectus for details
Definitely.
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 meeting
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
And confirmed in a way agreed by both parties.
2、 Annual audit of the Fund
1. The Fund Manager's engagement of mutual independence with the Fund Manager and the Fund Custodian is consistent with the requirements of the People's Republic of China
The annual financial statements of the Fund issued by the accounting firm and its certified public accountants as prescribed by the Securities Law of the Republic of China
Conduct audit.
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 within 2 days.
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures and the Information Disclosure Office
Law of the People's Republic of China, Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Relevant laws and regulations
In case of any change in the regulations on information disclosure, the Fund shall comply with its latest regulations.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the holding of call fund units
The fund share holders of the general meeting and other laws and regulations as well as the natural persons, legal persons and illegal persons stipulated by the CSRC
Human organization.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and
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
The information is passed through national newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") that meet the requirements of the CSRC and
Internet websites (hereinafter referred to as "regulated websites") and other media disclosure specified in the Information Disclosure Measures,
And ensure that the fund investors can consult or copy the public information at the time and in the manner agreed in the Fund Contract
Disclosed information.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory articles of any natural person, legal person or unincorporated organization
Character;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If a foreign language text is used at the same time
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The Chinese text shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the monetary unit is the people
RMB.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Profile
want
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract
The rules and specific procedures for the convening of the general meeting of fund share holders, specifying the characteristics of the fund products and other related funds
Legal documents on matters of major interests of 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 and services of fund share holders. After the Fund Contract comes into effect
In case of major changes in information, the Fund Manager shall update the Prospectus within three working days
And posted on the specified website; If other information in the prospectus changes, the fund manager shall at least
It is updated once a year. If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The fund 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 effect, the information in the fund product information summary is significant
In case of any change, the Fund Manager shall, within three working days, update the summary of fund product information and publish it on the
Stipulate websites and websites or business outlets of fund sales agencies; Other information in the fund product profile changes
Moreover, the fund manager shall be updated at least once a year. If the operation of the fund is terminated, the fund manager will not update it
Summary of fund product information.
After the application for fund raising is registered with the CSRC, the fund manager will sell the fund units within three days
The Fund Unit Offering Announcement, the indicative announcement of the Fund Prospectus and the indicative announcement of the Fund Contract
The announcement shall be published in the specified newspapers and periodicals, and the fund unit sale announcement, fund prospectus, fund product information
The summary, Fund Agreement and Fund Custody Agreement are posted on the specified website and the fund product information is posted
The summary is published on the website or business outlet of the fund sales agency; The Fund Custodian shall simultaneously
The Trust Agreement and the Fund Custody Agreement are published on the website.
（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units in respect of the specific matters concerning the sale of fund units, and shall publish the announcement on the
The prospectus is 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 on the specified media
Announcement of the effectiveness of the Golden 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
The net value of various fund units and the cumulative net value of fund units shall be disclosed at least once a week on the prescribed website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of the day, disclose all kinds of open day information through the specified website, fund sales agency website or business outlets
Net value of fund units and cumulative net value of fund units.
The Fund Manager shall disclose on the prescribed website no later than the next day after the last day of the half year and the year
Net value of various fund units and accumulated net value of fund units in the half year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall specify the Fund in the Fund Contract, Prospectus and other information disclosure documents
Calculation method of share subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the fund sales institution shall consult or copy the aforesaid 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, complete the annual report of the Fund and
The annual report shall be published on the specified website, and the advisory announcement of the annual report shall be published on the specified newspaper. base
The financial and accounting report in the annual financial report shall be subject to
Audit by accounting firm.
The Fund Manager shall prepare and complete the interim report of the Fund within two months from the end of the first half of the year,
Publish the interim report on the specified website, and publish the indicative announcement of the interim report on the specified newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter
Report, publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper
On.
The Fund Manager may not prepare the current quarterly report
Interim 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 should at least report "affect investors" on a regular basis
Other important information of the decision ", disclose the investor's category, holding shares and proportion at the end of the reporting period
Changes in shares held during the reporting period and the unique risks of the Fund, as well as the special circumstances recognized by the CSRC
except.
During the continuous operation of the Fund, the Fund Manager shall, in the annual report and interim report of the Fund
Disclosure of fund portfolio assets and liquidity risk analysis, etc.
（7） Interim report
If a major event occurs to the Fund, the relevant information disclosure obligor shall prepare an interim report 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. Fund contract termination and fund liquidation;
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 Agency to handle the accounting, valuation and review of the Fund on its behalf
Item;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The Fund Manager changes the actual control of shareholders holding more than 5% of the equity and the Fund Manager
Person change;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior management of the fund manager, fund manager and special fund custody department of the fund custodian
The person in charge changes;
10. The directors of the fund manager have changed by more than 50% in the last 12 months
The main business personnel of the special fund custody department of the Fund Custodian and the Fund Custodian have changed by more than 100% in the last 12 months
Thirty percent;
11. Litigation or arbitration involving fund management business, fund property and fund custody business;
12. The fund manager or its senior managers and fund managers are subject to
In case of major administrative punishment or criminal punishment, the fund custodian or the head of its special fund custody department shall
Relevant behaviors of custody business 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 shares
Securities issued by the owner, the actual controller or a company with a significant stake in them or underwritten during the underwriting period
Unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standard and calculation of management fee, custody fee, sales service fee, subscription fee, redemption fee, etc
The mode of presentation and rate have changed;
16. The valuation error of the net value of fund units reaches 0.5% of the net value of such 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 or potential impact on investor redemption
Hour;
24. The Fund Manager adopts the swing pricing mechanism for valuation;
25. The Fund Information Disclosure Obligor believes that it may affect the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact on prices or other matters specified by the CSRC.
（8） Clarification announcement
During the duration of the Fund Contract, any information that appears in any public media or spreads in the market
The news may have a misleading impact on the price of fund units or cause large fluctuations, and may damage the
If the rights and interests of gold share holders are known, the relevant information disclosure obligor shall immediately disclose the information
Clarify and immediately report the relevant information to the CSRC.
（9） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund share holders shall be reported to the CSRC for record and made public
Notice.
（10） Information disclosure of asset-backed securities
When the Fund invests in asset-backed securities, the Fund Manager shall include
Disclose the total amount of asset-backed securities held, the proportion of the market value of asset-backed securities in the net assets of the fund and the report
Details of all asset-backed securities during the period. The Fund Manager shall disclose in the quarterly report of the Fund
The total amount of asset-backed securities, the proportion of the market value of asset-backed securities in the net assets of the fund and the market value at the end of the reporting period
Details of the top 10 asset-backed securities ranking in the proportion of the fund's net assets.
（11） Information disclosure of fund investment in stock index futures
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
(Update) and other documents disclose the trading of stock index futures, including investment policies, positions, profits and losses
And risk indicators, and fully reveal the impact of stock index futures trading on the overall risk of the fund and whether it is consistent
In line with the established investment policies and investment objectives.
（12） Information disclosure of investment in treasury bond futures
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
(updated) and other documents, including investment policies, positions, profits and losses
And risk indicators, and fully reveal the impact of treasury bond futures trading on the overall risk of the fund and whether it is consistent
In line with the established investment policies and investment objectives.
（13） Information disclosure of fund investment stock options
The fund manager shall disclose the relevant information about participating in stock option trading in the regular information disclosure documents
Status, including investment policies, positions, profits and losses, risk indicators, valuation methods, etc
Indicate the impact of stock option trading on the overall risk of the fund and whether it conforms to the established investment policies and objectives
Bid.
（14） Information disclosure of the Fund's investment in Hong Kong stocks
The Fund Manager shall make regular reports on the annual report, interim report and quarterly report of the Fund
And the prospectus (update) and other documents to disclose the Fund's participation in Hong Kong Stock Connect transactions.
（15） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to review the fund assets in accordance with the law
Conduct liquidation and make liquidation report. 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 prescribed newspapers and periodicals.
（16） 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 and regulations
Information disclosure shall be conducted in accordance with the provisions of the Prospectus. See the provisions of the Prospectus for details.
（17） 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 and designate special departments
And senior managers are responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund letter of the CSRC
Information disclosure content and format standards and other regulations.
The Fund Custodian shall, in accordance with the relevant laws and regulations, the provisions of the CSRC and the Fund Contract
Agree on the net value of fund assets, net value of various fund units and subscription of fund units prepared by the fund manager
Redemption price, regular fund report, updated prospectus, summary of fund product information, fund liquidation
The report and other publicly disclosed relevant fund information shall be reviewed and reviewed, and written or
Electronic confirmation.
The Fund Manager and the Fund Custodian shall choose one of the required newspapers to disclose this Fund Letter
Interest. The Fund Manager and the Fund Custodian shall submit the proposed disclosure to the electronic disclosure website of the CSRC
And ensure the authenticity, accuracy, integrity and timeliness of relevant information submitted.
The Fund Manager and the Fund Custodian may, in addition to disclosing information on the prescribed media according to law
Information shall be disclosed 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 should be consistent.
Issuing audit reports and legal opinions for the fund information publicly disclosed by the fund information disclosure obligor
Professional institutions shall prepare working papers and keep relevant files at least after the termination of the Fund Contract
10 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 relevant laws
The laws and regulations stipulate that the information shall be kept in their respective residences for the public to consult and copy.
8、 Suspension or delay of disclosure of fund related information
1. Force majeure;
2. The securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
3. Laws and regulations, fund contract or the situation stipulated by the CSRC.
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
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree to make changes and make public announcements, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
The resolution shall be announced in the specified media within two days after it takes effect.
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: 30 working days from the date of termination of the Fund Contract
The Fund Manager shall organize the Fund Assets Liquidation Group and report to the CSRC
Fund liquidation shall be conducted under the supervision of.
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, lawyers in line with the Securities Law of the People's Republic of China, and China Securities Regulatory Commission
The personnel composition will be specified. 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 and clearing of the Fund assets
Management, 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 is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
4、 Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
5、 Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
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 has been approved in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the law firm shall issue a legal opinion
Later, it will be reported to the CSRC for filing and announcement. The fund assets liquidation announcement shall be submitted to the China Securities Regulatory Commission in the fund assets liquidation report
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the Regulatory Commission records, and the Fund Assets Liquidation Group shall
When the liquidation report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper
On.
7、 Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian not less than
Low deadlines.
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
And other laws and regulations or the Fund Contract
If damage is caused, they shall be liable for compensation for their respective acts according to law; Fund property due to joint action
Or fund share holders who cause damage shall bear joint and several liability for compensation, and only
Limited to direct losses. However, the party concerned shall be exempted from liability under the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall, in accordance with the then effective laws and regulations or the CSRC's
Losses caused by specified actions or omissions;
3. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss caused, etc.
2、 To protect fund share holders to the greatest extent in case of one or more parties' default
Under the premise of interests, if the Fund Contract can continue to be performed, it shall continue to be performed. Non defaulting party
It is obligated to take necessary measures in a timely manner within the scope of responsibilities to prevent the expansion of losses. Failure to take appropriate measures
If the losses are further expanded as a result of such actions, no claim may be made for compensation for the expanded losses. The non defaulting party prevents losses due to
The reasonable expenses incurred due to expansion shall be borne by the defaulting party.
3、 Business errors due to factors beyond the control of the Fund Manager and the Fund Custodian
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection
Failing to find the error, resulting in the loss of fund property or investors, the Fund Manager and the Fund Custodian
Exemption from liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or reduce
Lighten the impact.
Part XXI Dispute Settlement and Applicable Law
The parties agree that all matters arising from or related to the Fund Contract
For disputes, the parties to the fund contract shall try their best to resolve them through consultation and mediation. Not willing or unable to pass the agreement
If the dispute is settled through negotiation or mediation, either party has the right to submit the dispute to China International Economic and Trade Arbitration Commission,
The arbitration shall be conducted in accordance with the then effective arbitration rules of the China International Economic and Trade Arbitration Commission. The place of arbitration is
Beijing. The arbitral award is final and binding on all parties, unless otherwise specified in the arbitral award
The arbitration fee shall be borne by the losing party.
During the dispute settlement period, both parties shall strictly abide by the responsibilities of the Fund Manager and the Fund Custodian
Continue to faithfully, diligently and responsibly perform the obligations specified in the Fund Agreement and the Custody Agreement, and maintain the holding of Fund units
The legitimate rights and interests of others.
The Fund Contract shall be governed by the laws of China.
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 is stamped with the official seal of the Fund Manager and the Fund Custodian (or for contract purposes only)
Seal) and the signatures (or seals) of the legal representatives or authorized representatives of both parties and the fund management
The manager shall go through the fund filing procedures with the CSRC and take effect after the CSRC's written confirmation.
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.
Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall comply with relevant laws and regulations
Negotiate.
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 the person violates the Fund Contract and relevant national laws and regulations, it shall be reported to the CSRC and other regulatory departments
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) Refuse or suspend acceptance of subscription, redemption and conversion within the scope agreed in the Fund Contract
apply;
(12) Exercising shareholders' rights against the invested company for the benefit of the fund in accordance with laws and regulations
Interests Exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager or
To commit other legal acts;
(15) Selection and replacement of law firms, accounting firms, securities, futures brokers or others
External institutions providing services to the Fund;
(16) Formulate and adjust relevant fund subscription and application on the premise of compliance with relevant laws and regulations
Business rules such as purchase, redemption, conversion, fixed investment, custody transfer and non transaction transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
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 mutually independent
Separate 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
Interest, determining 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;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant regulations
Disclosure and reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. Except Fund
Unless otherwise specified in the Law, the Fund Contract and other relevant provisions, the fund information shall be
Keep confidential and not disclose to others;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and timely hold
Someone distributes the fund income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(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 Custodian and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Keep accounting books, statements, records and others of fund property management business activities as required
Relevant data over 15 years;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
And ensure that investors can check the information about the fund at any time according to the time and method specified in the Fund Contract
Relevant public 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, clearing and evaluation of fund assets
Price, realization and distribution;
(19) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
In the case of legal rights and interests, it shall bear the liability for compensation, and its liability for compensation shall not be exempted by its 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
The interests of the holders shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the third party
Responsibility for the conduct of fund affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise litigation rights or implement
Other legal acts;
(24) If the Fund Manager fails to meet the filing conditions of the Fund during the raising period, the Fund Contract shall not
It can take effect. The fund manager shall bear all the raising costs and add the raised funds to the bank demand deposits for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（2） 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
And national laws and regulations, causing significant losses to the fund property and the interests of other parties
Shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) According to relevant market rules, open capital account, securities account and other investment accounts for the fund
To handle the clearing of securities and futures 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,
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
The fund assets of are mutually independent; Set up separate accounts for different funds under custody, conduct independent accounting and separate accounts
Management to ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property seeks benefits for itself and any third party, and may not entrust a third party to trust the fund property;
(5) Custody of major contracts and certificates related to the Fund signed by the Fund Manager on behalf of the Fund
Syndrome;
(6) The fund account, securities account and other accounts required for investment of the fund property shall be opened in accordance with the provisions
As agreed in the Fund Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager
Should;
(7) In addition to the Fund Law, the Fund Contract and other relevant provisions
Unless otherwise specified, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
(10) To give opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund,
Explain whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract;
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state that the Fund Custodian is
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities no less than
The minimum period stipulated by laws and regulations;
(12) Receive and keep fund shares from the fund manager or its entrusted registration institution as required
Register of holders;
(13) Prepare relevant account books as required and check with the fund manager;
(14) Pay fund income to fund share holders in accordance with the instructions of the fund manager or relevant regulations
And redemption payments;
(15) In accordance with the Fund Law, the Fund Contract and other relevant provisions, call for the holding of fund units
The general meeting is held or the general meeting of fund unit holders is convened in accordance with the law in cooperation with the fund manager and fund unit holders;
(16) Supervise fund management in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Human investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and realization of fund assets
And distribution;
(18) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
Will work with the bank regulator and notify the fund manager;
(19) In case of fund property loss due to violation of the Fund Contract and the Custody Agreement
The liability for compensation shall not be exempted by his retirement;
(20) Supervise the Fund Manager to perform his/her own duties in accordance with laws, regulations and the Fund Contract
Obligation. The Fund Manager shall hold
The fund manager is required to recover the interests of others;
(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
Yes, the fund investor will become the holder of the fund unit when he/she obtains the fund unit in accordance with the Fund Contract
And the parties to the Fund Contract until they no longer hold the Fund units of the Fund. Fund share holding
As a party to the Fund Contract, it is not necessary to sign or seal the Fund Contract in writing
Pieces.
Each fund unit of the same category 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) Convene a general meeting of fund unit holders or a general meeting of fund unit holders as required
meeting;
(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) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized by the fund unit holders
Representatives have the right to attend and vote on behalf of fund share holders. Each base held by fund share holders
Gold shares have equal voting rights. If the future laws and regulations provide otherwise for the general meeting of fund share holders
The laws and regulations in effect at that time 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
For operational needs, the general meeting of fund share holders can add daily institutions, and the establishment and operation of daily institutions should
It shall be conducted in accordance with relevant laws and regulations and the provisions of the CSRC.
（1） Reason for convening
1. Unless otherwise stipulated by laws and regulations, CSRC or the Fund Contract
Or if it is necessary to decide on one of the following matters, a general meeting of fund unit holders shall be convened:
(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 or increase the sales service fees;
(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 based on the fund units on the day when the Fund Manager receives the proposal, the same below) on the same matter
Request in writing to convene 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 funds shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters relating to the general meeting of holders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the sales service fee rate or change the charging method, lower
Redemption rate;
(3) Increase, decrease or adjust the categories or classification rules of fund units;
(4) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(5) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(6) The Fund launches new businesses or services;
(7) Fund manager, registration institution and fund sales institution adjust relevant subscription, redemption, conversion
Fund transaction, non transaction transfer, custody transfer and other business rules;
(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 and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall write on the same matter
To request the convening of a general meeting of fund share holders, a written proposal shall be submitted to the fund manager. Fund manager
It shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the proposed fund in writing
Unit holders' representatives and fund custodians. If the fund manager decides to convene the meeting, it shall issue a written decision by itself
Held within 60 days from the date of; The Fund Manager decides not to convene, representing more than 10% of the Fund shares (including
10%) of the Fund Unitholders who still think it necessary to hold the meeting shall submit a written request to the Fund Custodian
Discussion. The Fund Custodian shall decide whether to convene the meeting or not within 10 days from the date of receipt of the written proposal and notify it in writing
Representatives of the Fund Unitholders and the Fund Manager who put forward the proposal; If the Fund Custodian decides to convene the meeting, it shall
The Fund Manager shall, within 60 days from the date of issuing the written decision, convene and notify the Fund Manager, who shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of fund shares require the same matter
If a general meeting of fund unit holders is held but neither the fund manager nor the fund custodian convenes it, either alone or jointly
Fund share holders representing more than 10% (including 10%) of the Fund shares have the right to convene on their own, and at least
Report to the CSRC for filing 30 days in advance. Fund unit holders convene fund unit holders by themselves according to law
If yes, the Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. 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
Contact information and contact person, deadline for sending and receiving written voting opinions.
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 management in writing separately
People go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall
The Fund Manager and the Fund Custodian shall be notified in writing to go to the designated place to supervise the counting of votes
Du. If the Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes of written votes,
It shall not affect the counting effect of voting opinions.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
The convener of the meeting shall determine other methods allowed by the administrative authority.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
Representatives shall attend the on-site meeting. The authorized representatives of the Fund Manager and the Fund Custodian shall attend the fund units as nonvoting delegates
The voting effect shall not be affected if the Fund Manager or the Fund Custodian does not send representatives to attend the shareholders' meeting. present
The agenda of the general meeting of Fund Unitholders can be held when the following conditions are met at the same time:
(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
The provisions of the Contract and the notice of the meeting, and the vouchers for holding fund shares and the registration held by the fund manager
Data consistency;
(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 those of the Fund on the equity registration date
One half of the total fund units, the convener may hold the meeting of fund unit holders at the time originally announced
The general meeting of fund unit holders shall be reconvened three months later and six months later on the matters originally scheduled for consideration.
The valid fund units represented by the attendees of the reconvened fund unit holders' meeting on the equity registration date shall
Not 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 means specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting.
The communication meeting shall vote in writing or in other ways specified in the announcement of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of written votes. The convener of the meeting
Supervision of the Fund Custodian (or the Fund Manager if the Fund Custodian is the convener) and the notary organ
The written voting opinions of fund share holders shall be collected in the manner specified in the notice of the meeting; Fund Custodian
Or if the fund manager is notified not to participate in the collection of written voting opinions, the voting effect shall not be affected;
(3) Fund units that directly issue voting opinions or authorize others to issue voting opinions
The fund units held by the holder shall not be less than half (including half) of the total fund units on the equity registration date
One); If I directly give a vote or authorize others to give a vote on behalf of the fund unit holding
If the fund units held by the convener are less than half of the total fund units on the equity registration date, the convener may
The original decision shall be made within 3 months and 6 months after the time of the fund unit holders' meeting originally announced
The general meeting of fund unit holders shall be reconvened on the agenda. The reconvened general meeting of fund unit holders shall include
Directly issue voting opinions or authorization on behalf of the holders of more than one-third (including one-third) of the fund shares
Voting opinions issued by other representatives;
(4) Fund share holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinions, the certificate of holding the fund units submitted at the same time, and the resolution of the trustee to issue the statement
See the certificate of fund shares held by the principal and the proxy voting authorization certificate of the principal issued by the agent
It clearly complies with the provisions of laws and regulations, the Fund Contract and the notice of the meeting, and is consistent with the records of the fund registration authority
Symbol.
3. The Fund Unitholders of the Fund may also adopt
Authorize its agent to attend the general meeting of fund share holders by other means, which may be in writing
Network, telephone, SMS or other means, the specific means shall be determined by the convener and listed in the meeting notice
Ming; In terms of the way of holding the meeting, the Fund can also use other off-site ways or on-site ways to communicate with non
The general meeting of fund share holders shall be held in a combination of on-site methods, and the procedures of the meeting shall be in accordance with the on-site meeting
The procedures for holding meetings by means of information. Fund share holders may use written, internet, telephone, SMS or
Voting in other ways shall be determined by the convener of the meeting and specified in the notice of the meeting.
（5） Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings are major matters that affect the interests of fund share holders, such as the major issues of the Fund Contract
Modify, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and
Financial merger, other matters specified in laws and regulations and the Fund Contract, and matters deemed necessary by the convener of the meeting
Other matters discussed at the general meeting of fund share holders.
Modification of the original proposal after the convener of the general meeting of fund unit holders sends the notice of convening the meeting
It shall be announced in time before the general meeting of fund unit 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 the
The scrutineers shall be determined and announced, and then the presider of the meeting shall read out the proposal, vote after discussion, and form
Meeting resolution. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
If the Fund Custodian fails to preside over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the base
If neither the authorized representative of the Fund Manager nor the authorized representative of the Fund Custodian can preside over the meeting
More than half (including half) of the voting rights held by gold share holders and agents shall be elected
The Fund Unitholders shall be the chairperson of the general meeting of the Fund Unitholders. Fund Manager and Fund
The custodian's refusal to attend or preside over the general meeting of fund unit holders shall not affect the decision of the general meeting of fund unit holders
The validity of the resolution.
The convener of the meeting shall prepare the signature book of the attendees. The signature book indicates the surname of the participants
Name (or unit name), ID document number, fund shares held or represented with voting rights
Name (or unit name) and contact information of the trustor.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the certification authority.
（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 half (including half) of the voting rights are valid only after passing; Except for the requirements specified in item 2 below
Matters other than those passed by special resolution 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
Change the Fund Manager or Fund Custodian, terminate the Fund Contract, and merge the Fund with other funds
The special 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 in the counting of votes
Investors who submit the voting documents confirming the identity of investors as specified in the notice of the meeting shall be deemed to be effectively present,
Written voting opinions that appear to conform to the provisions of the notice of meeting shall be regarded as valid voting, and the voting opinions are ambiguous or inconsistent
Contradictory cases shall be deemed as abstention from voting, but shall be included in the amount of
The total number of fund units.
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 meeting is held by
Although the Fund Unitholders themselves or the general meeting is convened by the Fund Manager or the Fund Custodian
If the Fund Manager or Fund Custodian fails to attend the meeting, the chairperson of the Fund Unitholders' meeting shall be present
At the beginning of the meeting, it was announced that three representatives of fund share holders would be elected from among the fund share holders present at the meeting
Serve as scrutinizer. 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 enter
The line shall be re counted only once. After the re counting, the presider of the conference shall announce the re counting on the spot
New counting 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 meeting are based
Supervision of the authorized representative of the Fund Custodian (or the authorized representative of the Fund Manager if convened by the Fund Custodian)
And the notary office shall notarize the counting process. Fund Manager or Fund Custodian
Refusal to send representatives to supervise the counting of votes of written votes 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
It will be filed.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the specified media within 2 days from the effective date. If mining
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the notarial certificate must be completed
The document, the name of the notary office and the notary public will be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective holding of fund units
Resolution of the General Meeting of the People. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders and funds
The Manager and the Fund Custodian are both binding.
（9） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund shares or voting rights refers to the holding of main pocket shares
The fund shares or voting rights held or represented by the person and the side pocket unit holder respectively meet these proportions, but if
If the matters to be convened and deliberated at the relevant fund unit holders' meeting do not involve the side pocket account, it only refers to the main pocket units
The fund shares or voting rights held or represented by the holders meet such 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 two) of the relevant fund units on the equity registration date
1/1);
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 previously announced by the convener
Fund units reconvened within 6 months and 3 months after the date of the meeting on the matters originally scheduled for consideration
The general meeting of shareholders shall have participants representing more than one-third (including one-third) of the relevant fund units
And or authorize others to participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to two percent 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.
（10） This part deals with the reasons, conditions and procedures for convening the general meeting of fund share holders
The voting conditions and other provisions, which directly refer to the laws and regulations, such as the revision of laws and regulations in the future
If the relevant content is cancelled or changed, or new general meeting mechanism is added to laws and regulations, the Fund Manager shall propose
After the previous announcement, the contents of this part can be directly modified, adjusted or supplemented without holding fund share holders
It was deliberated by the General Assembly.
3、 Principle of fund income distribution
1. On the premise of meeting the conditions for fund dividends, the fund manager may, according to the actual situation
The specific distribution plan shall be subject to the announcement. If the Fund Contract takes effect less than 3 months ago, it may not
Income distribution;
2. The income distribution method of the Fund is: cash dividends;
3. After the distribution of fund income, the net value of fund units cannot be lower than the par value, that is, the base date of fund income distribution
The net value of the fund units less the amount of income distribution per unit fund unit cannot be lower than the par value;
4. Each fund unit of the same category of the Fund has the same right of distribution;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In compliance with laws and regulations and the fund contract, and without material adverse effect on the interests of fund share holders
The Fund Manager may adjust the fund income distribution principle and payment method without calling
Hold a general meeting of fund unit holders.
4、 Withdrawal, payment method and proportion of expenses related to fund property management and operation
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. The sales service fee withdrawn from the fund property of the Fund's Class C fund units;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
Fees;
6. Expenses for the general meeting of fund share holders;
7. Securities, futures and other transaction costs of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. Various expenses arising from the investment in Hong Kong stocks;
11. In accordance with the relevant provisions of the State and the Fund Contract
His expenses.
（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 an annual fee rate of 0.80% of the net asset value of the Fund on the previous day. Calculation of management fee
The calculation method is as follows:
H ＝ E × 0.80% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
Fund management fees are accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
The financial data sent to will be automatically paid according to the designated account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses, the Fund Manager shall pay
If the data is found to be inconsistent, the Fund Custodian shall be contacted in a timely manner for settlement through consultation.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. Custody fee
The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
The financial data sent to will be automatically paid according to the designated account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses, the Fund Manager shall pay
If the data is found to be inconsistent, the Fund Custodian shall be contacted in a timely manner for settlement through consultation.
3. Sales service fee
There is no sales service fee for Class A fund units of the Fund, and annual sales service fee for Class C fund units
The rate is 0.50%. The calculation method is as follows:
H=E × 0.50% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The fund sales service fee is accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
For consistent financial data, it will automatically disburse according to the specified account path within 5 working days at the beginning of the next month
Pay. In case of legal holidays, rest days, etc., the payment date shall be postponed. Fund management after automatic expense deduction
The Fund Custodian shall check the data and timely contact the Fund Custodian for settlement if any discrepancy is found.
Items 4-11 of the above "(I) Types of fund expenses" shall be subject to relevant regulations and corresponding
According to the agreement, the actual amount of expenses shall be included in the current expenses, which shall be disbursed from the fund assets by the fund custodian
Pay.
（3） Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
（4） Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account,
However, 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 not
For the management fee, please refer to the prospectus.
（5） Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
Execution. The relevant taxes on the investment of fund assets shall be borne by the fund share holders, and the fund manager or its
His withholding agent shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
5、 Investment scope and investment restrictions of the Fund
（1） Investment scope
The investment scope of the Fund includes stocks (including the main board, SME board, GEM and other securities
Stocks allowed to invest), Hong Kong stocks, bonds (including national debt, financial bonds, corporate bonds, and companies
Bonds, local government bonds, subordinated bonds, convertible bonds, separately traded convertible bonds, exchangeable bonds, central bank
Notes, medium-term notes, short-term financing bonds (including ultra short-term financing bonds) and other investments permitted by the CSRC
), asset-backed securities, bond repurchase, stock index futures, treasury bond futures, stock options, banks
Deposits, inter-bank certificates of deposit, cash and other financial workers allowed by laws and regulations or the CSRC to invest funds
Yes (subject to the relevant provisions of the CSRC).
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform the following duties:
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment portfolio is: the Fund's stock investment accounts for 0-30% of the Fund's assets, and Hong Kong Stock Standard
The investment proportion of the stock is 0% - 50% of the stock assets. The proportion of the Fund's investment in interbank deposit receipts shall not exceed
20% of the fund assets, and the total proportion of investment in convertible bonds and exchangeable bonds does not exceed the fund assets
20%。 At the end of each trading day, deduct the payment of stock index futures, treasury bond futures and stock option contracts
Cash that remains no less than 5% of the net asset value of the fund or government bonds with a maturity of less than one year after margin trading
Coupon. Among them, cash does not include settlement provisions, deposits and subscription receivables.
If permitted by laws and regulations or the CSRC, the fund manager may make adjustments after performing appropriate procedures
The investment proportion of the above investment varieties.
（2） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The share investment of the Fund accounts for 0-30% of the Fund's assets, and the investment proportion of Hong Kong stocks is
0% - 50% of equity assets, and the proportion of the Fund's investment in inter-bank deposit receipts shall not exceed 20% of the Fund's assets
The total proportion of convertible bonds and exchangeable bonds shall not exceed 20% of the fund assets;
(2) At the end of each trading day, deduct the amount of stock index futures, treasury bond futures and stock option contracts that need to be paid
After the transaction margin, the amount of cash kept not less than 5% of the net asset value of the fund or the maturity date is within one year
Government bonds, the aforesaid cash does not include settlement provisions, deposits, subscription receivables, etc;
(3) The Fund holds securities issued by a company (the same company is listed in both the Mainland and Hong Kong
A+H shares), 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 (the same company
A+H shares listed in both the mainland and Hong Kong), no more than 10% of the securities
The fund varieties that invest in securities according to the composition proportion of the relevant index may not be subject to the proportion limit specified in this article
System;
(5) All open-ended funds managed by the Fund Manager (including open-ended funds and open funds
The holding of tradable shares issued by a listed company shall not exceed that of the listed company
15% of the company's tradable shares;
(6) Negotiable issued by a listed company held by all investment portfolios managed by the Fund Manager
Shares shall not exceed 30% of the tradable shares of the listed company;
(7) 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;
(8) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(9) 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;
(10) All funds managed by the Fund Manager invest in various assets of the same original equity holder
Holding securities shall not exceed 10% of the total size of its various asset-backed securities;
(11) The Fund shall invest in asset support certificates with a credit rating of BBB or above (including BBB)
Coupon. During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards,
All of them shall be sold within 3 months from the date of rating report release;
(12) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the amount of
Total assets, the number of shares declared by the Fund shall not exceed the total number of shares issued this time by the company to be issued
Quantity;
(13) 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 the fund, and the maximum term of bond repo in the national inter-bank market is 1
The bond repurchase period shall not be extended after maturity;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the Fund's assets
15% of the net value, due to fund management such as fluctuations in the securities market, stock suspension of listed companies, and changes in fund size
If the fund does not meet the limit of this proportion due to factors other than human factors, the fund manager shall not actively increase liquidity
Investment in restricted assets;
(15) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(16) The Fund deals with private securities asset management products and other entities recognized by the CSRC
If the counterparty carries out reverse repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment
The scope of capital is consistent;
(17) The Fund shall comply with the following requirements when participating in the trading of stock index futures and treasury bond futures:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of net asset value; The contract price of treasury bond futures held by the Fund at the end of any trading day
Value, which shall not exceed 15% of the net asset value of the fund;
2) At the end of any trading day, the value of the purchased stock index futures and treasury bond futures contracts held by the Fund
The sum of market values of securities shall not exceed 95% of the net asset value of the fund; Among them, marketable securities refer to stocks
Bonds (excluding government bonds with a maturity of less than one year), asset-backed securities, redemptory financial assets for sale
Property (excluding pledge repurchase), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed that of the Base
20% of the total market value of shares held by Jin; The selling treasury bond futures held by the Fund at the end of any trading day
The contract value shall not exceed 30% of the total market value of bonds held by the fund;
4) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold, total (netting
Calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment; Bonds held by the Fund
(excluding government bonds with a maturity date of less than one year) market value and the value of treasury bond futures contracts purchased and sold,
The total amount (netting calculation) shall comply with the relevant provisions of the fund contract on the proportion of bond investment;
5) The transaction amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 20% of the net asset value of the Fund on the previous trading day; The Fund trades on any trading day (excluding
The transaction amount of the treasury bond futures contract (including closing position) shall not exceed the net asset value of the fund on the previous trading day
30%；
(18) The Fund's participation in stock option trading shall comply with the following investment proportion restrictions:
1) The total amount of premium paid and received by the Fund due to open position option contracts shall not exceed the fund assets
10% of net worth;
2) Where the Fund opens positions to sell call options, it shall hold sufficient underlying securities; Open put option
Should hold the full amount of cash required for the exercise of the contract or the offsetting option margin recognized by the rules of the Exchange
Cash equivalents;
3) The par value of the option contracts with open positions of the Fund shall not exceed 20% of the net asset value of the Fund. Among them,
The nominal value of the contract is calculated by multiplying the exercise price by the contract multiplier;
(19) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Except for items (2), (11), (14) and (16) above, due to fluctuations in securities and futures markets
Factors other than the fund manager, such as the merger of the securities issuer and the change of the fund size, result in the non investment proportion of the fund
If the investment proportion meets the above provisions, the fund manager shall make adjustment within 10 trading days, but China
Except for special circumstances stipulated by the CSRC.
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 conform to
Agreement of the mutual fund contract. The Fund Custodian's supervision and inspection of the Fund's investment has taken effect since the Fund Agreement came into force
Starting from.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
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
Active:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Make capital contributions to its fund manager and fund custodian;
(5) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by an international controller or a company with other significant interests with it or underwritten during the underwriting period
Securities or other major related party transactions shall conform to the investment objectives and strategies of the Fund,
Follow the principle of giving priority to the interests of fund share holders, prevent conflicts of interest, and establish and improve the internal approval mechanism
And the evaluation mechanism, in accordance with fair and reasonable prices in the market. Relevant transactions must be obtained from the fund custodian in advance
And disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review
And passed by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related transactions.
Laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Base
After the Fund Manager performs the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or after the change
Implementation of the provisions of.
6、 Calculation and announcement method of fund net asset value
（1） Total Fund Assets
The total value of fund assets refers to the value of various securities and bills purchased, the principal and interest of bank deposits and fund receivables
The total value of the fund subscription funds 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） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager
The net value of various fund units and the cumulative net value of fund units shall be disclosed at least once a week on the prescribed website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of the day, disclose all kinds of open day information through the specified website, fund sales agency website or business outlets
Net value of fund units and cumulative net value of fund units.
The Fund Manager shall disclose on the prescribed website no later than the next day after the last day of the half year and the year
Net value of various fund units and accumulated net value of fund units in the half 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
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree to make changes and make public announcements, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
The resolution shall be announced in the specified media within two days after it takes effect.
（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: 30 working days from the date of termination of the Fund Contract
The Fund Manager shall organize the Fund Assets Liquidation Group and report to the CSRC
Fund liquidation shall be conducted under the supervision of.
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, lawyers in line with the Securities Law of the People's Republic of China, and China Securities Regulatory Commission
The personnel composition will be specified. 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 and clearing of the Fund assets
Management, 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 is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
（5） Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
（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 has been approved in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the law firm shall issue a legal opinion
Later, it will be reported to the CSRC for filing and announcement. The fund assets liquidation announcement shall be submitted to the China Securities Regulatory Commission in the fund assets liquidation report
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the Regulatory Commission records, and the Fund Assets Liquidation Group shall
When the liquidation report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper
On.
（7） Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian not less than
Low deadlines.
8、 Dispute resolution
The parties agree that all matters arising from or related to the Fund Contract
For disputes, the parties to the fund contract shall try their best to resolve them through consultation and mediation. Not willing or unable to pass the agreement
If the dispute is settled through negotiation or mediation, either party has the right to submit the dispute to China International Economic and Trade Arbitration Commission,
The arbitration shall be conducted in accordance with the then effective arbitration rules of the China International Economic and Trade Arbitration Commission. The place of arbitration is
Beijing. The arbitral award is final and binding on all parties, unless otherwise specified in the arbitral award
The arbitration fee shall be borne by the losing party.
During the dispute settlement period, both parties shall strictly abide by the responsibilities of the Fund Manager and the Fund Custodian
Continue to faithfully, diligently and responsibly perform the obligations specified in the Fund Agreement and the Custody Agreement, and maintain the holding of Fund units
The legitimate rights and interests of others.
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 use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.