Important tips
1. The raising of Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF) (hereinafter referred to as the "Fund") has been registered by the China Securities Regulatory Commission (hereinafter referred to as the "CSRC") in ZJXK [2020] No. 286, On December 10, 2020, it obtained the Reply on the Extension of Raising Filing of Funds (FOF) in Huatai Baoxing's Robust Allocation of Three month Holding Period Hybrid Funds (QDH [2020] No. 3324) from the Securities and Fund Institution Supervision Department of the CSRC. The registration of the Fund raised by the CSRC does not mean that the CSRC makes substantive judgments, recommendations or guarantees on the risks and benefits of the Fund.
2. The Fund is a contractual open-ended hybrid securities investment fund. The Fund sets a minimum holding period of three months for each fund unit, that is, from the effective date of the fund contract or the confirmation date of the subscription of fund units to the month to day three months after that date, investors cannot apply for redemption; Three months after that day, investors can apply for redemption. If there is no corresponding date in this month, it will be postponed to the next day.
3. The manager of the Fund is Huatai Baoxing Fund Management Co., Ltd. (hereinafter referred to as "the Company"), the custodian is Industrial and Commercial Bank of China Limited (hereinafter referred to as "ICBC"), and the registration authority is Huatai Baoxing Fund Management Co., Ltd.
4. The Fund will be publicly offered through sales institutions from June 9, 2021 to September 8, 2021 (see the relevant business announcements of each sales institution or call the customer service telephone for specific business processing time). The raising period of the Fund shall not exceed 3 months, which shall be calculated from the date of the sale of the Fund units. The Company may also appropriately extend or shorten the time of fund sale within the raising period according to the fund sale situation, and make an announcement in a timely manner.
5. The raising objects of the Fund are individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds (hereinafter collectively referred to as "investors").
6. Investors may subscribe for the Fund through the direct selling institutions of the Fund Manager and other sales institutions (hereinafter or referred to as "other sales institutions") other than the Fund Manager. Unless otherwise specified in this announcement, sales organizations refer to direct sales organizations and other sales organizations. For the detailed list of sales agencies, see the "(III) Sales Agencies" section under "IX Parties or Intermediaries of the Offering" of this announcement.
During the fund raising period, the fund units are publicly sold to investors through various sales institutions. Unless otherwise stipulated by laws and regulations or the CSRC, any party concerned with the sale of fund units shall not reserve and sell fund units in advance.
7. The Fund Manager does not set a ceiling on the size of fund raising during the fund raising period.
8. Investors shall first open a fund account when subscribing to the Fund.
9. Subscription limit: the minimum amount of an initial subscription application accepted by the direct selling counter is 100000 yuan, and the minimum amount of an additional subscription is 10000 yuan; Investors who have subscribed or subscribed to other funds managed by the Fund Manager on the direct sales counter are not subject to the minimum amount of initial subscription. The minimum amount of a single subscription by a direct selling institution of the Fund may be adjusted by the Fund Manager at its discretion. The minimum amount and business rules for other sales agencies to accept subscription applications shall be subject to the provisions of other sales agencies.
10. The acceptance of the application by the sales agency does not mean the successful confirmation of the application, but only means that the sales agency has actually received the subscription application. The successful confirmation of the application shall be subject to the confirmation and registration of the registration authority after the fund contract takes effect. Once the application for subscription is accepted by the sales agency, it is irrevocable. Investors shall timely inquire about the subscription application and the confirmation of subscription shares. The investor may print the subscription transaction confirmation voucher at the original subscription outlet after the fund contract takes effect. The Fund Manager will provide investors with electronic statements. Customers who need to subscribe or cancel can contact the Fund Manager's Customer Service Center (400-632-9090, toll free).
11. For details of the sales outlets and account opening subscription of the sales agencies, please consult the sales agencies.
12. Due to the system and business arrangement of each fund sales agency, the specific business handling time on working days may be different, and investors should refer to the specific provisions of each fund sales agency.
13. Investors in regions without sales outlets can call the company's customer service hotline 400-632-9090 (toll free) to inquire about fund subscription.
14. This announcement only explains the relevant matters and regulations on the sale of fund units of the Fund. Investors can read Huatai Baoxing's Cautionary Announcement on Fund Contracts and Prospectus of Three month Holding Period Hybrid Fund (FOF) and this announcement published in China Securities Journal.
15. If investors want to know the details of the Fund, please read it carefully and publish it on the fund electronic disclosure website of China Securities Regulatory Commission（ http://eid.csrc.gov.cn/fund ）And "Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF) Fund Contract", "Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF) Prospectus", "Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF) Custody Agreement" on our website (www.ehuataifund.com) Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF) Fund Product Information Summary and this announcement. Investors can also learn about the issues related to the sale of the Fund through the Company's website.
16. The Company may make appropriate adjustments to the raising arrangements in light of various circumstances.
17. Risk warning
The securities investment fund (hereinafter referred to as "the fund") is a long-term investment tool, whose main function is to diversify investment and reduce the individual risks brought by investing in a single security. Different from bank deposits and bonds and other financial instruments that can provide fixed income expectations, investors who buy funds may share the income generated by fund investment according to their shares, and may also bear the losses caused by fund investment.
There are different types of funds, such as stock funds, hybrid funds, bond funds, and money market funds. Investors who invest in different types of funds will obtain different income expectations and bear different degrees of risk. Generally speaking, the higher the expected return of a fund, the greater the risk that investors will bear.
The Fund is a hybrid fund, whose risk and expected return are lower than those of equity funds and higher than those of bond funds and money market funds.
Investors should fully understand the difference between the regular and fixed investment of the fund and the fractional deposit and withdrawal. Fixed investment is a simple and easy way to guide investors to make long-term investment and average investment cost. However, regular and quota investment can not avoid the inherent risks of fund investment, nor can it guarantee that investors can obtain income, nor is it an equivalent financing method to replace savings.
The changes in the net value of fund units caused by such actions as splitting, sealing and opening, and dividend distribution will not change the risk return characteristics of the fund, reduce the investment risk of the fund, or increase the investment return of the fund. The fund raising with an initial face value of 1 yuan or the net value of fund units adjusted to or near the initial face value of 1 yuan due to splitting, sealing and opening, dividend distribution and other acts, under the influence of market fluctuations and other factors, the fund investment may still suffer losses or the net value of the fund may still be lower than the initial face value.
The Fund invests more than 80% of the Fund's assets in publicly offered funds approved or registered by the CSRC according to law, and the net value of the Fund will fluctuate due to the fluctuation of the net value of the invested fund units, the fluctuation of the securities market and other factors. Before investing in the Fund, investors need to fully understand the risk return characteristics and product characteristics of the Fund's products, fully consider their own risk tolerance, rationally judge the market, and make independent decisions on the willingness, timing, quantity and other investment behaviors of the Fund. The investor shall enjoy the income of the fund according to the shares held, but shall also bear the corresponding investment risks. The risks that may be encountered in investing in the Fund include: systematic risks arising from the impact of various factors such as economic factors, political factors, investment psychology and trading systems on the prices of securities held by the Fund and the invested funds, and unique non systematic risks of individual securities held by the Fund and the invested funds; Fund management risks, operational or technical risks arising from the implementation of fund management by the fund manager; The liquidity risk caused by the fund investors' continuous large redemption of the fund and the unique risk of the fund.
The Fund invests in asset-backed securities. Asset backed securities refer to credit asset-backed securities and enterprise asset-backed securities that are traded in the national inter-bank bond market or stock exchange and comply with relevant regulations. Asset backed securities are in the initial stage of development in the domestic market, which may be characterized by low liquidity and high profitability, and there are certain investment risks, including credit risk, interest rate risk, liquidity risk, prepayment risk, operational risk and legal risk.
Investors should carefully read the fund contract, prospectus, fund product information summary and other fund legal documents, understand the risk return characteristics of the fund, and judge whether the fund is suitable for investors' risk tolerance according to their own investment purpose, investment period, investment experience, asset status, etc.
1、 Basic information of this offering
1. Fund name
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF)
2. Fund type
Hybrid securities investment fund
3. Operation mode
Contractual and open
4. Duration of the Fund
Irregular
5. Investment objectives
On the premise of strictly controlling risks and maintaining good liquidity of fund assets, the Fund will deeply explore and optimize funds to build investment portfolios and strive to obtain long-term stable excess returns for fund share holders.
6. Investment scope
The Fund invests in publicly offered funds (hereinafter referred to as "mutual funds") approved or registered by the CSRC in accordance with the law, domestic legally issued and listed stocks, bonds and other financial instruments, as well as other financial instruments permitted by the CSRC for fund investment. Specifically, it includes: public offering funds (including stock funds, hybrid funds, bond funds, money market funds, QDII funds, ETF funds, LOF funds, commodity futures funds and other publicly offered securities investment funds approved or registered by the CSRC), stocks (including small and medium-sized board, GEM and other stocks approved and listed by the CSRC) Bonds (including treasury bonds, financial bonds, central bank bills, corporate bonds, corporate bonds, medium-term notes, local government bonds, subordinated bonds, convertible bonds (including convertible bonds with separate transactions), exchangeable bonds, short-term financing bonds, etc.), bond repurchase, bank deposits (including agreed deposits, time deposits and other deposits), asset-backed securities, inter-bank deposit receipts, cash and other assets, And other financial instruments permitted by laws and regulations or the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
The Fund Manager may, after performing appropriate procedures, include other types of investment permitted by laws and regulations or the regulatory authority in the future into the investment scope, and may adjust the investment scope in a timely and reasonable manner in accordance with the then effective laws and regulations.
The proportion of the Fund's investment portfolio is: the proportion of the Fund's investment in publicly offered fund units approved or registered by the CSRC according to law is not less than 80% of the Fund's assets, and the proportion of investment in equity assets (including stocks, equity funds, hybrid funds) accounts for 0% - 50% of the Fund's assets; At the end of each trading day, cash or government bonds with a maturity date of less than one year shall not be less than 5% of the net asset value of the fund. Cash does not include settlement provisions, deposits, subscription receivables, etc.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties, the fund manager may adjust the investment proportion of the above investment varieties after performing appropriate procedures.
7. Selling face value of fund units
The selling face value of the Fund units is RMB 1.00.
8. Fund code and fund abbreviation
Fund code: 012514
Fund abbreviation: Huatai Baoxing Robust Allocation Three month Holding Hybrid (FOF)
9. Target
Individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
10. Sales organization
(1) Direct selling mechanism
The direct selling institution of the Fund is the fund manager, specifically including the fund manager's direct selling counter, online direct selling platform and WeChat trading platform.
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Contact: Wang Shanshan
Tel: (021) 80299058
Fax: (021) 60756969/(021) 60756966
Customer service hotline: 400-632-9090 (toll free), (021) 80210198
Online direct selling platform (website): www.ehuataifund.com
WeChat trading platform (WeChat official account): htbxjj99
(2) Other sales organizations
The Fund Manager may, in accordance with the requirements of relevant laws and regulations, select other institutions that meet the requirements to sell the Fund and make timely announcements.
11. Raising schedule and effectiveness of fund contract
According to the provisions of relevant laws and regulations, the raising period of the Fund shall not exceed 3 months from the date of sale of the Fund units. The raising period of the Fund is from June 9, 2021 to September 8, 2021, which is open to individual investors, institutional investors Qualified foreign institutional investors and RMB qualified foreign institutional investors, as well as other investors allowed by laws and regulations or the CSRC to purchase securities investment funds, are sold at the same time (see the relevant business announcements of each sales institution or call the customer service telephone for specific business processing time). The Fund Manager may appropriately extend or shorten the time of fund sale within the raising period according to the situation of fund sale, and make an announcement in a timely manner.
If the Fund meets the filing conditions of the Fund contract during the offering period, the Fund Manager shall employ a statutory capital verification institution to verify the capital within 10 days from the date of the end of the Fund offering, and submit a capital verification report to the CSRC within 10 days from the date of receiving the capital verification report to handle the fund filing procedures. The Fund Contract shall come into force upon the completion of the Fund filing procedures as of the date of the written confirmation of the CSRC.
If the raising period expires and the effective conditions for the raising are not met, the fund manager will bear the debts and expenses arising from the raising with its own property, return the subscription funds paid by the investors within 30 days after the expiration of the fund raising period, and add the interest of the current deposit of the bank for the same period.
12. Total amount and amount of minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million, and the amount raised by the Fund is not less than 200 million yuan.
13. Treatment of interest during the raising period
Prior to the effectiveness of the Fund Agreement, the effective subscription funds of investors can only be deposited into a special account and can not be used by anyone. The interest generated from the effective subscription funds during the raising period will be converted into fund units and owned by the fund unit holders.
The fund units converted from the subscription interest shall be accurate to 2 decimal places, and the part after 2 decimal places shall be truncated. The gains or losses arising from this error shall be borne by the fund property. The interest of effective subscription funds and the fund units converted from the interest shall be subject to the records of the registration authority.
14. Subscription price, subscription rate and calculation formula of subscription units of fund units
(1) Subscription price: The subscription price of the Fund units is 1.00 yuan/share.
(2) Subscription rate
During the raising period, investors may subscribe to the Fund for many times, and the subscription fee shall be calculated separately for each subscription application.
The subscription rate of the Fund is as follows:
Subscription rate
Subscription amount (including subscription fee) subscription rate
0.60% below 1 million yuan
0.40% from 1 million yuan (inclusive) to 3 million yuan
0.20% from 3 million yuan (inclusive) to 5 million yuan
1000 yuan/transaction above 5 million yuan (inclusive)
The Fund implements different subscription rates for pension clients who subscribe for fund shares through the fund manager's direct sales counter and other investors. Pension customers include basic pension funds, funds raised by legally established pension plans and supplementary pension funds formed by their investment and operation income, specifically including the national social security fund, local social security funds that can invest in funds, enterprise annuity single plans and collective plans, specific customer asset management plans entrusted by the enterprise annuity council Enterprise pension products, occupational pension plans, pension target funds, personal tax deferred commercial pension insurance and other products.
If a new type of pension fund approved by the pension fund supervision department appears in the future, the fund manager will also include it in the scope of pension customers and file it with the CSRC as required.
Pension customers who subscribe for fund shares of the Fund through the Fund Manager's direct sales counter enjoy a zero discount discount on the subscription rate (including the fixed subscription fee).
The subscription fees of the Fund shall be borne by the investors. The subscription fees are not included in the fund property, but are mainly used for various expenses incurred during the fund raising period such as marketing, sales and registration.
(3) Calculation of subscribed shares
Fund subscription shall be in the form of amount subscription. The subscription amount of the Fund includes the subscription fee and the net subscription amount. The calculation formula is:
Total subscription amount=total application amount;
Net subscription amount=total subscription amount/(1+subscription rate);
(Note: for subscription with fixed amount subscription fee, net subscription amount=total subscription amount - fixed subscription fee amount)
Subscription fee=total subscription amount - net subscription amount;
(Note: For subscription with fixed amount subscription fee, subscription fee=fixed amount of subscription fee)
Subscription unit=(net subscription amount+subscription interest)/initial face value of fund unit
The calculation result of subscription units shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off. The loss caused by the error shall be borne by the fund property, and the income generated shall be owned by the fund property.
Example 1: An investor (not a pension client) subscribes to the Fund for 100000 yuan, and the subscription application is fully confirmed, the corresponding subscription rate is 0.60%. It is assumed that the subscription amount will generate interest of 50.00 yuan. Then the subscribed shares are:
Total subscription amount=100000 yuan
Net subscription amount=100000/(1+0.60%)=98403.58 yuan
Subscription fee=100000 － 99403.58=596.42 yuan
Subscription shares=(99403.58+50)/1.00=99453.58
If the investor (non pension client) chooses to subscribe to the Fund and invests 100000 yuan of principal, assuming that the subscription amount generates interest of 50.00 yuan, 99453.58 fund shares can be obtained.
Example 2: A pension client subscribes RMB 100000 of the Fund through the fund manager's direct sales counter, and the subscription application is fully confirmed, and the corresponding subscription rate is 0.00%. It is assumed that the subscription amount will generate interest of 50.00 yuan. Then the subscribed shares are:
Total subscription amount=100000 yuan
Net subscription amount=100000/(1 ＋ 0.00%)=100000 yuan
Subscription fee=100000 － 100000=0.00 yuan
Subscription shares=(100000+50)/1.00=100050.00
If the pension client invests 100000 yuan to subscribe the fund through the fund manager's direct sales counter, assuming that the subscription amount generates interest of 50.00 yuan, 100050.00 fund shares can be obtained.
2、 Offering method and relevant regulations
1. During the raising period, the Fund will be offered to individual investors and institutional investors through fund managers and sales institutions at the same time.
2. Fund units shall be subscribed in amount.
3. The investor subscribes the fund units in the form of full payment. When the investor subscribes, he/she shall prepare the amount of subscription in the manner specified by the sales agency.
4. Investors may subscribe for fund units several times during the offering period, and once the application for subscription is accepted by the registration authority, it shall not be revoked.
5. The minimum amount of an initial subscription application accepted by the direct selling counter is 100000 yuan for a single subscription, and the minimum amount of an additional subscription is 10000 yuan for a single subscription; Investors who have subscribed or subscribed to other funds managed by the Fund Manager on the direct sales counter are not subject to the minimum amount of initial subscription. The minimum amount of a single subscription by a direct selling institution of the Fund may be adjusted by the Fund Manager at its discretion. The minimum amount and business rules for other sales agencies to accept subscription applications shall be subject to the provisions of other sales agencies.
6. During the fund raising period, there is no limit on the cumulative subscription scale of a single investor. However, if the cumulative number of fund units subscribed by a single investor of the Fund meets or exceeds the proportion requirements specified by laws, regulations or regulatory authorities, the Fund Manager may limit the subscription application of such investor by means of proportion confirmation. If the Fund Manager accepts a certain subscription application or some subscription applications that may lead investors to evade the proportion requirements of relevant regulations in a disguised form, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
3、 Account opening and subscription procedures for individual investors
（1） Direct selling mechanism
If the initial subscription amount of an individual investor is more than 100000 yuan (including 100000 yuan), he or she can choose to go to the direct marketing center of the company to subscribe.
(1) Business processing time: 9:00-17:00 every day during the fund raising period (not accepted on Saturdays, Sundays and statutory holidays).
(2) Individual investors can go to the direct sales outlets or send, fax and provide the following information to handle account opening and subscription applications:
1) Questionnaire on risk tolerance of individual investors;
2) Instructions to Investors of Securities Investment Funds;
3) The original of my valid ID card and the copies of the front and back;
4) The original and copy of the bank card/passbook with the same name (the copy of the bank card needs to be signed on the front and back, and the signature column on the back needs to be signed by myself);
5) Completed Account Business Application Form and Transaction Business Application Form;
6) Completed Fax Transaction Agreement (if necessary);
7) Individual Tax Resident Status Declaration Document;
8) If it is not handled in person, the original of the agent's identity certificate, the front and back copies and the power of attorney of the agent must also be provided;
9) Other materials required by the direct selling organization.
(3) Procedures for allocation of subscription funds:
1) After opening an account and before going through the subscription procedures, the individual investor shall remit the full amount of funds through the banking system to the following bank account designated by the Company, and ensure that the funds are received before 17:00 on the trading day:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 755932538410207
Opening bank: China Merchants Bank Shanghai Branch
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 446872269177
Bank of deposit: Shanghai Pudong Branch of Bank of China
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 1001164829013354757
Bank of deposit: Industrial and Commercial Bank of China Shanghai Jinmao Building Sub branch
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 216200100101469049
Bank of deposit: Industrial Bank Shanghai Branch Business Department
2) When remitting, investors must pay attention to the following matters:
① The investor shall fill in the "remitter" column with the name registered when opening an account in Huatai Baoxing Direct Marketing System;
② When an investor makes a remittance, he/she should remind the bank counter staff to accurately and completely transmit the remittance information, including indicating "for subscription of Huatai Baoxing value growth" in the purpose column;
③ In order to ensure the timely and accurate entry of investors' funds, investors should fax the remittance receipt stamped with the bank business acceptance seal to Huatai Baoxing Direct Sales Center. Fax No.: (021) 60756969/(021) 60756966.
The relevant procedures for opening accounts and subscribing the Fund through the online trading platform and WeChat trading platform of the Company shall be subject to the Online Trading Service Agreement for Open ended Funds of Huatai Baoxing Fund Management Co., Ltd. and the Express Payment Service Agreement of Huatai Baoxing Fund Management Co., Ltd.
（2） Other sales organizations
The relevant procedures for account opening and subscription of other sales agencies shall be subject to the relevant provisions of the agency.
4、 Account opening and subscription procedures of institutional investors
（1） Direct sales center
If the subscription amount of institutional investors is more than 100000 yuan (including 100000 yuan), they can choose to go to the direct marketing center of the company.
1. Business processing time: 9:00-17:00 every day during the fund raising period (not accepted on Saturdays, Sundays and statutory holidays).
2. When an ordinary institutional investor applies for opening an account and subscribing, the designated agent shall go to the direct selling outlets or send, fax and provide the following information:
1) Questionnaire on institutional investors' risk tolerance;
2) Instructions to Investors of Securities Investment Funds;
3) Copy of the duplicate of the business license of the enterprise legal person affixed with the official seal of the institution; For public institutions, social organizations or other organizations, please provide a copy of the registration certificate with the official seal of the institution issued by the civil affairs department or the competent department (the latest annual inspection records are required);
4) Copy of enterprise organization code stamped with official seal (with the latest annual inspection record);
5) A copy of the enterprise tax registration certificate affixed with the official seal of the institution;
6) Power of attorney for fund business affixed with the official seal of the institution and the signature of the legal representative;
7) Copies of the front and back sides of the valid ID card of the business operator stamped with the official seal of the institution and copies of the front and back sides of the valid ID card of the legal representative;
8) The fund business seal card affixed with the official seal of the institution shall be in duplicate (one for the institution and one for the direct marketing center);
9) A copy of the Permit for Opening Bank Accounts or the Application Form for Opening Bank Accounts of the designated bank account (or the account opening certificate issued by the designated bank), clearly showing the bank of deposit, account name, account number and affixed with the official seal of the institution; It is also required to provide valid account vouchers to prove that the valid identity documents submitted are consistent with those registered when opening the designated bank account;
10) Completed Account Business Application Form and Transaction Business Application Form and affixed with the official seal of the institution;
11) Two copies of the completed Fax Transaction Agreement with the official seal of the institution affixed (if opening is required);
12) Declaration Document of Institutional Tax Resident Status (not required for financial institutions);
13) Declaration Document of Tax Resident Status of Controller (not required for financial institutions);
14) Account business application form (attached table of institutional products), which is only required for product account opening;
15) Other materials required by the direct selling organization.
Note: "Designated bank account" means that investors who subscribe for funds at this direct selling outlet need to designate a bank account as the settlement and remittance account for redemption, dividend and other funds of investors. This account can be the investor's deposit account in any commercial bank.
Please refer to Huatai Baoxing Fund Management Co., Ltd. Direct Selling Business Rules for other materials required by special institutions such as annuity accounts and trust accounts.
3. Procedures for allocation of subscription funds:
(1) After opening an account, institutional investors shall remit sufficient funds to the following bank accounts designated by the Company through the banking system before going through the subscription procedures, and ensure that the funds have been transferred out before 17:00 on the trading day:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 755932538410207
Opening bank: China Merchants Bank Shanghai Branch
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 446872269177
Bank of deposit: Shanghai Pudong Branch of Bank of China
Opening bank code: 104290003582
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 1001164829013354757
Bank of deposit: Industrial and Commercial Bank of China Shanghai Jinmao Building Sub branch
Opening bank code: 102290016484
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 216200100101469049
Bank of deposit: Industrial Bank Shanghai Branch Business Department
(2) When remitting, investors must pay attention to the following matters:
① The investor shall fill in the "remitter" column with the name registered when opening an account in Huatai Baoxing Direct Marketing System;
② When an investor makes a remittance, he/she should remind the bank counter staff to accurately and completely transmit the remittance information, including indicating "subscription to Huatai Baoxing value growth" in the purpose column;
③ In order to ensure the timely and accurate entry of investors' funds, investors should fax the remittance receipt stamped with the bank business acceptance seal to Huatai Baoxing Direct Sales Center. Fax No.: (021) 60756969/(021) 60756966.
（2） Other sales organizations
The relevant procedures for account opening and subscription of other sales agencies shall be subject to the relevant provisions of the agency.
5、 Clearing and settlement
1. Prior to the effectiveness of this Fund Agreement, the funds raised during the Fund raising period can only be deposited into a special account and may not be used by anyone. The interest generated from the effective subscription funds during the fund raising period will be converted into fund units after the Fund Contract comes into effect, and will belong to the fund unit holders. The specific amount of interest of effective subscription funds and interest transfer shares shall be subject to the records of the registration authority.
2. The Fund's equity registration shall be completed by the Fund's registration agency after the end of the offering period.
6、 Refund
1. If the subscription of individual and institutional investors fails (meaning that the subscription application of the investor has not been confirmed by the registration authority), their subscription funds will be transferred to the bank account designated by the investor within 5 working days from the effective date of the fund contract.
2. After the end of the raising period, if the Fund Agreement cannot take effect, the Fund Manager shall bear the debts and expenses arising from the raising with its own property, return the subscription funds paid by the investors within 30 days after the expiration of the fund raising period, and add the interest of current bank deposits for the same period.
7、 Capital verification and effectiveness of the Fund
The Fund Contract shall not come into force until the Fund raising period expires and the conditions specified in the Contract are met.
1. After the expiration of the raising period, according to the subscription data confirmed by the registration authority, the Fund Manager will transfer the effective subscription funds and subscription funds of the Fund into the deposit account of the Fund after deducting the subscription fees from the interest generated during the raising period. The registration institution shall issue the certificate of the number of subscription accounts, and the fund manager shall entrust a qualified accounting firm to verify the fund assets and issue a report after the deposit bank of the fund deposit account issues the certificate of the fund deposit.
2. During the offering period of the Fund, if the total number of units raised by the Fund is not less than 200 million, the amount raised by the Fund is not less than 200 million yuan and the number of subscribers to the Fund is not less than 200, the Fund Manager may decide to stop the sale of the Fund upon the expiration of the offering period or in accordance with laws, regulations and the Prospectus, and employ a statutory capital verification agency to verify the capital within 10 days, Within 10 days from the date of receiving the capital verification report, go through the fund filing procedures with the CSRC. If the fund raising meets the conditions for fund filing, the Fund Contract shall come into force as of the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC; Otherwise, the Fund Contract will not take effect.
3. The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
8、 Expense treatment before the fund contract takes effect
Expenses incurred in connection with fund raising activities before the effectiveness of this Fund Contract, including information disclosure fees, attorney fees, accountant fees and other expenses, shall not be disbursed from the Fund assets.
9、 Parties or intermediaries involved in this offering
（1） Fund manager
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Approval authority and approval document number: CSRC, ZJXK [2016] No. 1309
Organizational form: limited liability company
Registered capital: RMB 240 million
Duration: continuous operation
Contact: Wang Shanshan
Tel: (021) 80299000
Fax: (021) 60756968
（2） Fund Custodian
Name: Industrial and Commercial Bank of China Limited
Registered address: No. 55, Fuxingmennei Street, Xicheng District, Beijing
Time of establishment: January 1, 1984
Legal representative: Chen Siqing
Registered capital: 356406257089 yuan
Tel: 010-66105799
Contact: Guo Ming
（3） Sales organization
1. Direct selling mechanism
The direct selling institution of the Fund is the fund manager, specifically including the fund manager's direct selling counter, online direct selling platform and WeChat trading platform.
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Contact: Wang Shanshan
Tel: (021) 80299058
Fax: (021) 60756969/(021) 60756966
Customer service hotline: 400-632-9090 (toll free), (021) 80210198
Online direct selling platform (website): www.ehuataifund.com
WeChat trading platform (WeChat official account): htbxjj99
2. Other sales organizations
The Fund Manager may, in accordance with the requirements of relevant laws and regulations, select other institutions that meet the requirements to sell the Fund and make timely announcements.
（4） Registration Authority
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Contact: Chen Jijie
Tel: (021) 80299000
Fax: (021) 60756960
（5） Law firm and handling lawyer
Name: Guohao Law Firm (Shanghai)
Domicile: 23-25/F, Jiadi Center, No. 968, Beijing West Road
Office address: 23-25/F, Jiadi Center, No. 968, Beijing West Road, Shanghai, China
Person in charge: Li Qiang
Tel.: (021) 52341668
Fax: (021) 52341670
Contact: Sun Fangchen
Handling lawyers: Xuan Weihua, Sun Fangchen
（6） Accounting firm and handling certified public accountant
Name: PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership)
Address: 6/F, DBS Bank Building, 1318 Lujiazui Ring Road, China (Shanghai) Pilot Free Trade Zone
Office address: 11/F, PricewaterhouseCoopers Center, Building 2, Enterprise World, 202 Hubin Road, Huangpu District, Shanghai, China
Executive partner: Li Dan
Tel: (021) 23238888
Fax: (021) 23238800
Contact: Pan Xiaoyi
Handling CPA: Zhang Yong, Pan Xiaoyi
Huatai Baoxing Fund Management Co., Ltd
June 5, 2012